The Alethea team is built upon collective experience and a shared vision. A contemporary, dynamic group with strong backgrounds in investment management, wealth management, operational risk management, and research, we’ve created a systematized structure to leverage our individual expertise, ensure fluid communication, and increase operational efficiency. We’ve built our team this way to allow us to offer the most attentive, responsive level of service in the industry.
Tony Hsu, CFP - FOUNDER / CHIEF INVESTMENT OFFICER
Tony founded Alethea Capital Management, LLC in 2011 after spending nearly fifteen years in the financial services industry. Alethea Capital is an asset management firm catering to major institutions, foundations, and wealthy families. As Founder and CIO, Tony is responsible for developing the strategic vision of the company as well as managing and monitoring portfolio assets on behalf of the firm’s clients. Prior to founding Alethea, he served as a Portfolio Manager at Oppenheimer & Co. Inc. Tony also spent four years with UBS Financial Services, Inc. as Senior Vice President leading the top producing team in the San Diego region. Previously, from 1999 to 2005, he was employed with Deutsche Bank, managing the portfolios of corporate executives and working closely with Deutsche Bank’s Global Momentum Group in London to build strategies for the firm’s clientele. Tony’s finance career began at Lehman Brothers in 1997 where he was recruited to re-establish Lehman’s presence in Los Angeles following the company’s spinoff from American Express. He holds the Uniform Investment Advisor Law Examination (Series 65). Tony holds a Bachelor of Arts Political Science degree with an emphasis in International Relations from the University of California, Los Angeles. He also holds the Certified Financial Planner designation by the Certified Financial Planner Board of Standards, Inc. Tony has mentored many under-served children and has championed financial literacy through his “Five-Dollar Challenge™” which has been delivered to hundreds of young adults. He is the Co-Founder of Just In Time For Foster Youth, a leading non-profit organization that’s been recognized for its significant contributions to San Diego’s emancipated foster youth. He is the Founder and President of the Alethea Foundation which supports nonprofit programs and organizations that are driving positive change for at-risk youth. Tony is currently serving his third year as the Co-Chair of the Institute of Nonprofit Education and Research at the University of San Diego. He resides in San Diego with his wife, three sons, and daughter.
Mark Saad - PARTNER / CHIEF OPERATING OFFICER
Mark joined Alethea Capital Management, LLC in 2017 with twenty-five years of executive management and investment banking experience. He is responsible for operations of the firm, working closely with Tony to achieve long-term strategic goals. Mark comes to Alethea from Bird Rock Bio, Inc., (“BRB”) a San Diego based biotechnology company with significant international operations, where he served as Chief Financial Officer since 2014 and had a broad range of operating responsibilities. He was part of the team at BRB which completed a merger-option agreement with Johnson & Johnson in December 2016 and remained with the company through early 2017. Mark began his financial career in New York in 1993 with the investment banking division of Salomon Smith Barney, where he completed a three year financial analyst program and was promoted to Associate. He was recruited by UBS in 1999, where he ascended to the position of Executive Director and Chief Operating Officer of the industry leading Global Healthcare Investment Banking Group. During this time, he gained considerable experience in all aspects of the execution of a wide range of financing and M&A transactions, as well as management of a 100+ person international team. Seeking to transition and augment these skills to directly building companies, in 2004 he accepted the Chief Financial Officer position at Cytori Therapeutics, a San Diego based medical technology company. Over the next ten years, he played a key role in raising more than $250 million both through multiple equity and debt financings as well as strategic transactions. In addition to finance, he oversaw business development, legal, HR, IT and facilities. During this time, Mark was a key part of the formation of a joint venture with Olympus Corporation and served on its Board of Directors. Mark currently serves as a Board Member for Axsome Therapeutics, a New York based publicly traded company, where he assisted in the completion of the company’s IPO in 2015. He has also served as a mentor for Onestart, a leading life sciences and healthcare startup accelerator program. Mark holds a Bachelor of Arts degree in Economics from Villanova University, where he minored in History and was a rower on the Men’s Lightweight Crew team. He resides in San Diego with his wife, son, and two daughters.
Rina Kawano - EXECUTIVE ASSISTANT
Rina currently serves as the Executive Assistant for Alethea Capital Management, LLC. Her responsibilities include managing the myriad of tasks associated with the day-to-day operations for the CIO and COO as well as managing client relations and various administrative tasks. Prior to joining Alethea, Rina worked for Wells Fargo where she engaged with and catered to the needs of an affluent clientele base. Her primary responsibilities included overseeing branch personnel, enforcing best practices, identifying and recommending account solutions to clients, managing risk associated with cash transactions, and other operational tasks. Rina holds a Bachelor of Science in Finance degree from San Diego State University and is bilingual in English and Japanese. She is an active member of her community where she has served as a mentor for elementary school children, participated in various non-profit organizations, tutored high school students, and participated in beach cleanups. Rina’s hobbies include drawing, painting, writing poetry, going to concerts, and boxing.
Shaoting Han - PORTFOLIO ANALYST
Shaoting currently serves as the Portfolio Analyst for Alethea Capital Management, LLC. His responsibilities include performing quantitative analyses of investment processes, researching and optimizing trading strategies, and analyzing risk by stress testing and reviewing portfolio attribution data. Prior to joining Alethea Capital, Shaoting worked as an investment intern at China Minsheng Bank to analyze counterparty risk and write investment proposals. Shaoting graduated from University of California, Berkeley (UCB), with a Master of Engineering degree in Industrial Engineering & Operations Research and is currently a CFA Level II candidate. He led a team at Berkeley in implementing Natural Language Processing to predict a company’s performance based on their 10-K reports, the result of which proved to be much more reliable and robust than human judgement. Shaoting also served as the leader of the Business Department of the Student Union in Fudan University, China, where he obtained his Bachelor of Science in Applied Mathematics. He was the top graduate in his class and received a national scholarship. As an amateur piano player, Shaoting held his own piano recital in one of the largest concert halls in Beijing when he was 17. His hobbies include basketball, travelling, and listening to classical music.
Jennifer Hsu - COMMUNITY RELATIONS
Jennifer currently serves as Community Relations Director for Alethea Capital Management, LLC. She is responsible for identifying programs and organizations in the community that help at-risk children and advising how Alethea can provide additional financial or volunteer support. Jennifer coordinates Alethea personnel’s volunteer efforts and develops and nurtures relationships with philanthropic organizations in the community that share the firm’s core values. Jennifer is also responsible for providing feedback to Alethea’s management team, which includes a summary of financial and volunteer support as well as the effectiveness of its philanthropic efforts. Prior to joining Alethea, Jennifer was an experienced Human Resources Analyst at Accenture, where she was responsible for supporting Accenture’s Healthcare Division by providing technical analysis used in determining deployment and hiring strategies. Jennifer led many cross-divisional staffing related projects for Accenture, including database optimization initiatives and contractor review process enhancements. Jennifer also served as a Human Resources Associate in a similar capacity at Sempra Energy earlier in her career. Jennifer received her Bachelor of Arts in Sociology from the University of California, Los Angeles. She resides in San Diego and is a proud mother of three sons and a daughter.