James L. Kaplan, Ph.D.
Portfolio Manager
Jim received his Ph.D. in applied mathematics in 1970 from the University of Maryland and was an assistant professor of mathematics at Northwestern University from 1970‑1972. He was a tenured associate professor at Boston University from 1972‑1985. As an academician, he published over thirty papers in scholarly journals, was a co-author of a calculus textbook, and was a frequent lecturer on applications of mathematics at national conferences. He founded J.L. Kaplan Associates in February of 1976. On November 1, 2002, he sold the firm to Evergreen Investments, the asset management division of Wachovia Corporation. Jim continued to manage the firm until November 1, 2007 when he founded Cubic Asset Management.
Frank P. Lombardi III, MBA
Portfolio Manager
Frank received his B.S. in biology from Bates College in 1998 and his MBA in finance from Northeastern University in 2001. Prior to joining Cubic Asset Management, Frank was a portfolio manager and senior equity analyst at J.L. Kaplan Associates, a wholly owned subsidiary of Evergreen Investments. Previously, he was an associate at The Topol Group, LLC, a private equity firm. He is a member of the Boston Security Analysts Society.
Benjamin Paradise, CFA, CAIA
Equity Analyst
Ben received his B.A. in economics from Wesleyan University. Prior to joining Cubic Asset Management, Ben was a senior associate at Meketa Investment Group and an investment analyst at Jeffrey Slocum & Associates. He holds the Chartered Financial Analyst designation, and is a member of the CFA Institute and the Boston Security Analysts Society. He also holds the Chartered Alternative Investment Analyst designation and is a member of the CAIA Association.
Stuart Schwartz
Director of Operations
Stuart received his B.S. in business from the University of Maryland. Prior to joining Cubic Asset Management, Stuart was the head trader for The Roosevelt Investment Group. His responsibilities also included the oversight of all the daily operations including the company’s software systems and order management systems. Previously, he was an OTC market maker for Deutsch Bank. Stuart currently holds his series 7, 55, and 63 NASD licenses.
Ellen M. Rigoli
Vice President (Office Manager)
Ellen received a B.A. in psychology from Framingham State College in 1976. Prior to joining Cubic Asset Management, she was the office manager at J.L. Kaplan Associates, LLC from 1981 – 2007. Before joining J.L. Kaplan Associates, Ellen managed the mortgage department at Waltham Savings Bank.
Brendan Pollock
Trader
Brendan received his B.A. in English from Union College in 1992. Prior to joining Cubic Asset Management, Brendan was head trader at J.L. Kaplan Associates, a wholly owned subsidiary of Evergreen Investments. Previously, he worked at Lehman Brothers and Fidelity Capital Markets. He is a member of the Boston Security Traders Association.
