Strong background in client service, investment research and management, client communications, operations and compliance within the registered investment advisor (RIA) space.
Six years registered representative with a major brokerage.
Six years leading investment department of a major financial planning firm.
Six years managing compliance and operations for independent RIA running 18 private equity funds and one ’40 Act mutual fund.
Sat for the CFP(R) exam November 2021, preliminary pass.
CAIA (expired May 2021 but renewable) and IACCP designations available upon request.
HNW and UHNW clients enjoy working with me because I am helpful, professional, possess expert knowledge, and can solve problems quickly and explain solutions clearly. I also have been privileged to accumulate many life and travel experiences that allow me to relate to clients from many backgrounds.
Presently I am offering experienced consulting help to RIAs for their operations, compliance, and marketing, but I am interested in a client-facing investment management role with leadership responsibilities.