Legal | Compliance

John W. McCullough
Executive Vice President & General Counsel

John W. 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. He was named Executive Vice President and General Counsel and appointed to the Executive Committee of the Board of Directors in 2016. Before joining HMC, Mr. McCullough was a partner in the law firm of Balch & Bingham LLP and Associate General Counsel of a publicly traded client of that firm. Mr. McCullough is active in the community, currently serving as a member of the Board of Directors of the Economic Development Partnership of Alabama and a past 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 4, 7, 24, 27, 53, 63, 65, 79 licenses. Mike earned his BS in Economics from Florida Southern College in 1991.

Elizabeth A. Adams
Director of Internal Audit

Ms. Adams joined HMC as Director of Internal Audit in May 2002 and is responsible for monitoring investment policies and procedures, attending investment committee meetings, and performing various internal audit functions. Ms. Adams reports to HMC’s Executive Vice President & General Counsel as well as HMC’s Board of Directors and is independent of the Firm’s investment management teams. Ms. Adams has over 30 years of professional experience as a Certified Public Accountant. Prior to joining HMC, Ms. Adams was employed by the Birmingham office of PricewaterhouseCoopers LLP (“PwC”) from 1992 to 2002 and was serving as a Senior Manager at the time of her departure. While at PwC, Ms. Adams primarily served public manufacturing clients and specialized in SEC reporting. Ms. Adams holds a Bachelor of Science Degree in Accounting from Troy University and holds the designee of Certified Fraud Examiner. In April 2000, Ms. Adams was named Troy University’s Young Alumnus of the Year in Accounting and is a past president of the Board of Directors for the HERO Foundation (Harbert Employees Reaching Out).

R. A. (Trey) Ferguson III
Vice President and Associate General Counsel

Mr. Ferguson joined HMC in April 2006. Prior to joining HMC, Mr. Ferguson was an associate with Johnston Barton Proctor & Powell LLP in Birmingham, Alabama, where his practice was devoted primarily to mergers and acquisitions, securities and private equity transactions, and corporate and partnership taxation. Mr. Ferguson currently serves on the Investment Committees for HMC’s Growth Capital and Credit Solutions strategies. He has represented HMC and its sponsored funds serving on the board of directors of several private companies throughout the U.S. and Australia. Mr. Ferguson also serves at the Chairman of the Investment Committee of the Alabama Futures Fund, an investment fund that makes seed or early-stage venture capital investments in early-stage businesses who are domiciled, have significant assets or principal business operations in Alabama. Mr. Ferguson holds a Bachelor of Science Degree in Finance from Auburn University, a Juris Doctorate Degree from the University of Alabama School of Law and a Master of Laws Degree in Taxation from the New York University School of Law.

Bufkin K. Frazier
Vice President and Associate General Counsel

Ms. Frazier joined HMC in 2008. Ms. Frazier’s responsibilities include regulatory compliance and providing corporate legal support to HMC and its investment funds. She also serves on HMC’s ESG Committee. Prior to joining HMC, Ms. Frazier was an associate at Walston, Wells & Birchall, LLP, where her practice focused on business transactions and taxation. Ms. Frazier holds a Bachelor of Science Degree in Accounting from the University of Southern Mississippi, a Juris Doctor Degree from the University of Alabama School of Law, and a Master of Laws Degree in Taxation from the University of Florida College of Law.

S. Perry Given, Jr.
Vice President and Associate General Counsel

Mr. Given joined HMC in 1981 and has held responsibilities in the areas of general corporate law, fund formation, transactions, financings, litigation management, real estate legal functions and oversight for human resources and insurance/risk management. Mr. Given is Vice President and Associate General Counsel of HMC and is General Counsel for Harbert Realty Services. He also serves on Harbert Realty Services’ Board of Directors. Mr. Given holds a Juris Doctor Degree from the University of Alabama School of Law and a Bachelor of Arts degree in business and history from Vanderbilt University. Mr. Given is currently serving on the Board of Directors of Alabama Goodwill Industries, Inc., the Quarterbacking Children’s Health Foundation (“QCHF”) and the Monday Morning Quarterback Club (the fundraising arm of the QCHF).

Kevin A. McGovern
Vice President & Associate General Counsel

Mr. McGovern joined HMC in 2006 and currently is Vice President and Associate General Counsel, focusing on HMC’s Absolute Return Strategies. Prior to joining HMC, Mr. McGovern practiced at the law firm of Balch & Bingham, LLP. Mr. McGovern is a member of the School Board at Our Lady of Sorrows Catholic School. Mr. McGovern earned a Master of Business Administration and a Bachelor of Science in Accounting from Spring Hill College, a Juris Doctor Degree from the University of Alabama School of Law, and a Master of Laws Degree in Taxation from the Georgetown University Law Center.