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SecuritiesLitigation Support and Consulting

Few individuals possess the perspective in the field of securities litigation support and consulting as does Brampton Gillow LLC Principal and Managing Director Christopher Bates.  

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As one of the founding partners of Bates Private Capital in 1987 along with his father, John Bates, Christopher Bates was the engine behind the original Bates Analysis, designing the format and computational processes behind thousands of account analyses. Mr. Bates left Bates Private Capital in 2005 to pursue other interests after it was sold to LECG Inc., but the former BPC continues to operate today as Bates Group.

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From the beginning in 1987 all statement (and other) data had to be input manually as there were no digital downloads until many years later.  Mr. Bates designed an efficient method of inputting monthly account statement data and a program to organize it allowing analysts at Bates Private Capital to quickly and accurately complete so many P/(L)s, and securities attorneys to easily understand the matter before them.   In addition to designing the analysis process and format, and personally completing innumerable analyses himself, Mr. Bates consulted extensively to attorneys in interpreting the P/(L) data as prepared and also testified at FINRA arbitrations and Federal court trials.

Mr. Bates is now again prepared to consult with attorneys engaged in securities litigation across diverse areas of securities knowledge, forums, and scope.  Mr. Bates combines a acuity for application of technology in the field with the ability to analyze and synthesize large data sets relating to securities industry parameters, and relies on years of practical experience in the industry in various capacities, i.e. as an FX trader, co-manager of a family office, fixed-income manager to governmental entities, and now as a Registered Investment Advisor in the State of Oregon.

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In the litigation support modus we at Brampton Gillow have the ability to cost-effectively assist in any size matter from the smallest up to and including any large matter which might demand a case-specific cloud-based platform solution.

Christopher Bates CV

Consulting Expertise and Areas of Knowledge

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  • Complete transactional and mark-to-market accounting of any securities account

  • Activity levels, over-trading, churning

  • Suitability, all securities in the context of account holder

  • Analysis and discovery of strategic intent, interpreting trading patterns

  • Over-concentration, over-diversification

  • Benchmarking, custom benchmark creation

  • Calculation of statistical comparative measures, i.e. Sharpe Ratio, etc.

  • Return measurements, appropriately weighted

  • Tax inefficiencies

  • Mean Variance Optimization, efficient frontier, Asset allocation studies

  • Asset class correlations; dispersion theory and strategies

  • Fixed income portfolio analysis 

  • Fixed Income duration sensitivity analysis

  • Option strategy identification

  • Option theory plus Greeks

  • Volatility products, volatility special risks

  • Advisor fiduciary duties

  • RIA formation and compliance

  • Economic opportunity cost analysis

  • Foreign exchange 

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