Experience

The RBB Fund

• United States
• Financial Services
• 1 - 100 Employee

• Trustee

  • Nov 2021 - Present

  New York City Metropolitan Area



Hightower Advisors

• United States
• Financial Services
• 300 - 400 Employee

• Member Board of Directors

  • Mar 2021 - Present

  Chicago, Illinois, United States



Allfunds

• Spain
• Financial Services
• 700 & Above Employee

• Member Board of Directors

  • Mar 2021 - Present

  London, England, United Kingdom



BNY Mellon | Pershing

• United States
• Financial Services
• 700 & Above Employee

• Chairman

  • Jul 2019 - Jan 2020

  Jersey City, NJ (NYSE: BK) $2.3B revenue, global financial services firm that offers business solutions to 1,300 broker-dealers, registered investment advisors (RIAs), hedge funds, and family offices, serving a total of 7 million client accounts. Over 3,000 employees in 23 locations in US, Canada, UK, Channel Islands, Ireland, and Australia. Advisor to Pershing CEO. Member, BNY Mellon Executive Committee ($7.8B revenue, $35T assets under custody/administration (AUC/A). Key client relationship advocate… Show more (NYSE: BK) $2.3B revenue, global financial services firm that offers business solutions to 1,300 broker-dealers, registered investment advisors (RIAs), hedge funds, and family offices, serving a total of 7 million client accounts. Over 3,000 employees in 23 locations in US, Canada, UK, Channel Islands, Ireland, and Australia. Advisor to Pershing CEO. Member, BNY Mellon Executive Committee ($7.8B revenue, $35T assets under custody/administration (AUC/A). Key client relationship advocate and Securities Industry & Financial Markets Association (SIFMA) industry representative.

• Chief Executive Officer

  • Jan 2016 - Jun 2019

  Jersey City, NJ Full P&L accountability for $2.3B in revenue. Member, BNY Mellon Executive Committee (2018 – 2019). Defined and executed strategic business plans, including those for 9 wholly owned, global broker-dealers with $1.9T AUC. Led leadership team including COO, CFO, CTO, and CSO. • Delivered best financial results in firm’s 80-year history. Grew revenue 25% and pre-tax income 62% during tenure as COO and CEO (2013 – 2018). Achieved 36% of US broker-dealer and 16% of RIA market share. Over… Show more Full P&L accountability for $2.3B in revenue. Member, BNY Mellon Executive Committee (2018 – 2019). Defined and executed strategic business plans, including those for 9 wholly owned, global broker-dealers with $1.9T AUC. Led leadership team including COO, CFO, CTO, and CSO. • Delivered best financial results in firm’s 80-year history. Grew revenue 25% and pre-tax income 62% during tenure as COO and CEO (2013 – 2018). Achieved 36% of US broker-dealer and 16% of RIA market share. Over three years, delivered 35+% pre-tax margin to bottom line. • Leveraged changes in UK compliance/regulatory to expand participation in wealth market. Reorganized London division and hired new CEO. Launched new business strategy and turned 30 years of unprofitable business results to profitability. • Delivered sustainable market-leading technology utilized by 100,000+ professionals and 3 million investors driving $200M revenue. Developed industry first-of-kind Bank/Brokerage custody offering, serving unique high-net-worth client needs. • Refocused technology strategy to open architecture. Attracted 300 Fintech partners creating “supermarket” platform, which became industry-leading best practice followed by all major competitors. • Drove new corporate responsibility initiative that focused on clients, employees, and community. Won 2018 regional Big Brother/Big Sister award for Outstanding Community Leadership. • Created and launched talent development and employee retention programs. Introduced job swap program for VP level high performers doubling their contribution to the company. Implemented reverse mentoring program for executive committee, partnering them with high performing millennials. Cultivated more versatile senior leaders and retained 96% of participating millennial-age staff. • Achieved among highest employee engagement scores within BNY Mellon organization and increased senior- level diversity by 10% YOY (2017 – 2018).

• Chief Operating Officer

  • 2013 - 2016

  Jersey City, NJ Partner to CEO. Responsible for ensuring proper procedures, systems, and controls for administrative, risk management, and business reporting. • Pivoted strategy from broker-dealer to RIA community displacing nearest competitor of top 4 firms and grew assets by 13% CAGR (2015 – 2018). • Launched innovation program that generated $60M revenue/cost-savings in one year. • Ensured business resiliency by launching onshore and offshore operating facilities redeploying 30% of… Show more Partner to CEO. Responsible for ensuring proper procedures, systems, and controls for administrative, risk management, and business reporting. • Pivoted strategy from broker-dealer to RIA community displacing nearest competitor of top 4 firms and grew assets by 13% CAGR (2015 – 2018). • Launched innovation program that generated $60M revenue/cost-savings in one year. • Ensured business resiliency by launching onshore and offshore operating facilities redeploying 30% of workforce while reducing labor costs by 20-60%. • Led initiative involving seven BNY Mellon businesses that created 15 new offerings delivering $82M revenue/cost savings. • Industry spokesperson. Led and gained industry consensus on significant issues, including a shortened settlement cycle. Testified before House Finance Subcommittee as expert on Consolidated Audit Trail.

• Head of Managed Investments, Lockwood, and Albridge ($200M revenue)

  • 2011 - 2013

  Jersey City, NJ

• Chief Administrative Officer

  • 2009 - 2011

  Jersey City, NJ

• Head of Global Operations

  • 2005 - 2009

  Jersey City, NJ

• Account Management, Customer Service, and Client Training roles

  • 1989 - 2005

  Jersey City, NJ