Experience

IMA Wealth, Inc.

• United States
• Financial Services
• 1 - 100 Employee

• Senior Vice President - Portfolio Manager

  • Jun 2016 - Present

  • Director and member of Oversight Committee. Serves as Financial and Operational Principal (FinOp). • Member of Portfolio Management Team and Investment Policy Committee. Responsible for researching and recommending individual stocks, bonds, ETFs and mutual funds for inclusion in client accounts. • Developed process for managing individual stock strategies which includes determining sector allocations, building stock screens in Bloomberg, conducting and documenting research process and… Show more • Director and member of Oversight Committee. Serves as Financial and Operational Principal (FinOp). • Member of Portfolio Management Team and Investment Policy Committee. Responsible for researching and recommending individual stocks, bonds, ETFs and mutual funds for inclusion in client accounts. • Developed process for managing individual stock strategies which includes determining sector allocations, building stock screens in Bloomberg, conducting and documenting research process and creating models in Tamarac. • Created risk-based asset allocation ETF strategies. Manage portfolios and conduct research, modeling and rebalancing functions related to program. • Helped design internal process for facilitating trading activities (placement, execution, reconciliation), monitoring and providing analysis of portfolios and preparing investment reports within Tamarac. • Developed and maintain IMA Wealth’s “Best in Class” 401K fund lineup. Firm was named to NAPA 2019 Top DC Multi-Office Advisor Firms list. • Conduct due diligence on fund families, plan provider separate accounts and other investment products, make fund selections and write fund commentary. Present results to Plan Administrators and Trustees as needed. • Research and draft IMA Wealth’s economic/market commentary for quarterly newsletter and as needed for plan presentations. • Develop asset allocation strategies for wealth and retirement plan clients. • Designed new Investment Policy Statement (IPS) and process for determining appropriate portfolio allocation based on client’s risk profile. Member of internal team focused on improving the client experience. • Work directly with clients in personal book of business and other clients of the firm. Provide market commentary, investment insight and assist with planning process during client meetings. • Extensive experience working with Bloomberg, Tamarac, Morningstar, FinaMetrica, MoneyGuidePro, RPAG and MPI Stylus. Show less • Director and member of Oversight Committee. Serves as Financial and Operational Principal (FinOp). • Member of Portfolio Management Team and Investment Policy Committee. Responsible for researching and recommending individual stocks, bonds, ETFs and mutual funds for inclusion in client accounts. • Developed process for managing individual stock strategies which includes determining sector allocations, building stock screens in Bloomberg, conducting and documenting research process and… Show more • Director and member of Oversight Committee. Serves as Financial and Operational Principal (FinOp). • Member of Portfolio Management Team and Investment Policy Committee. Responsible for researching and recommending individual stocks, bonds, ETFs and mutual funds for inclusion in client accounts. • Developed process for managing individual stock strategies which includes determining sector allocations, building stock screens in Bloomberg, conducting and documenting research process and creating models in Tamarac. • Created risk-based asset allocation ETF strategies. Manage portfolios and conduct research, modeling and rebalancing functions related to program. • Helped design internal process for facilitating trading activities (placement, execution, reconciliation), monitoring and providing analysis of portfolios and preparing investment reports within Tamarac. • Developed and maintain IMA Wealth’s “Best in Class” 401K fund lineup. Firm was named to NAPA 2019 Top DC Multi-Office Advisor Firms list. • Conduct due diligence on fund families, plan provider separate accounts and other investment products, make fund selections and write fund commentary. Present results to Plan Administrators and Trustees as needed. • Research and draft IMA Wealth’s economic/market commentary for quarterly newsletter and as needed for plan presentations. • Develop asset allocation strategies for wealth and retirement plan clients. • Designed new Investment Policy Statement (IPS) and process for determining appropriate portfolio allocation based on client’s risk profile. Member of internal team focused on improving the client experience. • Work directly with clients in personal book of business and other clients of the firm. Provide market commentary, investment insight and assist with planning process during client meetings. • Extensive experience working with Bloomberg, Tamarac, Morningstar, FinaMetrica, MoneyGuidePro, RPAG and MPI Stylus. Show less



VSR Financial Services

• Vice President - Advisory Services

  • Sep 2011 - May 2016

  • Oversaw operations of Registered Investment Advisor with approximately $4.5 billion in assets. Managed team responsible for order processing, advisory trading, billing and reporting. • Consulted with representatives on advisory products to determine appropriate solution. Supported sales activities by answering product and procedural questions and resolving issues. • Managed relationships with external partners including a wide range of third party money managers and turnkey asset… Show more • Oversaw operations of Registered Investment Advisor with approximately $4.5 billion in assets. Managed team responsible for order processing, advisory trading, billing and reporting. • Consulted with representatives on advisory products to determine appropriate solution. Supported sales activities by answering product and procedural questions and resolving issues. • Managed relationships with external partners including a wide range of third party money managers and turnkey asset management programs. Familiar with due diligence process surrounding investment managers and their holdings. Experience with multiple custodians including First Clearing, Pershing, Schwab, TD Ameritrade and Folio Institutional. • Developed and maintained written policies and procedures within department to ensure compliance with all regulations and controls as set by the organization and external regulatory authorities. Provided regulatory responses as required. Reviewed and approved orders as needed and lends supervisory support to compliance department. • Developed initial framework for internal ETF-based money management program with Chief Investment Officer. Supported research, modelling and rebalancing functions related to program. Show less • Oversaw operations of Registered Investment Advisor with approximately $4.5 billion in assets. Managed team responsible for order processing, advisory trading, billing and reporting. • Consulted with representatives on advisory products to determine appropriate solution. Supported sales activities by answering product and procedural questions and resolving issues. • Managed relationships with external partners including a wide range of third party money managers and turnkey asset… Show more • Oversaw operations of Registered Investment Advisor with approximately $4.5 billion in assets. Managed team responsible for order processing, advisory trading, billing and reporting. • Consulted with representatives on advisory products to determine appropriate solution. Supported sales activities by answering product and procedural questions and resolving issues. • Managed relationships with external partners including a wide range of third party money managers and turnkey asset management programs. Familiar with due diligence process surrounding investment managers and their holdings. Experience with multiple custodians including First Clearing, Pershing, Schwab, TD Ameritrade and Folio Institutional. • Developed and maintained written policies and procedures within department to ensure compliance with all regulations and controls as set by the organization and external regulatory authorities. Provided regulatory responses as required. Reviewed and approved orders as needed and lends supervisory support to compliance department. • Developed initial framework for internal ETF-based money management program with Chief Investment Officer. Supported research, modelling and rebalancing functions related to program. Show less



Fidelity Investments

• United States
• Financial Services
• 700 & Above Employee

• Investment Representative

  • Nov 2010 - Sep 2011

  • Initiated customer relationships through inbound and outbound phone contacts and addressed customer inquiries regarding the purposes and details of financial plans and strategies. • Assessed clients’ risk tolerance, investment preferences and return expectations during face-to-face interactions. • Recommended investment solutions appropriate for each individual based on client guidelines, objectives, and risk tolerance. • Conducted portfolio reviews with clients to evaluate whether… Show more • Initiated customer relationships through inbound and outbound phone contacts and addressed customer inquiries regarding the purposes and details of financial plans and strategies. • Assessed clients’ risk tolerance, investment preferences and return expectations during face-to-face interactions. • Recommended investment solutions appropriate for each individual based on client guidelines, objectives, and risk tolerance. • Conducted portfolio reviews with clients to evaluate whether strategies are achieving documented long-term financial goals. Show less • Initiated customer relationships through inbound and outbound phone contacts and addressed customer inquiries regarding the purposes and details of financial plans and strategies. • Assessed clients’ risk tolerance, investment preferences and return expectations during face-to-face interactions. • Recommended investment solutions appropriate for each individual based on client guidelines, objectives, and risk tolerance. • Conducted portfolio reviews with clients to evaluate whether… Show more • Initiated customer relationships through inbound and outbound phone contacts and addressed customer inquiries regarding the purposes and details of financial plans and strategies. • Assessed clients’ risk tolerance, investment preferences and return expectations during face-to-face interactions. • Recommended investment solutions appropriate for each individual based on client guidelines, objectives, and risk tolerance. • Conducted portfolio reviews with clients to evaluate whether strategies are achieving documented long-term financial goals. Show less



Wealth Monitors, Inc.

• United States
• Financial Services

• Investment Analyst

  • Sep 2003 - Sep 2010

  • Identified potential small/micro-cap equity investment opportunities for institutional clientele. • Arranged and conducted meetings with management teams by phone and in person to confirm investment thesis. Frequently made on-site visits to company headquarters and manufacturing facilities. • Created and maintained detailed financial models based on bottom-up fundamental analysis and prepared written investment recommendations of companies that firm covered. Researched corporate… Show more • Identified potential small/micro-cap equity investment opportunities for institutional clientele. • Arranged and conducted meetings with management teams by phone and in person to confirm investment thesis. Frequently made on-site visits to company headquarters and manufacturing facilities. • Created and maintained detailed financial models based on bottom-up fundamental analysis and prepared written investment recommendations of companies that firm covered. Researched corporate filings, news and other information and published updates. • Communicated important company and industry developments and any changes to financial models and investment recommendations to analysts and portfolio managers. Show less • Identified potential small/micro-cap equity investment opportunities for institutional clientele. • Arranged and conducted meetings with management teams by phone and in person to confirm investment thesis. Frequently made on-site visits to company headquarters and manufacturing facilities. • Created and maintained detailed financial models based on bottom-up fundamental analysis and prepared written investment recommendations of companies that firm covered. Researched corporate… Show more • Identified potential small/micro-cap equity investment opportunities for institutional clientele. • Arranged and conducted meetings with management teams by phone and in person to confirm investment thesis. Frequently made on-site visits to company headquarters and manufacturing facilities. • Created and maintained detailed financial models based on bottom-up fundamental analysis and prepared written investment recommendations of companies that firm covered. Researched corporate filings, news and other information and published updates. • Communicated important company and industry developments and any changes to financial models and investment recommendations to analysts and portfolio managers. Show less