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1 Bhaswar (Raj) Gupta Isenberg School of Management Phone: The University of Massachusetts Cell: Amherst, MA, AREAS OF INTEREST Financial Markets and Institutions, Wealth Management, Commercial Finance, Financial Engineering, Health Care Finance, Regulation EDUCATION Ph.D. in Finance, The University of Massachusetts, Amherst, Graduate coursework in Mathematics and Statistics, Concordia University, B.Sc. in Mathematics, Calcutta University, EXPERIENCE The University of Massachusetts, Amherst Lecturer, 2009-Present Research Director at Center for International Securities and Derivatives Markets (CISDM), Finance Instructor, American College of Healthcare Trustees Member, Board of Directors, 2014-Present Faculty Contributor, 2014-Present Morningstar CISDM Database Managed Index Publication, Clark University, Worcester Visiting Faculty, Graduate School of Management, The Pacific American Foundation Curriculum Committee Member, AKAMAI Alpha Initiative, Chartered Alternative Investment Analyst Association Participated in the Development of Curriculum and Examinations and Grading, Curriculum Committee Member, Investment Management Consultants Association Alternative Investments Instructor for Wealth Management Certificate Program, 2005

2 EXECUTIVE EDUCATION PROGRAMS Capital Budgeting Produced Video on Capital Budgeting for Hospitals developed for Executive Education Programs offered by the American College of Healthcare Trustees (ACHT), June 2014 September CONTINUING PROFESSIONAL EDUCATION Congressional Watch Reviewed Various Congressional Hearings and Produced an Assortment of Video Excerpts for Discussion and Analysis. Increased Additional Cash Reserves and Impact of Volcker Rule Excerpted from The Impact of the Volcker Rule on Job Creators, Part I, United States House Committee on Financial Services, January Video Excerpted in March Clarification that the Fed Does Not Spend Money, Only Lends Money, Excerpted from Oversight of Implementation of the Emergency Economic Stabilization Act of 2008 and of Government Lending and Insurance Facilities; Impact on Economy and Credit Availability, United States House Committee on Financial Services, November Video Excerpted in March Confidential Filing of Prospectus, Excerpted from Examining the IPO Process: Is it Working for Ordinary Investors? United States Senate Committee on Banking, Housing and Urban Affairs, June Video Excerpted in October On the National Debt and Interest Payments, Excerpted from The Semiannual Monetary Policy Report to Congress, United States House Committee on Financial Services, February Video Excerpted in March How Certain Hedge Funds used their Due Diligence Process in Anticipating the Financial Crisis, Excerpted from Hedge Fund Regulation, Fund Managers Panel, United States House Oversight and Government Reform Committee, November Video Excerpted in March On the Role of Regulators, Excerpted from The Semiannual Monetary Policy Report to Congress, United States Senate Committee on Banking Housing and Urban Affairs, July Video Excerpted in August 2012.

3 PROFESSIONAL EVENTS AND MEETINGS Private Equity Investing in For-Profit Education and Educational Technology, Participant, Association for Corporate Growth, October 2014 Northeast Joint Shark Tank Workshop, Participant, New York Institute of Credit (NYIC) and International Factoring Association (IFA), October 2014 Credit and Margin Committee Meeting, Participant, Securities Industry and Financial Markets Association (SIFMA), October 2014 Credit and Margin Committee Meeting, Participant, SIFMA, May 2014 Credit and Margin Committee Meeting, Participant, SIFMA, February 2014 Credit and Margin Committee Meeting, Participant, SIFMA, January 2014 Credit and Margin Committee Meeting, Participant, SIFMA, October 2013 Credit and Margin Committee Meeting, Participant, SIFMA, September 2013 National Small Business Congress, Participant, November 2012 Hedge Fund Performance Issues, Panel Discussion, Financial Research Associates, April Key Players in the Hedge Fund Industry, Panel Discussion, Financial Research Associates, January Bridging Valuation and Performance Measurement, Panel Discussion, Financial Research Associates, November Fund of Funds Performance Issues, Panel Discussion, Infovest 21, October Key Players in the Hedge Fund Industry, Panel Discussion, Financial Research Associates, September Hedge Fund Failures, Presentation, Institutional Investor, September Hedge Fund Replication, Panel Discussion, Infovest 21, August Bridging Valuation and Performance Measurement, Panel Discussion, Financial Research Associates, June Key Players in the Hedge Fund Industry, Panel Discussion, Financial Research Associates, June Hedge Fund Failures, Presentation, Institutional Investor, May Current Issues in Hedge Fund Performance Measurement, Presentation, Financial Research Associates, April Hedge Fund Operational Risk Management Summit, Conference Chairman, Financial Research Associates, February Why & How to Include Commodities into your Investment Strategy, Panel Discussion, Terrapinn, December Valuation of Illiquid Securities in the Credit Crunch Environment, Panel Discussion, Infovest 21, November Valuation of Hard-to-Value Portfolios Panel Discussion, Financial Research Associates, November Private Equity Performance Panel Discussion, Information Management Network, October Hedge Fund Incubation Presentation, CISDM Conference, September 2007 Hedge Fund Failures Presentation, Financial Research Associates, July Alternative Methodologies of Valuing Hedge Fund Portfolios Webinar Presentation, Financial Research Associates, June Alternative Methodologies of Valuing Hedge Fund Portfolios Presentation, Financial Research Associates, June Commodities and Currencies Investing, Panel Discussion Moderator, Opal Financial Group, March Alternative Methodologies of Valuing Hedge Fund Portfolios Presentation, Financial Research Associates, December 2006.

4 Commodity Indexes Panelist, Information Management Network, October Portable Alpha Panelist, Information Management Network, October Fund of Funds Performance Analysis Presentation, CISDM, September The Interdependence of Risk Measures Presentation, Zephyr Annual Meeting, September Unique Risk Management Challenges of Credit Strategies Panelist, Financial Research Associates, September Investable Hedge Fund Indices Presentation, Institutional Investor, April Issues in Performance Evaluation Moderator, Institutional Investor, April Hedge Fund Performance Presentation, Financial Research Associates, March Alternative Methodologies of Valuing Hedge Fund Portfolios Presentation, Financial Research Associates, November Hedge Funds Indices Presentation, Information Management Network, October Portable Alpha Panelist, Information Management Network, October Measuring CTA Performance Presentation, CISDM, September Commodities and Currencies Investing Panelist, Strategic Research Institute, July Are Hedge Funds an Asset Class? Presentation, Infovest, May Style Analysis Presentation, Terrapinn, April Hedge Fund Performance Presentation, Financial Research Associates, March Liquidity Risk Panelist, Professional Risk Managers International Association (PRMIA), February, Update on Performance Measurement Moderator, Institutional Investor, November Alternative Methodologies of Valuing Hedge Fund Portfolios Presentation, Financial Research Associates, October Hedge Funds Panelist, Financial Management Association International (FMA), Annual Meeting, October Out-of-Sample Hedge Fund Performance Presentation, CISDM, September Commodities and Currencies Investing Moderator, Strategic Research Institute, July What are the Most Effective Tools for Evaluating, Measuring and Monitoring Risk and for Determining Performance Attribution? Panelist, Information Management Network, May The Challenges of Today, The Opportunities of Tomorrow Panelist, Strategy Institute, April The Interdependence of Hedge Fund Risk Measures Presentation, Financial Research Associates, April The Benefits of Fund of Funds in Institutional Portfolios Panelist, Opal Financial Group, February The Interdependence of Hedge Fund Risk Measures Presentation, CISDM, September NETWORKING EVENTS NextGen Panel - Laying the Groundwork - Building Your Network, Turnaround Management Association (TMA), Newark, NJ, October 2014 Joint Boat Cruise, Contemporary Credit Club and New York Banking and Finance, New York, September 2014 Future Leaders Rooftop Reception, NYIC, New York, July 2014 Future Leaders Rooftop Reception, NYIC, New York, July 2013 Joint Boat Cruise, Contemporary Credit Club and New York Banking and Finance, New York, July 2013 Executive Forum Dinner Event, New York, May 2013

5 WORKING PAPERS AND PROJECTS The Determinants of Asset Values. Working Paper, September 2014 An Examination of How Various Asset Classes Impact Total Wealth Values. Applying Securitization to Healthcare. Project, September 2014 An Exploration of How Securitization Concepts Can be Applied to Healthcare Finance. PUBLICATIONS The Role of Short Sellers in the Marketplace in QFinance: The Ultimate Financial Resource, 2009 The Benefits of Private Equity with Thomas Schneeweis and Edward Szado, Journal of Investment Consulting, Vol. 9, No. 1, pp , Fall 2008 Abnormal Return Patterns and Hedge Fund Failures with Hossein Kazemi, Journal of Risk Management in Financial Institutions, Volume 2, Number 1, Performance of Hedge Fund Replication Programs with Edward Szado and William Spurgin, Journal of Alternative Investments, Fall 2008 issue. Hedge Fund Legal Structures and Their Impact on Performance with Edward Szado, Alternative Investment Quarterly, issue #27, The Benefits of Commodity Investments with Thomas Schneeweis and Edward Szado, IMCA Monitor, March/April 2008 issue. Factor Exposures and Hedge Fund Operational Risk: The Case of Amaranth with Hossein Kazemi, Alternative Investment Quarterly, issue #23, Diversification Benefits of Managed Futures with Thomas Schneeweis, Journal of Investment Consulting, Summer 2006 issue. Timely Execution: Evidence from Physicals Futures Markets with Richard Spurgin and Thomas Schneeweis, Journal of Trading, Summer 2006 issue. Omega as a Performance Measure with Hossein Kazemi and Thomas Schneeweis, Journal of Performance Measurement, Spring 2004 issue. Evaluating Hedge Fund Performance: Traditional Versus Conditional Approaches with Burak Cerrahoglu and Alper Daglioglu, Journal of Alternative Investments, Winter 2003 issue. Benefits of Real Estate Investment with Georgi Georgiev and Thomas Kunkel, Journal of Portfolio Management, Special Real Estate issue, 2003.

6 BOOK CHAPTERS, MONOGRAPHS AND WHITE PAPERS CTA/Managed Futures Strategy Benchmarks: Performance and Review with Thomas Schneeweis and Jason Remillard in the Handbook of Commodity Investing published by Wiley. Publication Year An Evaluation of the Commodity Exposure in Commodity Trading Advisors with Kathryn Wilkens in Intelligent Commodity Investing published by Risk Books. Publication Year Eurex Derivative Products in Alternative Investments: The Case for Managed Futures with Thomas Schneeweis and Richard Spurgin, CISDM White Paper, Eurex Derivative Products in Alternative Investments: The Case for Hedge Funds with Thomas Schneeweis and Hossein Kazemi, CISDM White Paper, Creating a Portable Alpha Investment Strategy with Futures and Hedge Funds, CISDM Monograph, The USDX as an Investment and Trading Vehicle: An Update with Thomas Schneeweis and Erkin Mustafokulov, CISDM White Paper, Hedge Fund Classification Methods with Hossein Kazemi and Alper Daglioglu, in Hedge Fund Reader, published by Beard Books. Publication Year The Interdependence of Managed Futures Risk Measures with Manolis Chatiras, in Commodity Trading Advisors: Risk, Performance Analysis and Selection published by Wiley. Publication Year, ONLINE TEACHING Financial Analysis and Decisions Produced an Assortment of Lecture Videos for Online MBA Course in Financial Analysis and Decisions covering topics such as Time Value of Money, Stock and Bond Valuation, Capital Budgeting, Risk and Return Analysis and Options, December 2012 March Average Course Rating: 4.36/5.00 ( ) Produced an Assortment of Lecture Videos for Online MBA Course in Financial Analysis and Decisions covering topics such as Time Value of Money, Stock and Bond Valuation, Capital Budgeting, Risk and Return Analysis and Options, August 2011 October Average Course Rating: 4.24/5.00 ( ) Produced an Assortment of Lecture Videos for Online MBA Course in Financial Analysis and Decisions covering topics such as Time Value of Money, Stock and Bond Valuation, Capital Budgeting, Risk and Return Analysis and Options, December 2010 March Average Course Rating: 4.35/5.00 ( )

7 Private Wealth Management Produced an Assortment of Lecture Videos for Online MBA Course in Private Wealth Management covering topics such as Net Worth, Global Wealth Levels, Asset Allocation and Risk Management, October 2013 December Average Course Rating: 4.07/5.00 ( ) Produced an Assortment of Lecture Videos for Online MBA Course in Private Wealth Management covering topics such as Net Worth, Global Wealth Levels, Asset Allocation and Risk Management, November 2010 December 2010 Average Course Rating: 4.11/5.00 ( ) REVIEWS Article Review, Journal of Alternative Investments, Fall Issue, Article Review, Journal of Alternative Investments, Summer Issue, Article Review, Journal of Alternative Investments, Spring Issue, Article Review, Journal of Alternative Investments, Winter Issue, Article Review, Journal of Alternative Investments, Fall Issue, Web Review, Journal of Alternative Investments, Fall Issue, Book Review, Journal of Alternative Investments, Summer Issue DISSERTATION Conditional Performance Evaluation and Style Analysis: The Case of Hedge Funds and Managed Futures. Chair: Hossein Kazemi, Members: Thomas Schneeweis, Richard Spurgin, Bing Liang and John Staudenmayer. HONORS Research Grant from Foundation of Managed Derivatives Research (FMDR) for research entitled, Hedge Fund Strategy Performance: Using Conditional Approaches -Completed October PROFESSIONAL ACTIVITIES Assistant Editor, Journal of Alternative Investments, Member, Curriculum Committee, CAIA Association, PROFESSIONAL MEMBERSHIPS American Finance Association Association of Certified Fraud Examiners Contemporary Credit Club

8 Financial Management Association National Small Business Association New York Institute of Credit Risk Management Association Western Finance Association UNIVERSITY SERVICE, FUND RAISING AND OUTREACH Assisted in Fund Raising from Financial Services Industry for CISDM/Isenberg School of Management, Coordinated with Industry to host CISDM Annual Research Conferences in Amherst, MA MEDIA QUOTES AND RESEARCH CITATIONS Boston Globe, 2 Mutual Fund Firms Act to Halt Short Sales September 2008 Daily Hampshire Gazette, UMass Center is Home to Database that Tracks Hedge Funds February 2008 Alternative Market Briefing, The Subprime Crisis December 2007 Financial News Online, Liquidity Loss Sparks Hedge Fund Collapses December 2007 Alternative Market Briefing, Factor Exposures October 2007 Focus Point Press, Private Equity and Traditional Hedge Funds Get Blurred July 2007 Bloomberg, Commodity Hedge Funds September 2006 Bloomberg, Commodity Hedge Funds August 2006 Alternative Market Briefing, Finance Man Versus Finance Machine July 2006 Institutional Investor Premium, Mutual Funds September 2005 Ignites.Com, Hybrid Mutual Funds December 2004 Wall Street Journal, New Investing Certification Offered December 26, 2002

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