CAREER PROFILE
Seasoned investment professional, with hands-on experience in asset management/consulting, portfolio strategy, and equity research. Extensive institutional and retail client interaction while engaged in marketing/sales efforts for each of these disciplines. Client-focused, versatile and highly motivated.
PROFESSIONAL EXPERIENCE
FINANCIAL SERVICES ADVISOR 2004 - present
Westport, CT
Represented several financial service organizations (i.e., Allstate Financial Services, LLC, Morgan Stanley, and Northwestern Mutual Financial Network), providing wide range of financial products and services to retail marketplace (e.g., retirement planning, investments, insurance).
SALOMONSMITHBARNEY (CITIGROUP) 2000 - 2003
Senior Marketing Manager, Institutional Equity Research
Directed the U. S. marketing effort for the Global Equity Index Group
• Established meaningful presence for SalomonSmithBarney Equity Index in institutional marketplace (vs. competitors MSCI and FTSE)
• Increased subscription rate by 22% of large institutional pension fund sponsors, and their associated consultants.
• Subsequently increased firm’s trading-desk volume by 8%, as a result of associated investment managers' participation.
• Produced several seminars for benefit of plan sponsors and consultants, informing and educating both groups in value of using the product.
OPPENHEIMER CAPITAL (ALLIANZ Group) 1994 - 1999
Senior Portfolio Manager, Security Analyst, and Marketing Rep, International Equities
Managed $150 million in several international equity accounts and represented product externally
• Achieved annualized excess return of 2.8% over 34-month period, for aggregate portfolio.
• Established meaningful exposure for firm’s international equity capabilities in investment consultant marketplace.
• Helped increase international equity assets under management by 31%.
• Built solid, free-standing relationships with both pension fund sponsors, as well as asset consultants.
• Co-produced several seminars to inform and educate client base about current portfolio strategy, as well as recent research recommendations.
INSTITUTIONAL BROKER’S ESTIMATE SERVICE (I/B/E/S) 1991 -1994
(unit of THOMSON FINANCIAL SERVICES)
Senior Marketing Manager
Co-managed marketing effort for domestic and international earnings estimate research service.
• Increased product penetration among domestic, international and global asset managers by 29% over a three-year period.
THE WYATT COMPANY 1988 - 1990
Senior Investment Consultant and Practice Leader for Wyatt Asset Services, Inc.
Instituted and developed asset consulting practice for Wyatt’s New York region.
• Advised institutional clients with respect to establishing investment policy and objectives, determining asset/liability parameters, developing asset allocation guidelines, evaluating and selecting investment managers, and performance measurement of portfolios.
C. J. LAWRENCE, MORGAN GRENFELL, INC 1986 – 1987
Portfolio Strategist and member of the firm’s Investment Policy Committee
Developed/published monthly perspective on portfolio strategy for investment management community.
• Focused on tactical asset allocation, relative valuation level for markets, sector and industry strategy for equity portion, and multiple valuation model for stocks.
JPMorgan INVESTMENT MANAGEMENT CO 1984 – 1986
MORGAN GUARANTY TRUST CO 1974 – 1984
Capital Markets Research Analyst and member of the Asset Allocation Committee.
• Developed selected investment products for equity valuation analysis, including multi-valuation methodology for stock selection and dividend-discount model for assessment of relative attractiveness within equity universe.
• Collaborated with several academic practitioners to develop and implement modern portfolio theory techniques into asset management process.
• Designed and developed firm’s tactical asset allocation product.
• Formulated equity strategy review process used to assess and control global portfolio positions.
• Instituted a ‘common factor’ approach to portfolio construction.
• Coordinated development of firm’s bond immunization and dedication products, and its asset/liability modeling capability.
EDUCATION
MBA, Business Management, Adelphi University
MS, Computer System Science, New York University
BS, Computer Science, City College of New York
PROFESSIONAL AFFILIATIONS & LICENSES
Chartered Financial Analyst Member, CFA Institute and Stamford CFA Society
Actively licensed for series 7, 63, 65, 30
Active insurance licenses for CT, NY, NJ, CA |
