Position	Results oriented, proven, Wealth Management Exec
Location Confidential	No
Location	No preference
Willing to Relocate	Yes
Industry	Financial-Brokerage/Mut.Fund/Securities/MoneyMgmt
Function	GENERAL-MANAGEMENT--CEO/COO/GM
Compensation	$300,000 to $600,000
Resume Summary
Proven leader substantially increases bottom line in financial service organizations, Harvard MBA. Industry expertise: Wealth Management, Trust, Brokerage, Insurance and Financial Planning
Resume Body      RESULTS ORIENTED, PROVEN, WEALTH MANAGEMENT EXEC
FINANCIAL SERVICES EXECUTIVE Transitioning Start-Up, Under-Performing & Emerging Operations into Rapid Growth Successful Enterprises EXPERIENCE: 15+ years of experience with a reputation for infusing dramatic, profitable growth by quickly determining the organization’s strengths and weaknesses in its industry; crafting a strategic plan for future growth; driving "straight-talk, team-oriented" cultures; building strong senior teams; embedding knowledge of, and responsibility for, the P&L throughout the organization, and focusing on top and bottom line results. CAREER HISTORY Wealth Management Industry Advisor 2006 to Present Through extensive network and personal reputation, secured engagements to share industry insights and expertise. - Adjunct Faculty Member, Cannon Financial Institute, Inc. designing and teaching courses on sales and building your business in the Wealth Management industry. - Appointed Adjunct Professor at DePaul University, creating and teaching an undergraduate financial services sales course. - Presented "Trust and Wealth Management in Banking" symposium at 2006 Deloitte Banking Conference - Retained by American Banking Association to consult on creating a wealth management-training curriculum. Senior Managing Director / Head, Wealth Management Group - B.C. ZIEGLER AND COMPANY 2005 to 2006 Full-service regional brokerage, investment banking and asset management firm with $100 million in revenues in 2006. Recruited into the holding company as a top executive for $26 million/yr revenue brokerage unit. Held full responsibility for 153 employees, 13 offices nationwide, and $6B+ assets under management Reported to the President and served on an 11-member executive team. Business Diversification & Expansion - Delivered double-digit sales growth in just 10 months with 2006 revenues projected to reach $30.6M by introducing cross-selling and client relationship management philosophies. Held expenses to 2005 levels. - Created and launched a long-term business strategy to move organization from mail order bond sales to robust wealth management. Backed up strategies with department realignment, sales training and updated market research and promotions. - Exited the business, despite strong performance results, during a corporate shake-up affecting the entire leadership team. Managing Director & Head, Wealth Management & Trust - THE PRIVATEBANK & TRUST COMPANY 2002 to 2004 $280M publicly held bank offering customized banking and money management services to wealthy individuals, family offices, business owners and commercial real estate investors Hired by the CEO to build a strong, growth-oriented Wealth Management business after proposing Chicago Trust (former employer) as a potential acquisition to open up the bank to a broader product offering and market segment. Held full P&L oversight for 29 people, $1B+ under management, and 5M+ in revenue. Member of executive team. - Grew assets under management by 40% from $710M to $1B+ while increasing revenue 82% in less than 2 years. Exceeded corporate and Board expectations for sales and asset growth performance. - Instituted a banker referral system that led to the closing of 48% of new business in 2003. - Achieved 250% higher average sales per relationship by offering customers "best of breed" solutions. ($5.6M in assets vs. $2.2M the previous year) - Recruited qualified financial planners to transform a process-oriented culture into a progressive relation-ship sales approach “advising the wealthy on growing, preserving, and distributing their wealth.” - Broadened traditional products into a dynamic wealth management platform, which included Exchange Traded Funds (ETFs), enhanced in-house fixed income management, and broader asset allocation modeling. - Left business after two years having reached an impasse with the CEO on the strategic direction of the unit. SVP & Director, Personal Trust & Investment Services- THE CHICAGO TRUST COMPANY 1999 to 2001 Wholly owned subsidiary of Alleghany Asset Management, a $45B investment manager; acquired in 2001by ABN AMRO Took an under-performing trust business and evaluated team members, operational processes, product offerings, 1.7K accounts and the marketplace. Delineated new strategies and opportunities to create a growth enterprise. Held full P&L oversight for 45 people, $2.1B in personal trust and individual assets and $14M+ in revenue. Reported to the COO. - Drove 53% increase in sales to reach $14.3M in revenue in just 1 year by instilling a high-perform-ance mindset that raised the bar and provided market focus to the sales team. - Delivered an immediate 19.5% bottom-line increase by raising fees to market competitive rates and tightening fiscal controls. - Presented compelling business case for acquiring a regional bank to leverage synergies and create a strong distribution net-work. Alleghany’s Board investigated proposed targets, but ultimately declined strategy due to onerous bank regulations. - Devised a divestiture plan for the trust business to garner a premium as a scalable, value-added interest for a bank. Won ownership sponsorship, but halted sale process when ABN AMRO acquired the entire Alleghany portfolio. FIRST CHICAGO NBD / BANK ONE (now JPMORGAN CHASE & CO.) A leading regional bank that underwent a merger of equals in 1995, was acquired by Bank One in 1998 and ultimately became part of the 2nd largest financial services company in US when acquired by JPMorgan Chase in 2004 Senior Managing Director, Product Management, Private Client Group 1998 to 1999 Managed a 19-member professional staff and $4.5M budget. Integrated/rationalized organizations, mobilized teams, created a best of breed product platforms, and engaged in value creating business development. - Realigned retail trust marketing strategy, pricing matrix and product mix to establish a foundation for building a formal wealth management organization with goal of driving a 25% increase in annual revenue to reach $1B+ for the $850M business. - Transformed an amalgam of products ranging from mutual funds to customized alternative investments into a simple matrix of solutions based on customer type, need and specific asset classes. National Sales Manager, Investment Management Group 1995 to 1998 - In three years, drove a 400% increase in average annual revenue (to $600k) per salesperson through clear and consistent objectives, a new competitive compensation system with strong incentives, and formal sales training and career development programs. 1998 sales results: $1.5B new assets under management; $8.5M in annual revenue. - Built a cohesive team out of disparate sales and marketing organizations. Rationalized headcount nearly 40% (from 56 to 35) through inter-nal transfers and selective outplacement while treating all exiting employees with dignity and respect. EARLY FINANCIAL SERVICES CAREER Parlayed early experience as an educator and Harvard MBA into a highly successful sales and marketing career with major insur-ance, mutual fund and money management firms. Key highlights: - Advised ARIEL CAPITAL MANAGEMENT on developing optimum distribution channels and alliances resulting in termina-tion of joint venture relationship and creation of an in-house marketing team. Additionally developed what-if scenarios for entering the 401(k) market through mutual fund sales and/or participation in larger pools of capital. - Identified insurance industry market expansion strategies enabling METROMAIL, a direct marketing firm of R.R. Donnel-ley (now part of EXPERIAN), to capture and expand key account relationships with State Farm, AllState and others. - Wrote a business plan enabling SEABURY & SMITH, INC., a Marsh & McLennan Companies division to capitalize on its existing relationships and create additional value by becoming one of the 1st property and casualty firms to diversify into life insurance.. Declined opportunity to head the business unit due to spouse job transfer. - Conducted SWOT analysis of the 401(k) competitive landscape for T. ROWE PRICE as an Intern during business school. - Positioned AETNA as a prominent forerunner in the emerging defined contribution market in the Pacific Northwest, with a 5-year record as a Top 10 agent out of 25K nationally in sales across the corporate and municipal markets. EDUCATION & AFFILIATIONS MBA – HARVARD BUSINESS SCHOOL BS, EDUCATION – PORTLAND STATE UNIVERSITY NASD Series 7, 24 and 63 Licenses Board Member & Former President – Harvard Business School Alumni Club of Chicago Founder and President – Harvard Business School Club of Chicago Foundation Mentor – Bridge (homeless family advocacy/support group)
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