Expert Witness for Investment Management & Risk Assessment

Comprehensive investment oversight and fiduciary responsibility. Douglas M. Brown managed a $5 billion investment portfolio as New Mexico State Treasurer, and he brings extensive CEO and board-level investment committee experience. As an advisor or an expert witness for investment management litigation, he delivers informed and credible insight on fiduciary standards, portfolio oversight, and ERISA compliance.

Investment Management Experience

New Mexico State Treasurer

  • • Managed $5 billion investment portfolio
  • • Implemented comprehensive risk management framework
  • • Established investment policy and oversight procedures
  • • Transformed agency operations and restored public confidence

Board Investment Committee Service

  • • Trustee of 8 different foundations and investment funds, totaling over $140 Billion in assets
  • • Oversight of pension and endowment funds
  • • Asset allocation and manager selection decisions
  • • Performance monitoring and reporting
Fiduciary Investment Experience

Public Funds Management

Extensive experience managing public investment funds with strict fiduciary standards and regulatory oversight.

Corporate Investment Oversight

Board-level oversight of corporate investment policies, pension funds, and treasury management.

Risk Assessment Expertise

Comprehensive understanding of investment risk metrics, portfolio construction, and regulatory compliance requirements.

Investment Management Expertise

Portfolio Management
  • • Asset allocation strategies and implementation
  • • Investment policy development and oversight
  • • Manager selection and due diligence processes
  • • Performance measurement and benchmarking
Fiduciary Standards
  • • ERISA and fiduciary duty compliance
  • • Investment committee governance and procedures
  • • Prudent investor rule applications
  • • Conflicts of interest identification and management
Risk Assessment
  • • Risk tolerance and capacity evaluation
  • • Stress testing and scenario analysis
  • • Liquidity management and planning
  • • Derivative instruments and alternative investments
Investment Operations
  • • Investment accounting and valuation
  • • Custody and safekeeping arrangements
  • • Trading and execution oversight
  • • Compliance monitoring and reporting
Regulatory Compliance
  • • SEC and state regulatory requirements
  • • Investment Advisers Act compliance
  • • Public funds investment regulations
  • • Disclosure and reporting obligations
Committee Governance
  • • Investment committee structure and operations
  • • Decision-making processes and documentation
  • • Vendor selection and oversight procedures
  • • Investment education and training programs

Investment Litigation Experience

Fiduciary Breach Claims
  • • Investment committee decision-making processes
  • • Prudent investor rule violations
  • • Excessive fee and expense disputes
  • • Conflicts of interest and self-dealing
Investment Performance
  • • Portfolio performance analysis and benchmarking
  • • Investment strategy and implementation issues
  • • Manager selection and oversight failures
  • • Risk management and loss mitigation
Regulatory Compliance
  • • ERISA compliance and reporting violations
  • • SEC and state regulatory enforcement actions
  • • Investment adviser registration and compliance
  • • Public funds investment restriction violations
Valuation and Damages
  • • Investment loss calculation and causation
  • • Alternative investment valuation issues
  • • Market timing and trading practice disputes
  • • Fee and expense allocation challenges

Learn More About My Investment Management Expertise

Please reach out to discuss your client's case, and how you can leverage my background in investment oversight and fiduaiary matters.