James Carroll Allen, Finance Expert in Charlottesville, VA, United States
James Carroll Allen

Finance Expert in Charlottesville, VA, United States

Member since July 13, 2021
Jim is an experienced finance professional specializing in corporate finance, investment analysis, global markets, financial regulation, and written and oral communications. As a CFA charter holder, Jim has earned the respect of his colleagues for his technical understanding and adherence to that organization's ethical code to put the best interests of clients first. His approach to working with others assumes intelligence, candor, and goodwill.
James is now available for hire

Career Highlights

Education

Select Certifications

Case studies

Employment

  • Principal

    2021 - PRESENT
    Delahaye Advisers LLC
    • Penned a white paper for CFA Societies of Texas, advocating for state-based securities regulation and describing the risks mitigated. Presented the paper's key messages to state legislative leaders.
    • Served as a case researcher at Darden Business School, which included writing cases considering finance, ethics, regulation, management, and possible exit strategies.
    • Aided preparation of offering prospectus for EU-based private fund offering.
    • Provided pro-bono support to a small business owner in plans for a company sale.
    • Served as an integral team member in 2000, conducting due diligence, providing market analysis of payments and securities settlement business for a global technology firm, and helping inform their near-term global strategy.
    • Reviewed the pitch deck for a client of an affiliated firm, providing financial and communications recommendations for effectiveness.
    • Researched industry structure in a report seeking increases in regulatory size definition for small firms manufacturing medical protective equipment to enable firms to improve their competitive position in obtaining federal contracts.
    • Researched and drafted a case study reviewing the business model of a fintech firm.
    • Analyzed public fintech firms for the client's competitive analysis.
    Focus areas: Mergers & Acquisitions (M&A), Communication Strategy, Corporate Governance, Corporate Finance, Corporate Planning, Business Modeling, P&L Forecasting, Cash Flow Forecasting, Financial Forecasting, Business Analysis, Minimum Viable Product (MVP), SaaS, Financial Modeling, Financial Writer, Financial Analysis, M&A Modeling, Valuation Multiples, DCF Valuation, Business Planning, Equity Markets, Equity, Finance, Technical Research, Technical Writing, Strategy, Funding Strategy, Valuation, Communication, Writing & Editing, Macroeconomic Analysis, Behavioral Economics, Financial Planning & Analysis (FP&A), Microsoft PowerPoint, PDF to PPT, Zoom, Microsoft Excel, Microsoft Teams, Microsoft Word, Microsoft 365, Private Equity Valuation, M&A (Buy-side), Three-statement Modeling, 409A Valuation, Forecasting, Revenue & Expense Projections, QuickBooks Online, Pitch Decks, Case Studies, Business Cases, Modeling Cases, New Product Business Cases, Investment Cases, Due Diligence, Due Diligence Consultant, Revenue Modeling, Excel 365, Google Sheets, Business Development, Storytelling, Investment Thesis, Investment Presentations, Investment Policy Statements, Presentations, Financial Presentations, Executive Presentations, Consulting, Management Consultant on Demand, Presentation Design, Journalism, Pitch Deck Consultant, Market Sizing, Market Research, Business Models, Strategic Planning, New Business Development, Competitor Analysis & Profiling, Investment Policy Governance, High Net Worth Individuals (HNWI), Ownership, Minority Investments, Research Analysis, Fundraising, Debt, Structured Finance, Exit Strategy, Financial Ratios, Decentralized Finance (DeFi), Blockchain, Cryptocurrency, Project Management, Deal Structuring, Equity Valuation, Board of Directors, Key Performance Indicators (KPIs), Annual Budgets, Education, K-12 Education, Office 365, Weighted Average Cost of Capital (WACC), Financial Reporting, SEC Disclosure, Market Structures, Small & Medium-sized Enterprises (SME), Investment Research, Financial Markets, Fintech, Blockchain & Cryptocurrency, Business Strategy, Valuation Modeling, Liquidation Valuation, Private Company Valuation, United States, Consumer Lending, Equity Research, Reports, Financial Services, NASDAQ, Investor Reporting, Buy-side, National Futures Association (NFA), Swaps
  • Head, Capital Markets Policy—Americas

    2002 - 2020
    CFA Institute
    • Developed and wrote technical analyses and responses to 200+ global, domestic regulatory proposals balancing investors, issuers, and intermediaries; directed advocacy positions to federal and state regulators, legislators, and CFA members.
    • Managed a team of motivated and experienced cap-markets policy professionals; hired and trained new staff in three offices on two continents; helped direct and develop divisional and regional advocacy strategies.
    • Collaborated with global/domestic investment professionals to develop global investment market regulatory policy positions; organized in-person volunteer meetings with regulatory and in-market speakers and meeting book creation.
    • Testified to Congress on corporate governance; presented on automated-adviser regs to SEC forum; presented on Regulation Best Interest to SEC Investor Advisory Committee; testified on retirement investing rules to the Department of Labor.
    • Published nine op-eds in national publications on financial market regulation and legislation; quoted regularly in national and industry publications on financial regulatory issues.
    • Wrote and/or managed 21 thought-leadership reports on positions related to various topics relevant to members: corporate governance, equity and bond market structures; investment research access; fintech, blockchain, and cryptocurrencies.
    • Presented to Congressional offices on risks and operational advantages of fintech issues such as automated investment advisors, blockchain and cryptocurrencies, and corporate reporting information data tagging.
    • Prepared business plans and strategic objectives for 10+ years for global and regional advocacy teams; prepared - and regularly reviewed - annual budget in coordination with business plans and strategy for 10+ years for global and regional team.
    • Researched IPO market after tech/telecom bubble, concluding that delisting was due to high multiples leading to sales/mergers with other public firms. Bankruptcy was the second biggest reason, with few opting to go private or selling to private equity.
    Focus areas: Financial Regulations, Investments, Investment Funds, Investment Banking, Market Risk, Stock Market, Money Market, Derivatives Market, Ethics, Hedge Funds, Private Equity, Securities Regulation, Regulation Crowdfunding, Reg A+ Public, Risk Management, Regulatory Affairs, Regulatory Analysis, Professionalism, Corporate Finance, Corporate Governance, Fund Governance, Fintech, Blockchain & Cryptocurrency, Accounting, Asset-backed Securities (ABS), Business Strategy, Business Planning, Financial Reporting, Financial Writer, SNL Financial, Investor Relations, Project Management, SEC Disclosure, Strategy, Technical Writing, US GAAP, Blockchain, Cryptocurrency, Decentralized Finance (DeFi), Financial Forecasting, Board Presentations, Writing & Editing, Boards, Financial Markets, Market Structures, Remuneration, Mortgages, Derivatives, Equity, Fixed Income, Finance, SEC Financial Reporting, Technical Research, Initial Public Offerings, Mortgage-backed Securities, Chartered Financial Analyst (CFA), Financial Analysis, Corporate Planning, Competitive Strategy, Commodity Markets, Equity Research Analysis, Fixed Income Analysis, Communication Strategy, Communication, Bureaucracy, Macroeconomic Analysis, Apple Keynote, Microsoft PowerPoint, PDF to PPT, Zoom, Microsoft Excel, Microsoft Teams, Microsoft Word, Microsoft 365, Board of Directors, Forecasting, Annual Budgets, Key Performance Indicators (KPIs), Pitch Decks, Due Diligence, Due Diligence Consultant, Excel 365, Google Sheets, Distressed Assets, Non-performing Loans (NPL), Education, Business Development, Storytelling, Investment Policy Statements, Presentations, Financial Presentations, Executive Presentations, Presentation Design, Journalism, Business Models, Strategic Planning, New Business Development, Market Research, Market Sizing, Competitor Analysis & Profiling, Investment Policy Governance, High Net Worth Individuals (HNWI), Case Studies, Business Cases, Modeling Cases, New Product Business Cases, Ownership, Minority Investments, Research Analysis, Fundraising, Distressed/Special Situations, Debt, Structured Finance, Exit Strategy, Financial Modeling, Credit Default Swap (CDS), Private Equity Valuation, Revenue & Expense Projections, Office 365, Investment Thesis, Equity Markets, Small & Medium-sized Enterprises (SME), Investment Research, United States, Consumer Lending, Equity Research, Reports, Financial Services, ISDA, National Futures Association (NFA), Futures & Options, Futures, Fixed-income Derivatives, Swaps, Interest Rate Swaps
  • CCS Advisory Board President

    2014 - 2015
    Charlottesville Catholic School
    • Appointed Chair of CCS Advisory Board for the school year 2014 after one year onboard and five years as a member of the CCS Finance Committee, including as Finance Committee chair from 2012-2013.
    • During FY14, the board considered, reviewed, and ultimately approved hiring a construction firm to build the school's new STEM wing, which opened in August 2016.
    • Recommended to school administration that one-year terms were insufficient for board chairs to gain and benefit from institutional knowledge. The administration changed the chair terms beginning in FY15.
    • Aided in preparation and provided approval for annual budget; performed a monthly analysis of actual performance against projections.
    Focus areas: Boards, Board Work, Board of Directors, Board Presentations, Finance, Corporate Planning, Corporate Governance, Corporate Finance, Macroeconomic Analysis, Apple Numbers, Education, K-12 Education, Investment Policy Statements, Presentations, Executive Presentations, Strategic Planning, Investment Policy Governance, Business Planning, Annual Budgets, Investment Cases, Investment Thesis, Financial Reporting, United States, Business Strategy, Financial Analysis, Business Modeling, Business Cases, Debt
  • Editor

    1996 - 2000
    SNL Financial
    • Reported, wrote, edited, and published content for "Specialty Lender," a monthly for executives, bankers, and investors. Covered business strategy, funding strategy, corporate governance, valuation multiples, trends in IPO, ABS, MBS, and M&A markets.
    • Managed a cadre of freelance reporters to supplement editorial content.
    • Oversaw staff preparing monthly newsletter focusing content on SBA-lending programs.
    • Reported on dynamics of credit card, mortgage, commercial, and auto loan markets, including subprime consumer mortgages years before the global market meltdown. Also covered over-the-counter derivatives markets for investors'/firms' risk management.
    • Interviewed scores of specialty finance CEOs, high-profile investment bankers, and institutional investors.
    • Researched and created graphics for various articles in "Specialty Lender," using the charting and presentation capabilities within MS Excel. Organized photos for publication and provided final edits into publishing software before publication.
    • Organized and launched two monthly newsletters, designing editorial strategy, working with data content team, design of newsletters, and developed operational calendar for publication.
    • Analyzed competitive dynamics of lending markets, including analysis of firms' loan underwriting, financial reporting, securitization performance, corporate governance, and share-price performance.
    • Reviewed and analyzed performance of initial public offerings for specialty lenders brought by different investment banks, providing investor-useful information about how each firm's deals performed in the public markets post IPO.
    Focus areas: Mergers & Acquisitions (M&A), Merger Benefits, Post-merger Integration, Funding Strategy, Asset Securitization, Mortgage-backed Securities, Asset-backed Securities (ABS), Consumer Lending, Asset-based Lending, Home Lending, Commercial Lending, Subscriptions, Strategy, Corporate Finance, Corporate Governance, Stock Market, Money Market, Market Risk, Initial Public Offerings, Valuation, Writing & Editing, Technical Writing, Technical Research, SNL Financial, Financial Analysis, SEC Financial Reporting, Financial Writer, Financial Ratios, Derivatives, Credit Default Swap (CDS), Deal Analysis, Deal Structures, Liability Valuations, Liquidation Valuation, Project Management, US GAAP, Valuation Analysis, Valuation Modeling, Valuation Multiples, Equity Valuation, Real Estate, Business Modeling, Business Analysis, Deal Structuring, M&A Modeling, Business Strategy, Investment Research, Equity Markets, SEC Disclosure, Remuneration, Financial Reporting, Mortgages, Equity, Fixed Income, Finance, Intangible Asset Valuation, Asset Valuation, Derivatives Market, Investment Banking, Investments, Competitive Strategy, Economics, Commodity Markets, Hedging, Derivative Pricing, Equity Research Analysis, Fixed Income Analysis, Accounting, Communication Strategy, Communication, Macroeconomic Analysis, Microsoft Excel, Microsoft Word, Forecasting, Pro Forma Analysis, Pro Forma Financial Statements, Key Performance Indicators (KPIs), Due Diligence, Due Diligence Consultant, Revenue Modeling, Distressed Assets, Non-performing Loans (NPL), Business Development, Storytelling, Investment Thesis, Investment Presentations, Financial Presentations, Journalism, M&A (Sell-side), Competitor Analysis & Profiling, Business Models, Strategic Planning, New Business Development, Market Research, Market Sizing, Case Studies, Business Cases, Modeling Cases, New Product Business Cases, Ownership, Minority Investments, Research Analysis, Fundraising, Distressed/Special Situations, Debt, Structured Finance, Exit Strategy, Financial Modeling, Decentralized Finance (DeFi), Business Planning, Board of Directors, Annual Budgets, 409A Valuation, Investment Cases, Presentations, Weighted Average Cost of Capital (WACC), Investor Relations, Market Structures, Small & Medium-sized Enterprises (SME), Financial Markets, Fintech, DCF Valuation, Private Company Valuation, United States, Corporate Planning, Interest Rate Swaps, Swaps, Fixed-income Derivatives, Futures, Futures & Options, National Futures Association (NFA), ISDA, Equity Research, Reports, Financial Services, NASDAQ, Investor Reporting, Insurance
  • Vice President—Corporate Finance Investment Banking

    1983 - 1990
    First Southwest Company
    • Provided M&A modeling and private company equity valuation for financial institutions, manufacturers, utilities, oil well servicers, and commercial real estate, using discounted cash flows, market valuation multiples, and capitalization rates.
    • Conducted financial analysis and financial ratio analysis of corporate issuers benefiting from tax-exempt bond indentures supporting utilities, airport, and industrial development bond offerings.
    • Completed due diligence reviews for the sales of public and private companies.
    • Participated in team due diligence in support of fairness opinions for the merger of two large, publicly traded bank holding companies; the sale of a public media company; and the securitization of automobile-backed loans.
    • Conducted financial modeling for revenue bond defeasance for a municipal client.
    • Modeled bond structures to assist a corporate client in defending against a hostile takeover.
    • Carried out research, valuation, and corporate finance activities dealt with small and public firms in the energy, utilities, commercial real estate, banking, airlines, flight simulation; performed valuations for lenders, IRS, ESOPs, minority-interest ownership, exit strategies.
    Focus areas: Mergers & Acquisitions (M&A), Tax-advantaged Bonding, Financial Analysis, Chartered Financial Analyst (CFA), Valuation, Asset Valuation, Intangible Asset Valuation, Corporate Finance, Corporate Governance, Risk Management, Private Company Valuation, Valuation Modeling, DCF Valuation, Deal Structuring, Asset-backed Securities (ABS), Portfolio Analysis, Securities Regulation, Financial Ratios, Financial Modeling, Funding Strategy, US GAAP, Private Equity Valuation, M&A Modeling, Equity Valuation, Real Estate, P&L Forecasting, Cash Flow Forecasting, Financial Forecasting, Business Analysis, Deal Analysis, Valuation Multiples, Valuation Analysis, Business Strategy, Investment Research, Small & Medium-sized Enterprises (SME), Equity Markets, Deal Structures, Equity, Fixed Income, Finance, Technical Writing, Private Equity, Market Risk, Investment Banking, Competitive Strategy, Economics, Equity Research Analysis, Fixed Income Analysis, Accounting, Bureaucracy, Macroeconomic Analysis, Microsoft Excel, Microsoft Word, Asset-based Lending, Commercial Lending, M&A (Buy-side), Three-statement Modeling, 409A Valuation, Forecasting, Revenue & Expense Projections, Pro Forma Analysis, Pro Forma Financial Statements, Due Diligence, Due Diligence Consultant, Revenue Modeling, Non-performing Loans (NPL), Investment Thesis, Investment Presentations, Financial Presentations, Metals & Mining, Consulting, Management Consultant on Demand, M&A (Sell-side), Pitch Deck Consultant, Business Models, Market Research, Market Sizing, Ownership, Minority Investments, Research Analysis, Fundraising, Distressed/Special Situations, Debt, Structured Finance, Distressed Assets, Exit Strategy, Project Management, Board of Directors, Weighted Average Cost of Capital (WACC), Financial Reporting, Liability Valuations, Liquidation Valuation, United States, Business Modeling, Business Cases, Corporate Planning, Equity Research, Reports, Financial Services, NASDAQ, Investor Reporting, Insurance, Futures

Education

  • Master of Arts Degree in Journalism and Mass Communications
    1991 - 1993
    University of Wisconsin - Madison - Madison, Wisconsin, USA
  • Chartered Financial Analyst in Accounting, Investment Analyses, Portfolio Management, Economics
    1984 - 1987
    CFA Institute - Charlottesville, Virginia, USA
  • Bachelor of Business Administration Degree (BBA) in Finance
    1978 - 1982
    University of Texas at Austin - Austin, Texas, USA

Certifications

  • CFA Charter
    SEPTEMBER 1987 - PRESENT
    CFA institute

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