IWI Webinar Series 2023

Catherine has significant corporate finance and institutional advisory experience and has been in the investment field since 1993. Before joining RBC, she was part of the SRI Wealth Management Group at Piper Jaffray for five years where she advised foundations, non-profit organizations and high net worth
individuals on ESG investments. Prior to Piper Jaffray, Catherine worked with J.P. Morgan for almost seven years as an investment banker covering the healthcare, natural resources and technology sectors. During her tenure at J.P. Morgan, Catherine advised clients on over $5 billion of M&A, project finance and equity and fixed income underwriting transactions. She was based in the New York, San Francisco, and Hong Kong offices, and has expertise in advising multi-national companies. Prior to that, she was an analyst in the International Banking Department of Chinatrust Commercial Bank in Taiwan, part of one of the largest conglomerates in Taiwan. She performed investment analysis for a variety of project finance transactions and assisted in establishing its Hong Kong office. Catherine is a Board Member of the East Bay Community Foundation, former Advisory Board member of the Women's Funding Network, and former Board member of the Children's Council of San Francisco. She is a graduate of U.C. Berkeley and has a BA in both Economics and History where she is a Cal Alumni Scholar. She is also a Certified Investment Management Analyst (CIMA^®), a designation she earned from the Wharton School at the University of Pennsylvania and is a member of IMCA (Investment Management Consultants Association). She has passed the Series 7 and Series 66 exams, and holds a California insurance license. Catherine was recognized as a 2019 Financial Times Top 400 Financial Advisor and as a 2020 and 2021 Forbes/SHOOK Best in State Wealth Advisor. She also won the Forbes/SHOOK Working Mothers Award in 2019 and 2020. Catherine is a member of the Social Investment Forum. She has sat on the firm’s Investment Advisory Group Council, is a member of the firm’s Senior Consulting Group, and is part of the Chairman’s Council in the firm (which is a distinction bestowed on high producing advisors in the firm).

Farralon joined the SRI Wealth Management Group with over 11 years of finance experience in trading, operations and project management in the hedge fund and financial software spaces. She focuses on ESG analysis, client service and manager research within the firm. Until RBC Wealth Management, Farralon’s entire career was spent at Asia-focused firms. Farralon worked for Tora Trading Services as an Equity Finance Manager in Client Services where she supported institutional clients and managed a cross-functional team to develop an equity finance module for Tora’s investment software. Prior to that, she worked as an Operations Manager and Trader at Evolution Capital Management, an alternative asset manager, where she developed the China Fund’s reporting, risk metrics, and operations. Farralon is a CFA charterholder and a graduate of the University of Pennsylvania, where she earned a B.A. in International Relations. She has passed the Series 7, 63 and 65 license exams from FINRA, and has earned the CFA UK Level 4 Certificate in ESG Investing. Farralon is passionate about inciting sound personal finance practices in her community and has authored and taught several personal finance courses. She serves as the Chair of the Board of the Delta San Francisco Peninsula Foundation and was also Treasurer of the Board for 4 years, where she was responsible for leading the Foundation’s investment committee decisions.

Inclusivity and Valuing Diversity

August 10, 2023

August 31, 2023

September 28, 2023

Speaker Biographies

Thank You to Our Sponsors:


Catherine Chen, CIMA^®, AWM, Managing Director, Financial Advisor, RBC Wealth Management	Michelle Schiro, Financial Advisor, RBC Wealth Management	Farralon Udom, CFA^® Financial Advisor, RBC Wealth Management