Back Office Support

HMC logo
Harbert Management Corporation's back office infrastructure supports the various investment teams with risk management, legal and compliance, investor relations and investor reporting services. These services are also available to assist portfolio companies where appropriate.

Charles D. Miller
Executive Vice President & Global Head of Distribution

Charlie Miller

Mr. Miller joined Harbert Management Corporation (HMC) in 1994 and became Executive Vice President & CFO in 2002 serving through 2011 when he became Executive Vice President & Global Head of Distribution. He also serves on the company’s Board of Directors. Mr. Miller previously worked with Harbert Corporation, which he joined in 1985, and played a key role in that firm’s transformation from an operating conglomerate. During his career, he has served in various treasury and financial management roles, including Treasurer, Chief Financial Officer and Director of Corporate Acquisitions. His current responsibilities at HMC include the management of all fund raising and investor relations activities, along with credit and treasury functions across the company. He holds a Bachelor of Science degree in Civil Engineering from Auburn University and has completed the Wharton Executive Program at the University of Pennsylvania on Financial Management.



David A. Boutwell
Executive Vice President & Chief Financial Officer

David Boutwell

Mr. Boutwell joined HMC in 1994 and became its EVP & Chief Administrative Officer in 2002 serving through 2011 when he became EVP and Chief Financial Officer. Mr. Boutwell is a Certified Public Accountant and Certified Management Accountant, and he practiced with Ernst & Young from 1979 to 1990. There, he specialized in internal controls, manufacturing companies and public company SEC reporting. Mr. Boutwell joined Harbert Corporation in 1991 as its Director of Financial Projects and became its Controller in 1992. He earned a Bachelor of Sciences and a Master of Arts in Accounting, both from the University of Alabama. He is a member of and provides financial expertise to all of the HMC investment committees. Mr. Boutwell is a member of the Board of Visitors of the Culverhouse School of Commerce at the University of Alabama.

Sonja J. Keeton
Senior Vice President & Chief Administrative Officer

Sonja Keeton

Ms. Keeton joined HMC in 1990 as its Director of Corporate Taxation and Assistant Controller. In 2004, Ms. Keeton became the Controller of HMC and in 2011 became its Sr. VP and Chief Administrative Officer. Ms. Keeton is a Certified Public Accountant who practiced with PricewaterhouseCoopers (formerly Coopers & Lybrand) prior to joining Harbert in 1990. There she practiced in internal controls with a focus on healthcare, banking and construction industries. Ms. Keeton joined Harbert Corporation in 1990 and became its Director of Corporate Taxation and Assistant Controller in 1992. She received her Bachelor of Arts degree in Accounting from the University of South Alabama in 1986.

John W. McCullough
Senior Vice President & General Counsel

John McCullough

Mr. McCullough joined HMC in 2006 as a Vice President and Associate General Counsel, was appointed Senior Vice President and General Counsel effective March 9, 2009 and was elected to serve on the Board of Directors in 2014. Before joining HMC, he was a partner in the law firm of Balch & Bingham LLP and Associate General Counsel of a publicly traded client of that firm. He also serves as a member of the Board of Trustees of McWane Science Center, a science museum and early learning center in Birmingham, Alabama. Mr. McCullough received a Bachelor of Arts in Economics from Washington and Lee University and received a law degree from the Cumberland School of Law of Samford University.


Michael C. Bauder
Vice President & Chief Compliance Officer


Mr. Bauder joined Harbert Management Corporation’s legal department in July 2006 as Vice President – Chief Compliance Officer and is responsible for ensuring that the firm’s policies and procedures are reasonably designed to prevent, detect and correct violations of applicable securities laws. Prior to joining HMC Mike served in a dual capacity as Chief Compliance Officer for Hancock Investment Services, and Horizon Advisers. With 20 years of industry experience Mike holds the NSCP Certified Securities Compliance Professional designation and series 7,4,24,63,65,53,27 licenses. Mike earned his BS in Economics from Florida Southern College in 1991.

Thomas M. Hicks
Vice President & Director of Risk Management


Mr. Hicks joined HMC in 2004 and became Director of Risk Management in 2007. The Risk Management Department is responsible for monitoring and reporting risk exposures across HMC’s various investment strategies. The department includes 4 Directors, the Manager of Hedge Fund Investor Reporting, and hedge fund accountants.  The group oversees various risk management functions including valuation analysis, internal audit, hedge fund accounting, and risk reporting. There are 3 CPAs and 2 CFA charter holders within the department. Prior to joining Harbert, Mr. Hicks was manager of the Munich back office accounting team at State Street IMS West and previously worked for a private investment firm. He earned a Bachelor of Science in Accounting and Finance as well as a Masters in Business Administration from the University of Alabama, Birmingham. Mr. Hicks is a Chartered Financial Analyst and a member of the CFA Institute and CFA Society of Alabama.  Mr. Hicks has also earned the PRM designation from The Professional Risk Managers’ International Association.


Jeffrey B. Liles
Chief Information Officer


Mr. Liles joined Harbert Management Corporation in February of 2011. He is responsible for global technology initiatives at HMC, including network Infrastructure, business continuity and disaster recovery, software support, mobility management, and telecommunications. Mr. Liles is an experienced Senior Information Technology Executive with over 27 years of corporate expertise, involving both domestic and international companies. Throughout his career, he has held numerous key management positions focusing on core computing competencies, process engineering, data architecture, security, and network operations within the manufacturing, logistics, and financial industries. Mr. Liles earned a BS degree in Health Care Management from the University of Alabama and a BS degree in Computer Science from Jacksonville State University.