What is your major field of interest? (choose all that apply)
Physics, Mathematics, Engineering
Ph.D. Engineering Sciences, University of California at San Diego, 1975
M.S. Electrical Engineering, Florida Institute of Technology, 1971
B.S. Electrical Engineering, Florida Institute of Technology, 1969
Series 7, 63 General Securities Licenses, 1995
Series 24 General Securities Principal License, 1995
2008-present Board Member and Advisor to multiple corporations
2005-2008 Senior Fellow, Lockheed Martin Corporation, Larkspur, CO
2003-2005 Senior Principal Research Scientist, Lockheed Martin Corporation, Larkspur, CO
2001-2003 Senior Vice President, ORINCON Corporation International, Durango, CO
1994-2001 President and Chief Scientific Officer, OptiMark Technologies, Inc., Jersey City, NJ
1975-1994 Senior Vice President, Technical Director, ORINCON Corporation International, San Diego, CA
1973-1975: Electronics Engineer, Naval Ocean Systems Center, San Diego, CA
1971-1973: Fellow-Research Assistant and National Science Foundation Trainee, University of California at San Diego.
1969-1971: Electronic Systems Engineer, Harris Corporation, Systems Division, Melbourne, FL
Summary of Experience and Expertise
Dr. Rickard has 35 years of experience in technology and financial organizations, all of it in management and technology development positions. His engineering technical expertise includes signal processing, optimization, neural networks, fuzzy and expert systems, and graphical knowledge representation and inference for machine intelligence. He has additional expertise in several financial engineering disciplines, including transaction systems, market structures, financial analytics, data mining, derivatives pricing, risk analysis and trading strategies.
Dr. Rickard has served on the board of directors of three companies, one of which is a public reporting company. He is currently a board member of Skyler Technology (www.skylertech.com) a company specializing in ultra-low latency trading software for the financial industry. He is also Chairman of the Advisory Board of iNano Capital LLC, an investment firm specializing in the nanotechnology industry, and a Managing Director of Homeland Ventures Partners LLC, a newly-formed venture capital firm specializing in R&D companies in the defense and homeland security industries. In addition to these activities, he consults for companies in the defense and mining industries and develops proprietary trading algorithms for his own investment accounts.
Dr. Rickard has authored numerous technical publications in several branches of engineering, and in the fields of electronic market structure, matching algorithms and trading strategies, which have appeared in refereed technical journals, books and conference proceedings. In addition, he has authored several issued patents.
Dr. Rickard began his career working in the field of digital logic design and testing with Harris Corporation in Melbourne, FL. Later, as a graduate student, he worked part time for the Naval Ocean Systems Center in San Diego, doing design and analysis of radar signal processing algorithms.
In 1975, he joined ORINCON Corporation International as its first employee, and ended his first career with the company in 1994 as Senior Vice President and Technical Director. ORINCON is a diversified company specializing in the design and development of state-of-the-art data and information processing solutions for government and commercial customers. He has served as a Board member of the company since 1981. During the period 1975-1994, he was instrumental in the development of several fundamental advances in U.S. defense capabilities and national intelligence collection systems in the technologies of undersea warfare and image processing. He also led ORINCON’s diversification into international markets, particularly in Europe, securing multi-million dollar contracts with European corporations that established a business line in undersea warfare that is presently ongoing.
From 1994 to 2001, he served first as President, and later as Chief Scientific Officer of OptiMark Technologies, Inc. and its predecessor companies. He is a co-inventor of the OptiMark transaction matching system and several derivative products, and was instrumental as President in the development of the company from a start-up enterprise to an operating entity on the Pacific Stock Exchange, the Nasdaq market and the Osaka Securities Exchange, including the securing of over $350 million in investment capital from major venture capital firms, Wall Street investment bankers and international corporations. He also led OptiMark’s diversification into international markets, particularly in Japan, where he negotiated agreements with the senior executives of Nikkei and QUICK to design, install and operate the system with the Osaka Securities Exchange.
After OptiMark began live trading operations in early 1999, he assumed the role of Chief Scientific Officer, wherein he directed the company’s research and product development for electronic trading, automated transaction control, and multi-attribute searching, matching and negotiation. OptiMark’s early growth in trading volume was met with fierce resistance by the then-dominant U.S. equities exchange, which cut off access to contra-side trading interest in their market. As a result, the company was unable to gain enough liquidity to continue operations. However, the intellectual property embodied in a series of five patents that he co-authored is still a marketable commodity, and active discussions are underway with existing exchanges to adopt their novel technology.
In January 2001, he rejoined ORINCON as Senior Vice President, where his focus was on broadening the company’s technology base, particularly in machine intelligence. After returning to ORINCON, he designed a novel approach to information extraction from non-textual databases (for which he authored three new patent applications), a concept for the defense of commercial airliners against surface to air missile attack, a fuzzy graph representation for physical and virtual networks, and a novel multi-dimensional clustering algorithm, while continuing an active program of business development across multiple technologies and customers.
In June, 2003, ORINCON was acquired by Lockheed Martin Corporation, and Dr. Rickard was appointed to the position of Senior Principal Research Scientist. In December, 2005, he was elected a Senior Fellow of Lockheed Martin, where he continued his work in advancing the company’s business base in advanced technology. In April, 2006 he received the “Author of the Year” award from Lockheed Martin for his publications on conceptual spaces. In January, 2008, he retired from Lockheed Martin, and is presently pursuing opportunities as a Board Member, Advisor and consultant to multiple corporations.
1. “Type-n fuzzy subsethood,” Proceedings, 2008 North American Fuzzy Information Processing Systems Conference (NAFIPS 2008), New York, NY, May 2008.
2. “Type-n fuzzy conceptual spaces,” submitted to Artificial Intelligence (with J. Aisbett and G. Gibbon)
3. “Fuzzy subsethood for Type-n fuzzy sets,” submitted to IEEE Trans. Fuzzy Systems (with J. Aisbett and G. Gibbon)
4. “Hierarchical higher level data fusion using fuzzy Hamming and hypercube clustering,” submitted to Journal of Advances in Information Fusion, 2007 (with K. Sambhoos, R. Nagi and M. Sudit)
5. “In memoriam—reflections on Larry Fogel at ORINCON Corporation (1988-1993),” IEEE Computational Intelligence Magazine, vol. 3, no. 1, pp. 73-74, Feb. 2008.
6. “A mathematical programming approach for modeling conceptual spaces,” 10th International Conference on Information Fusion, Quebec City, Canada, July 2007 (with M. Holender, M. Sudit and R. Nagi)
7. “Fuzzy subsethood for crisp interval Type-2 fuzzy sets,” oral presentation at International Fuzzy Systems 2007 World Congress, Cancun, Mexico, June 2007 (with J. Aisbett and G. Gibbon)
8. “Financial application of a graph-based conceptual representation,” International Conference on Graph Theory and Information Security (ICGTIS 2007), Bandung, Indonesia, Feb. 2007 (with J. Aisbett and G. Gibbon)
9. “Knowledge representation and reasoning in conceptual spaces,” IEEE Symposium on Foundations of Computational Intelligence, Honolulu, HI, April 2007 (with J. Aisbett and G. Gibbon)
10. “Reformulation of the theory of conceptual spaces,” Information Sciences, vol. 177, pp. 4539-4565, 2007 (with J. Aisbett and G. Gibbon)
11. “Hypercube graph representations and fuzzy measures of graph properties,” IEEE Trans. Fuzzy Systems, vol. 15, no. 8, pp. 1278-1293, 2007 (with R.R. Yager)
12. “A concept geometry for conceptual spaces,” Journal of Fuzzy Optimization and Decision Making, vol. 5, pp. 311-329, 2006.
13. “Level 2/3 fusion in conceptual spaces,” presented at 9th International Conference on Information Fusion (Fusion 2006), Florence, Italy, July 2006.
14. “INFERD and entropy for situational awareness,” Journal of Advances in Information Fusion, vol. 2, no. 1, pp. 3-21, June 2007. (with M. Sudit, M. Holender, A. Stotz and R. Yager)
15. “Voltaire: Insider Threat Modeling,” Proceedings 2005 International Conference on Intelligence Analysis, May 2005 (with S. K. Laird)
16. “Mountain Clustering on Non-Uniform Grids Using P-Trees,” Journal of Fuzzy Optimization and Decision Making, vol. 4, pp. 87-102, 2005 (with R.R. Yager and W. Miller)
17. “Mountain Clustering on Non-Uniform Grids,” Proceedings Imagery Analysis and Pattern Recognition Workshop, Washington, DC, October 2004.
18. “Information Systems for Optimal Transaction Implementation,” Journal of Management Information Systems, vol. 16, no. 2, pp. 47-62, Fall 1999 (with N. G. Torre)
19. “Theory of Optimal Transaction Implementation,” Proceedings, Thirty Second Asilomar Conference on Signals, Systems and Computers, November 1998.
20. “Optimal Execution of Portfolio Trades,” Proceedings, Thirty First Asilomar Conference on Signals, Systems and Computers, November 1997.
21. “Optimal Market Structures Based Upon Mutual Satisfaction,” Proceedings, Thirtieth Asilomar Conference on Signals, Systems and Computers, pp. 446-450, November 1996.
22. “Optimum Strategies for Opening Trading in Options,” Proceedings, Thirtieth Asilomar Conference on Signals, Systems and Computers, pp. 451-458, November 1996.
23. “Worst-Case Signal Spectra for Broadband Detection.” IEEE Transactions on Acoustics, Speech, and Signal Processing, ASSP-33:1296-1301, 1985.
24. “On the Detection Theory of Autocoherence,” IEEE Transactions on Information Theory, IT-31:80-90, 1985.
25. “Density-Dependent Sex Ratio Distortion and Developmental Bimodality in Wyeomyia Vanduzeei.” In L. P. Lounibos et al. (Eds.), Ecology of Mosquitoes: Proceedings of a Workshop, Vero Beach, FL: Florida Medical Entomology Laboratory, 1985 (with J. H. Frank and G. A. Curtis).
26. “A Performance Analysis of Adaptive Line Enhancer-Augmented Spectral Detectors.” IEEE Transactions on Acoustics, Speech and Signal Processing, ASSP-29:694-701, 1981 (with J. R. Zeidler, M. Dentino, and M. Shensa).
27. “Optimal Array Processing with 3-D Random Arrays.” Proceedings, International Conference on Acoustics Speech and Signal Processing, 1981.
28. “Performance of an MTI Followed by Incoherent Integration for Non-Fluctuating Signals.” Proceedings, IEEE 1980 International Radar Conference, 194-199, 1980, (with G. M. Dillard).
29. “Coherence Detection Augmented by Adaptive Prefiltering.” Proceedings, 1980 Conference on Information Sciences and Systems, 254-259, 1980 (with J. R. Zeidler).
30. “ROC Performance of the Adaptive Line Enhancer/DFT Detection Processor.” Proceedings, Thirteenth Asilomar Conference on Circuits, Systems and Computers, 525-528, 1979 (with J. R. Zeidler).
31. “ROC Performance of the Adaptive Line Enhancer/DFT Square Law Detector.” Advances in Control (Vol. II of a selection of papers from INFO II). The Second International Conference on Information Sciences and Systems, University of Patras, Greece, 1979 (with J. Zeidler, M. Shensa, and M. Dentino).
32. “New Fidelity Criteria for Discrete-Time Source Encoding.” IEEE Transactions on Information Theory, IT-25:275-282, 1979.
33. “Detection Performance of an Adaptive Processor in Non-Stationary Noise.” Proceedings, 1979 IEEE International Conference on Acoustics, Speech, Signal Processing, pp. 31-39 136-139, 1979 (with J. J. Dentino and J. R. Zeidler).
34. “Second-Order Output Statistics of the Adaptive Line Enhancer.” IEEE Transactions on Acoustics, Speech, Signal Processing, ASSP-27:31-39, 1979 (with J. R. Zeidler).
35. “New Fidelity Criteria for Acoustic Data Compression.” Journal of the Acoustical Society of America, 1978, 64:S115-S116.
36. “Output Autocorrelation and Power Spectrum of the Adaptive Line Enhancer.” Proceedings, Twelfth Asilomar Conference on Circuits, Systems and Computers, 189-193, 1978 (with J. R. Zeidler).
37. “Adaptive Detection Algorithms for Multiple-Target Situations.” IEEE Transactions on Aerospace and Electronics Systems, 338-343, 1977 (with G. M. Dillard).
38. “Adaptive Detection Algorithms for Multiple-Target Spectral Data.” Proceedings, IEEE Conference on Decision and Control, 515-518, 1977 (with G. M. Dillard).
39. “The Zero Crossing Interval Statistics of the Smoothed Random Telegraph Signal.” Information Sciences, 13, 253-268, 1977.
40. “Adaptive Detection Algorithms for Multiple-Target Situations.” Proceedings, 10th Annual Asilomar Conference on Circuits, Systems and Computers, 362-366, 1976 (with G. M. Dillard).
41. “The Zero Crossing Interval Statistics of the Smoothed Random Telegraph Signal.” Proceedings, 1st Annual Allerton Conference on Circuit and System Theory, 271-480, 1976.
42. “The Zero Crossing Variance of the Smoothed Random Telegraph Signal.” International Journal of Control, 21:5, 743-452 (with R. F. Pawula).
43. “A Distribution-Free Doppler Processor.” IEEE Transactions on Aerospace and Electronic Systems, AES-10(4), 479-486, 1974 (with G. M. Dillard).
44. “Zero Crossing Properties of the Smoothed Random Telegraph Signal.” IEEE National Telecommunications Conference Record, 1974 (with R. F. Pawula).
45. “Recursive Estimation for Array Processing.” Proceedings, 5th Asilomar Conference on Circuits and Systems, 1971 (with C. A. Baird, Jr.)
1. U. S. Patent #6,112,189, “Method and apparatus for automating negotiations between parties,” Aug. 29, 2000 (with W. A. Lupien and G. A. Wallace)
2. U. S. Patent #6,098,051, “Crossing network utilizing satisfaction density profile,” Aug. 1, 2000 (with W. A. Lupien).
3. U. S. Patent #6,016,483, “Method and apparatus for automated opening of options exchange,” Jan. 18, 2000 (with W. A. Lupien).
4. U. S. Patent #6,012,046, “Crossing network utilizing satisfaction density profile with price discovery features,” Jan. 4, 2000 (with W. A. Lupien).
5. U.S. Patent #5,845,266, “Crossing network utilizing satisfaction density profile with price discovery features,” Dec. 1, 1998 (with W. A. Lupien).
6. U.S. Patent #4,823,809, “Periodontal probe system,” April 25, 1989 (with F. K. Gott, Jr. and S. F. Connelly).
7. U.S. Patent #4,381,428, “Adaptive quantizer for acoustic binary information transmission,” April 26, 1983 (with R. R. Kolesar and J. R. Zeidler).
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