INVESTMENT MANAGEMENT/ FINANCIAL SERVICES
Officer • Consultant • Analyst
Respected executive with distinguished 20-year career leading investment and portfolio management initiatives. Consistent record of delivering substantial gains in growth and profitability. Inspirational team builder and creative over-achiever known for integrity, strong character, and exceptional interpersonal skills.
Areas of expertise include:
Investment Management: Expert in portfolio management and consulting as well as alternative investments including Hedge Fund strategy consulting/selling and private equity investment.
Private Wealth Management: Excel in cultivating, building, and managing relationships with wealthy individuals or family groups.
Practice Management: Adept at creating strategic staffing models, designing team workflow/communication, promoting concierge service, facilitating partnerships, and staging sales practices.
Risk Management: Extensive knowledge of risk mitigation, legal compliance and regulatory affairs.
Management Consulting: Ability to assimilate disparate data and draw business conclusions that support business strategies while providing the lead-time to be first to market.
PROFESSIONAL EXPERIENCE
2006 – Present
Consulting Firm
Consultant
Engaged by turnaround manager specializing in startups and venture capital firms to provide support in diverse, multifaceted and sometimes complex situations. Prepare assessment studies to determine the situation, evaluate the risks and opportunities, and work with management in planning and strategy development to direct each client to operational and financial stability.
-Gathered operational and financial information, evaluated it for accuracy, and analyzed it to meet hard deadlines by senior management.
-Offered strategic insight to help under-performing company improve profits and enhance enterprise value.
-Helped assess the viability of a business, and collaborated with management to develop a revitalization plan.
2004 – 2006
Money Management Firm
Owner / Chief Operating Officer
Founding member of global investment manager with a 50% annual growth rate. Integral member of Investment Committee with full accountability for all portfolio management decisions. Provide visionary leadership and strategic direction in areas of compliance, finance, operations, client service and HR. Manage ERISA plans, corporate and endowment funds, and high net worth accounts.
Impact: Played key role in firm’s growth. Closed multiple multi-million dollar agreements and developed disciplined investment process.
-Contributed to 100% plus AUM growth by expanding distribution channels to major wirehouses, RIA’s, IBD’s and sub-advisor market.
-Broadened scope of investments and revamped investment strategy, leading design of several new products.
-Achieved national recognition, winning award for Investment Manager performance in 2006 and 2005.
-Directly influenced firm’s strategic and operational decisions regarding risk management, legal matters, and regulatory requirements.
-Met projected volume and profitability goals by co-developing strategic plans and sales forecasts, as well as negotiating pricing and volume discounts with vendors.
-Developed new business model and transformed company into SEC Registered Investment Adviser.
-Secured, strengthened, and preserved relationships with wealthy individuals and family groups as well as high net worth business investors and their consultants by easily gaining trust and inspiring confidence.
-Substantially impacted corporate culture and created a positive workplace by setting clear goals, encouraging smart risk-taking, and rewarding exceptional performance.
2001 - 2004
Boutique Money Manager
Managing Partner
Key player in all portfolio management decisions for a boutique money manager. Advanced sales and marketing initiatives while shouldering all operational, procedural and investmentrelated matters for clients. Spearheaded entire sales cycle management process from pre-sale investment analysis through post-sale performance review. Led executive team in conducting due diligence activities.
Impact: Propelled successful merger of practice moving most promising client assets and selling remaining assets. Recognized as group’s largest contributor to new business, relationships, and leads.
-Added $40M in new assets via design and implementation of marketing strategy.
-Formulated new client service policies built on providing the highest level of service, integrity, and professionalism.
-Directed divestiture of $100M in assets while rectifying complex legal issues, resulting in successful resolution in 2005.
1989 - 2001
Global Financial Services Firm
Account Vice President
Built practice from the ground up. Designed business model to support professional money management and transaction services. Provided expert counsel to clients on investment strategy, portfolio structure, manager selection, and other investment issues. Devised optimal solutions to complex financial funding scenarios. Grew fee-based business via separately managed accounts, alternative investment products, and mutual fund wrap accounts.
Impact: Capitalized on new business opportunities by blending asset allocation, rigorous security/manager selection, and distinct proactive buy/sell strategies.
-Took business from zero to $30M in assets.
-Consistently ranked among the top 5 for new account recruitment (out of 40 executives).
-Achieved record of 100% customer satisfaction during entire 12-year tenure.
1987 – 1989
Boutique Insurance Agency
Vice President / Sales
Recruited to establish corporate benefits division and penetrate local market for boutique insurance agency specializing in P&C and Group Benefit Programs. Drove revenues by delivering quality group benefits and C-level executive solutions to clients. Crafted strategic marketing plans for qualified retirement plan services.
Impact: Leveraged initiative and tenacity to establish lasting presence in local corporate benefit market.
-Generated $50K in annual revenue from group insurance in just 3 months.
EDUCATION & LICENSURE
-MBA in Finance
-BA in Business
-Series 7, 24, 31, 63 and 66 Security Licenses |
