Fairlead Strategies

Fairlead Strategies
Fairlead Strategies
Greenwich, CT
Phone: 203-872-6500
www.fairleadstrategies.com

Articles by Fairlead Strategies

Katie Stockton, CMT
Founder and Managing Partner

Katie Stockton

Katie Stockton, CMT is the Founder and Managing Partner of Fairlead Strategies, LLC, an independent research firm and registered investment advisor specializing in technical analysis and tactical investment strategies. She serves as Portfolio Manager for the Fairlead Tactical Sector ETF (TACK), which employs sector rotation and asset allocation to navigate changing market conditions.

Katie has more than two decades of Wall Street experience delivering technical research and strategic insights to institutional investors. Before founding Fairlead, she was Chief Technical Strategist at BTIG and Chief Market Technician at MKM Partners, and she held earlier roles at Morgan Stanley and Wit Soundview.

Katie and her team provide technical research, portfolio consulting, and educational resources to both institutional and individual investors, helping clients apply a disciplined rules-based approach to investing and risk management.

She earned the Chartered Market Technician (CMT®) designation in 2001 and served as Vice President of the CMT Association from 2012 to 2016. Katie holds a BSBA with honors from the University of Richmond. She is a member of her church’s Endowment Investment Committee and served two years on the Board of Directors of Cary Street Partners.

Tom Herrick
Head of Distribution

Tom Herrick

Tom Herrick joined Fairlead Strategies as Head of Distribution at the beginning of April 2025. As Head of Distribution, he is responsible for business development concerning Fairlead research and asset management. Notably, this includes the Fairlead Tactical Sector ETF (TACK), which was launched in 2022 as a partnership between Fairlead and Cary Street Partners. Tom was previously Chief Market Strategist, Managing Director for Cary Street Partners from 2023 to 2024. From 2015 to 2023, Tom was Chief Investment Officer for the firm.  From 2015 to 2024 he was a member of the Cary Street’s Executive Committee. Prior to becoming Chief Investment Officer in 2015, he was a member of the portfolio advisory group manager research team. Tom joined the firm as a Financial Advisor in the Fredericksburg, VA office in 2008. Before joining Cary Street Partners, he was a Financial Advisor at Smith Barney and its predecessor firm Legg Mason Wood Walker. He started his career in 1985 and spent 15 years at Wheat First Securities as a Financial Advisor.

Tom earned a Bachelor of Arts in Economics from the University of Richmond in 1981. He graduated with honors in history.

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