Christopher Moore
About Christopher Moore
Christopher Moore (birth year: 1984) serves as Vice President and Secretary of SRH Total Return Fund, Inc. (STEW); he has held officer roles since 2021 and was most recently re-elected by the Board on February 13, 2025 . He concurrently serves as General Counsel of Paralel Technologies LLC and General Counsel and Chief Compliance Officer of Paralel Advisors LLC, reflecting a legal and compliance-centric background across registered investment adviser and fund administration ecosystems . Prior experience includes Deputy General Counsel and Legal Operations Manager at RiverNorth Capital Management (2020–2021), VP/Senior Counsel at ALPS Fund Services (2016–2020), associate at Thompson Hine LLP (2013–2016), and CPA work at Ernst & Young (2007–2009) . Fund-level TSR, revenue growth, and EBITDA growth are not disclosed in the proxy materials provided; the Fund’s governance emphasizes oversight by Independent Directors with day-to-day operations managed by service providers (Paralel, SRH, PTL) rather than by Fund officers .
Past Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| RiverNorth Capital Management, LLC | Deputy General Counsel; Legal Operations Manager | 2020–2021 | Legal operations and compliance support for asset management activities . |
| ALPS Fund Services, Inc. | VP; Senior Counsel | 2016–2020 | Fund services legal counsel supporting registered product administration and governance . |
| Thompson Hine LLP | Associate | 2013–2016 | Corporate/finance legal practice experience relevant to investment company counsel work . |
| Ernst & Young, LLP | CPA | 2007–2009 | Foundational audit/accounting experience relevant to regulated funds and advisers . |
External Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| Paralel Technologies LLC | General Counsel | Since 2021 | Primary legal counsel for fund administrator; supports Fund officer responsibilities and Board reporting . |
| Paralel Advisors LLC | General Counsel; Chief Compliance Officer | Since 2021 | Legal and compliance leadership for the Fund’s investment adviser; supports regulatory and fiduciary oversight . |
Fixed Compensation
- Executive officers (including Christopher Moore) do not receive compensation from the Fund for acting as officers; only Independent Directors receive fees. Officers may receive compensation from Paralel (or affiliates) or SRH for their roles, but those amounts are not disclosed by the Fund .
| Component | FY 2024 | Notes |
|---|---|---|
| Fund-paid officer cash compensation ($) | $0 | The Fund states officers do not receive compensation for acting as officers . |
| Pension/retirement benefits from Fund | None | The Fund discloses no pension/retirement benefits for directors or executive officers . |
| Compensation committee | None | Board has Audit, Nominating, QLCC committees; no Compensation Committee . |
Equity Ownership & Alignment
| Item | Value | Notes |
|---|---|---|
| Shares beneficially owned (Fund common stock) | — | Christopher Moore listed with “—” shares in the beneficial ownership table . |
| Percent of shares outstanding | * | “*” denotes less than one percent in the table . |
| Vested vs. unvested shares | Not disclosed | Fund proxies provide total beneficial holdings but not vesting breakdowns . |
| Options (exercisable/unexercisable) | Not disclosed | No option tables or awards disclosed for officers . |
| Shares pledged as collateral | Not disclosed | No pledging disclosures identified for officers . |
| Ownership guidelines (officers) | Not disclosed | Dollar-range ownership disclosures provided for Directors, not officers . |
Section 16(a) compliance: The Fund believes all required ownership reporting was complied with during FY 2024, based on representations and its review of filed forms .
Employment Terms
| Term | Detail | Notes |
|---|---|---|
| Officer positions | Vice President; Secretary | Latest proxy explicitly lists these offices for Christopher Moore . |
| Election cadence | Officers elected annually; hold office until successor elected | Standard officer term per proxy . |
| Most recent election date | February 13, 2025 | Officers were elected/re-elected by the Board on this date . |
| Prior election dates | February 1, 2024; February 2, 2023 | Prior annual officer elections . |
| Employment agreement/severance | Not disclosed | No employment contracts, severance, or change-of-control terms disclosed for officers in the proxy . |
| Non-compete/non-solicit | Not disclosed | No contractual restrictive covenants disclosed in proxy . |
| Clawbacks/hedging/pledging policy | Not disclosed | No explicit policies for officers disclosed in proxy . |
Investment Implications
- Pay-for-performance alignment: Fund officers (including Moore) are not paid by the Fund; compensation occurs at service providers (Paralel/SRH), and no Fund-level salary, bonus, options, RSUs/PSUs, or performance metric linkages are disclosed—limiting direct pay-for-performance assessment at the Fund level .
- Insider selling pressure: Proxy ownership tables show Moore with no Fund share ownership, suggesting minimal insider selling pressure risk tied to personal holdings; Section 16(a) compliance was affirmed by the Fund for FY 2024 .
- Retention/contract risk: Officers are elected annually and serve until successors are elected; no severance or change-of-control terms are disclosed, implying retention and economics depend primarily on external employment with Paralel/SRH rather than Fund-specific contracts .
- Governance structure: Absence of a Compensation Committee and reliance on service providers for day-to-day operations concentrate compensation oversight outside the Fund, reinforcing that officer incentives and retention drivers are primarily within Paralel/SRH frameworks rather than Fund-controlled plans .