// ABOUT US

MANAGEMENT
• John G. Phoenix, CEO and President
Mr. Phoenix has worked in the investment business for over 15 years and in the tax transition business since 2001. Most recently Mr. Phoenix worked with Alexander Capital Management Group LLC, where he was a Managing Director, and created their tax transition strategy product. Prior to that, Mr. Phoenix worked at Putnam Investments and Kemper Financial Services.

• Dale L. Rottschafer, CFA, Chief Investment Officer
Ms. Rottschafer has worked in the investment business for over 13 years.  She was a portfolio manager within the Private Asset Management division at US Bank.  Prior to joining M3, she served as a due diligence analyst and an investment officer at Envestnet Asset Management.  Ms. Rottschafer received her MBA from the University of Colorado, Boulder.  She is a CFA charter holder.

• Allen Dionne, Chief Operating Officer, Chief Compliance Officer
Mr. Dionne has seven years of experience working with Separately Managed accounts. Previously, Mr. Dionne was Wrap Account Manager at Davis Advisors where he was responsible for its daily operations. He is a member of the Security APL Users Group.

OWNERSHIP 
Founded in 2006, M3 is owned jointly by its senior management team and Braddock Holdings Company LLC. Braddock is the subsidiary of an RIA which manages over $2 billion in hedge fund and CDO strategies. 

THE COMPANY
M3 is a Registered Investment Adviser with the United States Securities and Exchange Commission

M3 is a Delaware LLC based in Denver, Colorado

RESOURCES & CAPACITY
M3 has built its trading platform on APL, utilizes a state of the art batch order trading system, and leverages significant resources from Braddock, creating a highly scalable model with nearly unlimited capacity.