Corporate Board Profile
Tech Score: 0/100
| Filing Date | Source Excerpt |
|---|---|
| 2015-07-13 | Munish Sood, CFA 42, serves as our Chief Executive Officer. He is also a partner of Princeton Advisors... Mr. Sood is a member of Princeton Advisors’ investment committee. No compensation is paid to directors who are “interested persons.” |
| 2016-05-19 | Munish Sood, CFA 43, serves as our Chief Executive Officer. He was elected to the Company’s Board on March 13, 2015. He is also a partner of Princeton Advisors, our current investment adviser, and founder and Chief Investment Officer of Princeton Advisory Group, Inc. (“PAG”), which was founded in 2002 to provide investment management services to Institutional and Family Office clients across multiple credit investment strategies. PAG would be a party to the new investment advisory agreement being voted upon by the Company’s stockholders pursuant to Proposal 6. Mr. Sood is responsible for sourcing, analyzing, structuring, and closing new investment opportunities as well as managing the Company’s portfolio investments. Mr. Sood is the Chief Investment Officer & Senior Portfolio Manager for PAG’s funds and managed accounts and is the chairman of PAG’s Investment Committee overseeing all investment strategies and products. PAG currently manages in excess of $500 million USD. Prior to forming PAG, Mr. Sood co-founded BoTree Investments, LLC, in 2001 where he was the Chief Investment Officer. Mr. Sood was responsible for managing and investing in structured product and overseeing all investment activity in Botree Asset Management, LLC. Prior to Botree, Mr. Sood was the Senior Portfolio Manager at Global Value Investors, Inc. from January 1999 to April 2001. Prior to Global Investors, Inc., Mr. Sood was a Senior Analyst/Trader at Penn Capital Management, Inc. From 1996 to 1998 he was an associate at Bankers Trust focusing on fixed income arbitrage. Mr. Sood received a Bachelor of Science in Finance & Accounting from Rider University. He holds a Chartered Financial Analyst designation and is a member of the CFA Institute. Mr. Sood is a founder of First Choice Bank in Lawrenceville, NJ and has served as a Director since 2007. Mr. Sood’s considerable experience in the investment management industry as well as his knowledge of and experience with our portfolio and investment strategy make him well qualified to serve on our Board. |
| 2017-06-29 | Mr. Sood is an “interested person” of the Company as defined in the 1940 Act and NASDAQ Rules due to his position as the Company’s Chief Executive Officer and his interests in Princeton Advisory Group, the investment advisor of the Company. |
Data sourced from SEC filings. Last updated: 2026-02-03