Jay Rogers is a Bates Testifying Expert and a highly accomplished investment professional and expert witness with more than three decades of specialized experience in alternative investments, family offices, private equity, private credit, hedge funds, venture capital, real estate, and securities. As President of Alpha Strategies Investment Consulting (founded 2009), he serves as outsourced CEO/CIO to single-family offices and their foundations, leading manager selection, due diligence, asset allocation, and sophisticated tax and legal structuring to deliver pure alpha for ultra-high-net-worth and institutional clients. His extensive background—coupled with roles at Morgan Stanley, Wells Fargo, Bear Stearns, and as CIO for multiple family offices and a California Finance Lender—enables him to provide authoritative, objective analysis of fiduciary duty, industry customs, contractual obligations, and regulatory standards in complex financial litigation.
Jay has testified in both Federal and State courts, participated in numerous depositions and mediations, and prepared expert reports and litigation strategy in cases involving breach of fiduciary duty, securities matters, investment suitability, broker-dealer conduct, private placements, and related business disputes. His engagements have included plaintiff, and defense matters across jurisdictions such as California, Nevada, New York, Texas, and Iowa. Recognized through leading expert witness networks, he draws directly on his practical experience turning around a PE-owned consumer lending portfolio, chairing family-office investment committees, and managing broker-dealer operations to deliver clear, well-reasoned opinions that assist triers of fact. A frequent speaker at IMN, Opal Financial, Institutional Investor, and other industry forums, as well as a guest lecturer at USC Marshall School of Business, Mr. Rogers is valued for his ability to translate intricate investment and securities issues into accessible testimony while maintaining the highest standards of professionalism and impartiality.
Jay is a consultant and subject matter expert in these Practice Areas and Services:
-
Securities and Financial Services Litigation & Consulting
- Alternative Investments
- Asset Backed Securities (ABS)
- Branch Management
- Broker Dealer (BD)
- Capital Markets
- Complaints
- Corporate Finance
- Corporate Governance
- Customer Relationship Summary - Form CRS
- Elder Issues
- Employment
- Equities
- ERISA
- Estate Planning
- ETFs
- Fiduciary Duties
- Fixed Income
- Fraud
- Hedge Funds
- High Frequency Trading
- Industry Standards
- Insider Trading
- Investment Advisory
- Investment Management
- IPOs
- Limited Partnerships
- Market Manipulation
- Money Laundering
- Mortgage-Backed Securities (MBS)
- Municipal Securities
- Mutual Fund Operations
- Mutual Funds
- Non-Publicly Traded Alternative Investments
- Operations
- Options
- Outside Business Activity
- Portfolio Management
- Private Equity
- Private Placements
- Private Securities Transactions
- Registered Investment Advisers (RIAs)
- Regulation Best Interest (Reg BI)
- REITs
- Retirement Plans and IRAs
- RIA Sales & Distribution
- Risk Management
- Sales Practice
- Securities Lending
- Selling Away
- Senior Investors
- Structured Products/Structured Notes
- Suitability
- Supervision
- Trust Investments
- Trusts
- U-5 Reporting
- Unauthorized Trading
- Wrongful Termination
-
BD-RIA Compliance
- Broker Dealer Compliance Reviews
- Business Continuity Plans
- Disaster Recovery & Incident Responses
- Know Your Customer Reviews
- Registered Investment Advisers Compliance Reviews
-
Fintech and Banking Compliance
- Anti-Money Laundering
- Consumer Lending
- Fraud & Risk Management
Credentials
EXPERIENCE
Bates Group, Testifying Expert, 2026 – Present
Alpha Strategies Investment Consulting, President, Irvine, CA, 2009 – Present
Four Thirteen, LLC, Chief Executive Officer/Chief Investment Officer, Cheyenne, WY 2019 – 2023
Five 9 Securities, LLC, Managing Principal, 2015 – 2020
Loantopia, LLC, Chief Executive Officer, Irvine, CA, 2018 – 2019
Bergendahl Holdings, Executive Director and Chief Investment Officer, Irvine, CA, 2011 – 2018
Alpha Strategies Investment Management, President, Irvine, CA, 2011 – 2016
Independent Financial Marketing Inc., Managing Director, Pasadena, CA, 2006 – 2009
Diamond Portfolio Advisors, LLC, Managing Director, Los Angeles, CA, 2003 – 2008
R & L Partners, LLC, Principal, Sherman Oaks, CA, 2001 – 2005
Bear Stearns, Vice President, Los Angeles, CA, 2001
Wells Fargo Bank, Private Client Manager, Beverly Hills, CA, 1998 – 2001
Morgan Stanley, Financial Advisor, Beverly Hills, CA, 1995 – 1997
EDUCATION
Bachelor of Science (BS), Northeastern University, Boston, MA
HarvardX, Certificate, Contract Law: From Trust to Promise to Contract
USMC Officer Candidate School, Quantico, VA
Dean Witter Graduate School, Wharton School of Business, Philadelphia, PA
Canon Financial Training, Advanced Estate Planning
PROFESSIONAL QUALIFICATIONS/LICENSING
- FINRA Series 7, 24, 31, 63, 99, 65 (current)
- California Life Insurance
PROFESSIONAL AFFILIATIONS
- Investment Management Consultants Association
- CFA Institute and CFA Society of Orange County
INDUSTRY RECOGNITION
- Corp Today Awards, Most innovative Alternative Investment Manager – California, 2022
- Corp Today Awards, Best for Alternative Investment Opportunities – California, 2022
- Global Business Awards, Best Family Office Outsourced CIO (USA), 2022
- Global Business Awards (Corp Today Magazine), Best Family Office Outsourced CIO, 2021
- Orange Coast Magazine, Five Star Wealth Manager – Highest in Service & Overall Satisfaction, 2020
- AI Hedge Fund Awards, Family Office of the Year & Recognized Leaders in Asset Allocation & Due Diligence, 2019
- AI Hedge Fund Awards, Best for Sophisticated Alternative Investment Opportunities, 2018
- AI Private Equity Awards, Best for Family Office Private Equity Investments – Southern California, 2016
- Wealth & Finance International, Best for Alternative Investment Opportunities – California, 2015
- Wealth & Finance International, Best Investment Advisory – USA, 2015
- M&A Awards (Corporate Livewire), Alternative Investment Platform of the Year, 2015
- M&A Awards (Corporate Livewire), Excellence in Private Equity Investments –USA, 2015
- International Hedge Fund Awards, Sustained Excellence Award – Hybrid Private Equity/Hedge Fund & Investment Advisory Firm of the Year, 2014
- International Hedge Fund Awards, Family Office Choice: Consultancy Firm of the Year, 2014
- AI Finance Awards Winner, Investment Consultancy (California), 2013
- International Hedge Fund Awards, Rising Star of Hedge Funds, 2012
PERSONAL AFFILIATIONS
- Junior Achievement, Beverly Hills High School, Applied Economics Advisor, 1996 – 2001
- Boy Scouts of America, Western LA County Council, Crescent Bay District, District Chairman
- Boy Scouts of America, Orange County Council, Saddleback District, Major Gifts Chairman
- National Eagle Scout Association, Orange County Chapter
- Ladera Ranch Maintenance Corporation, Neighborhood Representative
- Southern California Youth Rugby, Board President
- Ladera Ranch Community Services, Board Officer
- National Rifle Association, Life Member
PUBLICATIONS
Publication and Speaking Engagement Addendum upon request.