About Pip Barton CFA – Contact Info

PROFILE – email me at pbarton@tristar-research.com
Entrepreneur with broad analytical experience seeking an opportunity in investment analysis & review
Professional with high-level analytical experience in multiple fields including investment management, intelligence, national security, and consulting. Primary skill lies in pattern recognition with other related skills in financial analysis, macroeconomic analysis, content management, and anomaly detection. Extensive experience as a buy-side financial analyst covering the technology sector including software and computer services, the environmental and engineering sectors, long cycle sectors such as the steel and coal industries, and the banking sector.

TriStar Research L.L.C. November 2008 to present
Research Consultant and Founder
Founded a diversified research and content management research firm focused on three areas: independent investment research, risk management and national security.

* Building relationships with other independent research firms involved in forensic accounting, bailout asset valuation, and deception detection as applied to companies subject to Sarbanes-Oxley regulations;

* Focusing on emerging risks in financial sector consolidation (i.e. oligopolies) and identifying other sectors facing similar “mandated” consolidation such as the automotive and airline sectors; and

* Under an NDA, investigating military and civilian threats associated with biowarfare to assess business and funding opportunities for a biotechnology client.

Wachovia Securities, Lebanon, NH March 2007 –October 2008
Financial Consultant
Joined an existing partnership with FC’s Sven Karlen & William Thomas III to contribute my active stock selection experience to the team. Extensive experience as a growth-at-a-reasonable price (GARP) investor using equities, options and warrant-based strategies.
* Positioned clients defensively and created hedged positions for them during the bear market of 2007-2008;
* Passed Series 7 NYSE and Series 66 NASD exams first time; and
* Received NYSE experience waiver and completed the A.G. Edwards training program.

U.S. Treasury Department, Washington, DC January 2002 –  March 2006
Senior Sanctions Officer/ Counterterrorism analyst
As a senior intelligence officer, I worked with Treasury’s Office of Intelligence and Analysis (OIA) identifying, tracking and sanctioning Specially Designated Global Terrorists in their operating groups and as individuals.  OIA, with its team of 25 professionals and budget of $38 million, operates under Presidential emergency powers to sanction terrorist-supporting countries and financiers that threaten the United States.

* Contributed to the creation of a financial counter-terrorism capability for the U.S. Government within the Treasury Department, strengthening Treasury’s ability to participate in  the U.S. Intelligence Community;

*Researched and produced intelligence on terrorism targets determined to be in violation of Executive Order 13224 issued post 9/11 against Taliban and al-Qaeda terrorists;

* Forged relationships for Treasury with U.S. military commands and served for eighteen months as a Liaison Officer to the Office of Naval Intelligence (Suitland, MD);

* Built expertise in the Office of Intelligence and Analysis regarding terrorist groups including the Iraqi insurgency groups, Ansar al-Islam, Jemaah Islamiyah, and al-Qaeda and submitted terrorism targets to the National Security Council’s Policy Coordinating Committee in order to raise threat awareness thru the U.S. intelligence community.

Third Millennium Ventures LLC, Boston, M.A.
Founder and President    August 1996 – January 2002 and
February 2006- February 2007
Third Millennium Ventures LLC was a diversified investment company consisting of a Growth-at-a-Reasonable-Price (GARP) hedge fund, an early-stage investment division, and a wholly owned Internet services business called Future Content LLC. As president of these companies, I initiated all ventures and undertook all investments.
* Planned, structured and launched successfully a GARP-style hedge fund with two partners from Fidelity Investments. Closed fund during 1999 as the stock market’s momentum invalidated the fund’s GARP style;

* Reviewed over 100 private placement opportunities and participated in three with own capital. Brought expert speakers into the Boston Investor’s Group monthly meetings with leading young venture investors in the region;

* Founded and launched an Internet applications services provider (ASP) that customized open source software (LINUX) and a Massachusetts Institute of Technology (MIT) applications software suite to local services businesses.

Fidelity Management & Research, Boston, MA

Senior Analyst and Sector Fund Manager    June 1986 – August, 1996
Fidelity Management and Research (FMR) is a global asset manager engaged in managing assets in almost 500 different funds. FMR has consistently grown its fund family to offer new products to new investors and relies on its equity analyst pool to identify, research and present investment ideas to portfolio managers. Worked for almost four years for Fidelity International which was the vanguard of this approach of investing globally and I helped transform the London office into a “bottoms up” or company-centric investment research unit.

* Analyzed twelve sectors over ten years and managed several sector funds to top quartile investment performance;

* Managed various other select funds including developing communications and environmental that outperformed their peers during most periods and led Fidelity to be a crucial and influential institutional investor in industries as diverse as steel, coal and waste management during their consolidation phases;

* Managed a diversified European technology and Spanish country funds that provided investment ideas to fund managers in London and Boston, while served as a liaison among managers holding the same European technology and capital goods issues;

* Contributed to Fidelity’s in-house analyst training programs by interviewing and recommending candidates, then guiding them through the Chartered Financial Analyst (CFA) program.


Chartered Financial Analyst degree, Charlottesville, VA September 1989
Earned chartered financial analysis degree, active member 1989 to present
Member of the Board, Advocacy Advisory Committee – 1997-2002

Columbia Graduate School of Business, New York, NY July, 1987
Masters of Business Administration – Finance & Management of Organizations, Dean’s List. Second year focus on international business and change management. Co-founder, Venture Capital Club. Member, American Finance Association & Distinguished Leader Lecture Series.

Yale University, New Haven, CT June, 1983
Bachelor of Arts – Economics & Political Science, Griswold Fellow. Highest honors for senior thesis & distinction in modern political economy. Co-founder & Senior Investment Director, Yale College Student Investment Group (2 years). Co-chairman, Yale Business & Economic Forum (2 years). Managing Editor, Yale Political Monthly. Board Member, Coalition of Student Organizations (2 years).


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