Carpenter

Mr. Sjogren is Senior Vice President and General Counsel of Carpenter & Company, having joined the firm in 2005 following several years of working on legal assignments for Carpenter & Company banking clients. Mr. Sjogren is a bank and securities lawyer and a former bank examiner.

Mr. Sjogren is Corporate Secretary and Chief Risk Officer for Carpenter & Company, and serves as Chief Compliance Officer for its affiliated broker/dealer, Registered Investment Advisor (RIA), and the Fund. He is the primary liaison with the Federal Reserve on banking holding company applications and other matters. As Chief Compliance Officer, Mr. Sjogren administers the company’s compliance programs, policies and procedures associated with the broker/dealer, RIA, and bank holding company.

Prior to joining Carpenter & Company, Mr. Sjogren served as General Counsel, Corporate Secretary and Director of Risk Management for Bank of Orange County in Orange, California. Mr. Sjogren began his legal career in 1998 as an Associate Attorney in the Banking Practice at Nixon Peabody LLP in Irvine, California. Mr. Sjogren began his professional career in 1988 with the Federal Deposit Insurance Corporation. Over the course of his ten years with the FDIC, he was promoted to the position of Senior Bank Examiner and Team Leader.

Mr. Sjogren obtained a Bachelor of Arts degree in Legal Studies from Chapman College in Orange, California, and earned his law degree from Loyola Law School of Los Angeles. He is a member of the State Bar of California, the American Bar Association, and the Orange County Bar Association. Mr. Sjogren holds the FINRA Series 7, 24, 79, and 63 licenses.