About

DIRECTOR OF OPERATIONS & REGISTERED INVESTMENT ADVISOR (RIA)

Provide senior-level business leadership through oversight, budget development, financial reporting, and systems management for a social justice investment firm managing $150M+ in assets. Verify that a portfolio of exchange traded funds (ETF) complies with federal mandates and corporate procedures by examining record accuracy. Command daily activities of account team by monitoring firm financials, systems, and human resources (HR) from payroll and benefits administration to performance management.

INSTITUTIONAL RELATIONSHIP MANAGER & GENERAL SECURITIES REPRESENTATIVE

Chartered roadmap for onboarding and training new clients, firms, and broker dealers from pinpointing existing customer needs and establishing effective working relationships for feedback solicitation to advocating for augmented services that better aligned with corporate objectives and empowered retention. 

CHIEF COMPLIANCE OFFICER (CCO) & FINANCIAL ADVISOR

Founded a registered investment advisory firm that ensured state compliance through clean audits based on quarterly analysis, portfolio rebalancing, and assessing risk tolerance regarding long-term financial planning. 

 REGISTERED INVESTMENT ADVISOR 

  Supported high-net-worth individuals in managing investments and portfolios based on social criteria, risk tolerance, and long-term goals as defined in a comprehensive investment policy statement. 

 MANAGER, ADVISOR SERVICES / BUSINESS DEVELOPMENT & RIA 

  Governed all securities transactions for client accounts by collaborating with Schwab and Folio senior manager while driving the adoption of proprietary firm models on third-party platforms. Empowered high-impact decision making by orchestrating regular leadership meetings to facilitate company-wide communications, implement technology solutions, and engage in strategic planning and project management oversight. 

COMPLIANCE OFFICER & ASSOCIATE ADVISOR

Supported seamless daily operations by assisting principals in resolving client-related issues, conducting research, and generating quarterly financial statements to drive high impact decision making. Orchestrated stakeholder communications involving clients, advisors, and third-party custodians to ensure accuracy of all transactions including trades and requests.