Management Assistant

WILLIAM CHOW

Cell: 323-***-****

Email: *************@*******.***

OBJECTIVE: Seeking a position that will utilize my skills, experience and education, allowing me to be

an asset to a company.

EDUCATION: California State University at Fullerton, Fullerton, CA

B.S. Business Administration, Finance Concentration

Passed Level 1 on CFA program

COMPUTER SKILLS: APL, Microsoft Excel, Word, Access, Bloomberg, Merrill Lynch Website, Janna, Cosmos, Axys

EXPERIENCE:

NWQ Investment Management, Los Angeles, CA 10/05 –08/10

(Subsidiary of Nuveen Investments)

Equity and Fixed Income Wrap Trader

• NWQ Investment Management AUM is $15 billion in assets.

• Traded and rebalanced portfolios in APL.

• Traded the following sponsors: Lockwood, Pershing, Wedbush, Merrill Lynch, Wells Fargo

Select/Overland, Wells Fargo Strategic, Wachovia DMA.

• Created blocks for program trades: Equity and Fixed Income Securities.

• Traded in multi-sleeve programs: Wells Fargo Select/Overland and Wachovia DMA.

• Coordinated with executing brokers to book step-out trades.

• Updated APL models for portfolio holdings and percentage changes.

• Rebalanced new accounts, invested deposits, and raised money for withdrawals.

• Rebalanced transferred in securities and liquidated terminating accounts.

• Performed tax loss/gains trades using GLTM in APL.

• Performed quality control analysis on aggregate portfolio holdings.

• Monitored and coordinated with brokers regarding corporation action activity.

• Updated database (Cosmos) with block trades.

Kayne Anderson Rudnick Investment Management. Los Angeles, CA 11/01 – 10/05

Portfolio Management Associate

• Assisted in managing approximately $1.8 billion in assets at Merrill Lynch Consults Wrap Program

(8500 accounts).

• Used APL to create buy and sell programs.

• Rebalanced new accounts to Small Mid Cap Value model.

• Invested contributions, process withdrawals, and terminate accounts.

• Processed tax trade requests (loss/gains) in APL via GLTM function.

• Monitored and communicated pending trades with trader.

• Interacted with brokers on daily basis to assist in various requests.

• Updated and maintained composites for quarterly portfolio performance.

Oakmont Corporation, Los Angeles, CA 02/99 – 04/01

(affiliated with Trust Company of the West)

Trading Assistant

• Assisted in managing high net worth individuals with assets totaling $400 million.

• Assisted head trader with executing equity and fixed income trades.

• Communicated with various broker to assure settlement of trades.

• Allocated daily trades according to portfolio investment strategy.

• Calculated daily and month end portfolio performance.

• Handled proxy votes and corporation action activity.

• Maintained portfolio accounting system (Axys 3.0).

• Maintained and enforced restricted security trading list for employees.

Mellon Private Asset Management, Los Angeles, CA 01/96 – 02/99

(Subsidiary of Mellon Bank)

Portfolio Manager Assistant

• Assisted in managing high net worth individuals totaling $2 billion in assets.

• Constructed pro-forma cash flows spreadsheet for portfolios.

• Researched, analyzed, monitored equities and fixed income instruments via Bloomberg, First Call,

Baseline, and Value Line.

• Placed buy/sell trades for portfolios.

• Analyzed, monitored, rebalanced portfolios’ asset allocations.

Pattison Commodities, Newport Beach, CA 04/95 – 12/95

Trading Assistant

• Managed the computerized charting and quotation system.

• Assisted in analyzing futures and commodities markets via technical and fundamental approaches.

• Developed a spreadsheet to track the net asset value of trading account.

Kidder Peabody, Newport Beach, CA 06/94 – 04/95

Portfolio Management

• Prepared account summaries displaying gain, loss, income and yield data.

• Prepared time weighted internal rate of return reports.

• Prepared realized gain and loss statements.

• Researched and collected cost basis data, stock splits, spin-offs, and conversions.

• Analyzed investment executive’s trading transaction ledgers and maintained system network data

bank.

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