JAMES S. McCAFFREY

*** ***** **** **** ****** Road, Apt 497 . San Marcos, CA 92078 . 650-644-

**** . acfzfn@r.postjobfree.com

Senior Operating & Financial Management Executive successful at providing

the strategic direction and leading sophisticated financial services

operations with P&L up to $650 million. Strong performer when faced with

diverse situational challenges during periods of both declining revenues

and rapid growth, with the ability to identify and execute successful

business development and growth campaigns focusing on turnaround or

expansion initiatives. Adept at translating enterprise performance

measures into actionable plans, leveraging the firm's core resources and

strengths, facilitating smooth-running operations, and optimizing

shareholder value. Key qualifications include:

. Corporate Vision & Strategic/Operational Planning . Cost

Reduction/Containment & Profit

Optimization

. Capital Investment Planning & Financial Modeling . Project

Management & Resource Allocation

. Major Contract Negotiations & Client Relations . Reorganization

& Turnaround Management

. Re-engineering Operations & Process Improvement . Budgeting,

Forecasting & Financial Operations

. New Product Introductions & Market Launches . Recruiting

& Retaining High-Performance Teams

Bachelor of Science . Business Administration & Mathematics . Southern

Oregon University, Ashland, OR

PROFESSIONAL EXPERIENCE

NESTWISE LLC, San Francisco, CA

2012 to

2014

Chief Financial Officer

Directed all day-to-day financial activities for this newly-formed

subsidiary of LPL Financial, providing middle-class Americans with quality

and affordable financial advice. Held autonomous accountability for

capital management, key operational business metrics, and execution of near-

term strategic initiatives. Served as an integral member of the corporate

Leadership Team and chair of the Investment Committee with full

responsibility for developing and managing the firm's investment product

and offering. Represented the company to key business partners and the

media.

. Authored a 5-year business plan defining the steps to

profitability, and created a detailed roadmap that had the firm on target

to deliver $750 million in projected revenue and $19 billion in assets

under management by CY2020.

. Developed a metric reporting system and initiated financial and

operational performance reviews, allowing for the early correction of

unfavorable operating variances totaling $2.2 million; 24% of planned

operating expenses.

. Restructured the cost allocation process, providing the

marketing and product-development team with a clearer understanding of

client acquisition costs and reducing direct marketing expenses by $1.5

million annually.

. Formulated a near-term operating strategy that clearly links

operating budgets to segment objectives and saves an estimated $725,000

in annual overhead expenses; cumulatively saving $4.2 million over the 5-

year business plan.

. Built cross-enterprise matrix teams and ensured timely

reporting for statutory, management and investor requirements, reducing

the month- and quarter-end reporting process by 3 and 5 days,

respectively.

BLACKMORE PARTNERS LLC, Chicago, IL

2010 to

2012

Executive Advisor

Recruited by this private equity intermediary to serve as an advisor for

projects involving financial services companies valued at $4.1 billion.

Established the company's West Coast presence and provided accretive

solutions to executive teams seeking to build or buy middle-market

companies with revenues in excess of $50 million or $5 million EBITDA.

. Created a strategy for a $1 billion financial services company

that increased its market share by 30%, and mapped their clients'

investment requirements and objectives to optimize its product

development and offering process.

. Used activity-based costing to pinpoint the most profitable

elements of a $500 million product launch, identifying $3 million in

improvement opportunities. Designed a fully-integrated 3-statement model

to analyze restructuring scenarios, including delayed equitization

constructs, various capital raise possibilities, and potential joint

ventures.

JAMES S. McCAFFREY

Pag

e

2

SAND HILL ADVISORS LLC, Palo Alto, CA

2005 to

2009

President & Chief Operating Officer

Chaired the Executive Committee, led the strategic planning process, and

formulated the corporate vision and strategic direction for this wealth

management firm with $1.3 billion in client assets. Initiated growth

strategies, provided financial oversight, approved new product development

initiatives, ensured legal compliance, and provided strategic guidance on

operational matters. Accountable for organizational excellence and client

experience initiatives, and driving alignment across core functions.

Represented the firm to key business partners, bankers, and the media.

. Partnered with the Board of Directors to clarify the vision,

formulate the firm's new strategic direction, and guide the company

through its critical restructuring process. Grew assets under management

from $850 million to $1.3 billion, reduced operating costs by $975,000,

and increased the contribution margin by 72.4% ($2.1 million).

. Transitioned the business from a practice to business model,

growing both the asset base and market share. Catapulted the firm to

international recognition as one of Barron's Top 100 Financial Advisors

in CY2007.

. Sourced the financial partner, initiated and led negotiations,

guided the due diligence effort, oversaw the buyout of the majority

shareholder, and positioned the firm for eventual ownership transition to

the next generation.

LPL FINANCIAL SERVICES, La Jolla, CA

2002 to 2005

Vice President - Finance

Recruited by the nation's largest broker-dealer serving 12,000+ financial

advisors with direct accountability for the company's general accounting,

payroll, treasury, regulatory reporting, tax, financial planning, and

business analysis functions. Formed a 5-person senior business development

team that identified potential acquisitions. Managed 5 direct and 30

indirect reports and held dotted-line relationships with LPL's Luxemburg

and Japanese subsidiaries.

. Devised a sales compensation plan for the Advisory Sales Desk,

strengthening accountability and alignment with core revenue growth

objectives and leading to a 37% ($375 million) revenue increase within a

2-year period.

. Led a restructuring effort of the revenue sharing program with

select mutual fund complexes, adding $4.1 million to the bottom-line.

Established in-house tax expertise, reducing annual professional services

costs by $120,000.

CHARLES SCHWAB CORPORATION, San Francisco, CA

1997 to

2001

Senior Vice President & Chief Operating Officer, Corporate & Executive

Services (2000 to 2001)

Held full P&L management responsibility for a newly formed $40 million

(with $15 billion in client assets) corporate services business (CES)

within the Schwab Institutional Division. Provided strategic and tactical

marketing and operational leadership for the entire unit with a principal

offering that included the administration of employee stock option and

employee stock purchase plans, and other integrated employee benefits for

corporate clients.

. Steered the firm through its critical restructuring process and

re-energized the unit's flat financial performance, increasing revenues

by 61% ($11.9 million) in CY2000 and delivering a 17% growth in major

client accounts.

Senior Vice President & Chief Financial Officer, Schwab Institutional (1998

to 2000)

Vice President of Finance, Retirement Plan Services (1997 to 1998)

Hired to establish enterprise financial oversight and prepare a 5-year

strategic business plan. Rapidly promoted to the Senior VP/CFO position

with a focus on retirement plan services (RPS) and providing services for

investment managers (SIM) with $650+ million in revenues and $260 billion

in client assets. Formed a combined RPS and SIM finance organization.

Board member for the Charles Schwab Trust Company and member of the Finance

Policy Committee.

. Standardized and improved product pricing and profitability

models for new business development campaigns, allowing for the

successful launch of 5 new products within a 1-year period; a 50%

improvement over the norm.

Early Positions Included: TEXTAINER CAPITAL CORPORATION, Executive Vice

President & COO . . . MERIDIAN POINT PROPERTIES, Vice President, Finance .

. . TRANS-WEST CAPITAL, Controller . . . FOX & CARSKADON FINANCIAL CORP.,

Manager, Financial Reporting . . . ARTHUR ANDERSEN, Senior Auditor

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