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Chief Financial Officer

Corona Del Mar, California, United States
January 16, 2019

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Corona Del Mar, CA 949-***-****


Chief Financial Officer with excellent technical skills and hands-on experience managing accounting, budgeting, financial reporting, investor relations, and human resources for a variety of companies.


Chief Financial Officer and Chief Investment Officer

Boulder Ventures Development 2017-2018 (Salt Lake City, Utah)

BVD is a real estate developer with a primary focus on mixed-use multi-family projects and for-sale townhomes, with expertise in acquisitions, entitlements, site planning, construction management and property management. Responsible for financial modeling, project forecasting, tracking community development agreements, banking relationships and raising capital. Led fundraising - proposing terms, return structures (preferred and waterfall).

Attracted $4M and $10M in equity capital from two distinct investment groups for new townhome projects.

Created fund documents, marketing materials and presentation decks for future real estate investment fund.

Chief Financial Officer

Liberty Group, LLC (Oakland, CA) 2015-2017

Managed accounting functions for complex financial services firm (brokerage, insurance, real estate and legal) with 40 employees and $1 billion in managed assets. Responsible for collections from clients and carriers; payments to vendors and representatives, semi-monthly payroll, operational analysis and regulatory reporting.

Improvements made by upgrading staff, moving general ledger online (QuickBooks), and creating reports.

Hands-on position – monthly closings, reconciliations, brokerage statements, and representative payouts.

Attained clean opinion on 2016 audit, handled FINRA regulatory inquiries, and insured capital balances.

CFO and Chief Investment Officer

Alpha Strategies (Irvine, CA) 2010-2015

Joined entrepreneurial firm to create internal investment and advising capabilities, while managing all financial operations including accounting, taxes, regulatory compliance, administration, and capital raising. Worked with clients to provide asset allocation, portfolio construction, due diligence, and develop new investment products.

Played instrumental role in successful capital raising for hedge funds and private companies, leading due diligence efforts, creating factsheets, PowerPoint decks, and presenting opportunities to potential investors.

Created hedge fund for investment banking firm’s small cap opportunistic trading operations, complete with offering memorandum, marketing materials, and reporting. Systemized and formalized the financial reporting.

Raised awareness of firm’s offerings and capabilities by representing the firm at conferences, presenting on conference investment panels, and authoring whitepapers on alternative investments and their related risks.

CFO and Director of Investor Relations

Terracotta Group (El Segundo, CA)

Directed and executed all accounting, tax, regulatory, and financial reporting for TerraCotta and TCG Distressed Debt Fund (2013-2014). Calculated and analyzed investment performance and quarterly distributions, generated quarterly financial reports, and wrote quarterly investment letter. Worked with potential institutional investors to conduct due diligence, provide spreadsheet analysis, and answer all accounting/financial related questions.

Accelerated turnaround of TCG Distressed Debt Fund’s quarterly reporting from one month to one week.

Attained clean opinions on 2 annual audits by preparing and leading organization through the audit process.

Established accountable finance organization by bringing accounting and finance functions in-house, implementing new general ledger (QuickBooks), instituting benefit plans, and bringing all accounts current.

Wealth Advisor & Broker

UBS Financial (Newport Beach, CA) 2007-2010

Recruited by Newport Beach’s highest producer with $650M AUM to manage investment portfolios. Interfaced with clients to present customized wealth management strategies based on new product research and assessment of client needs, goals, and risk tolerance. Developed and managed group budget and client stratification strategy.

Co-managed large-cap growth portfolio of 30 securities and $50M AUM to consistently beat S&P 500.

Maintained assets during 2009 market decline by capturing high net worth clients from departing brokers and supporting portfolio recovery through allocations to MLPs, preferred bank stocks, and Mello-Roos bonds.

Named one of three brokers out of 100 in UBS’ Newport Beach office with discretionary trading authority.

Chief Financial Officer

Cymric Family Office (Costa Mesa, CA) 2004-2007

Served as sole investment executive providing comprehensive wealth services for a multi-family RIA. Managed accounting, investment, family and firm insurance, and compliance functions. Interfaced directly with families to address investments, taxes, insurance, and estate planning issues. Assessed investment opportunities based on market, economic, and fund research. Prepared 50-page quarterly management reports for each family.

Optimized portfolio performance through close involvement in the integration of estate plans via structures, gifting and tax strategies, real estate transfers, charitable contributions, asset protection, and life insurance.

Generated efficient and effective investment recommendation presentations by utilizing modern portfolio theory, extensive market research, and sophisticated allocation & tax software programs.

Assisted families with philanthropic opportunities by personally reviewing grant proposals on their behalf.

Chief Investment Officer

Arnel & Affiliates (Costa Mesa, CA) 1998-2003

Promoted to Chief Financial Officer after one year to manage $1B in liquid assets and Investment Division of family office for George Argyros, real estate billionaire & U.S. Ambassador to Spain. Managed $150M portfolio invested in hedge fund strategies, private equity buyouts, venture, and public securities. Co-managed $70M fund of funds portfolio with 50 high net worth outside investors. Screened investment managers and made allocation, fund and investment recommendations. Researched concentrated position diversification strategies.

Generated most efficient investment returns possible by collaborating with Tax Director to calculate tax consequences from real estate and private equity deals, and making necessary changes to the liquid portfolio.

Maintained investment income levels and met capital calls through all market environments including the technology market decline through careful cash management and the liquidation of all technology exposures.

Influenced Chapman University’s investment decisions as Argyros’ investment committee representative.

Chief Financial Officer

Payden & Rygel (Los Angeles, CA) 1995-1998

Promoted from Controller to CFO to manage bond firm’s 20 mutual funds. Managed SEC and FINRA reporting as Series 27 registrant. Administered pension, deferred compensation, and insurance programs. Contributed to annual bonus & compensation discussions and decisions. Interfaced with large institutional clients to address reporting and billing issues. Responded to potential investor queries as member of the client on-boarding team.

Established standard financial operations by creating majority of company’s financial and regulatory reports, building accounting team, processing payroll, and selecting fund transfer agent & fund administrator.

Ensured benefit program objectives were met by performing annual testing and proposing modifications.

Contributed to launch of multiple bond mutual funds as a participant in the mutual fund BOD meetings.


University of Virginia (Charlottesville, Va.) B.S. in Accounting

CPA: Certified Public Acct. (CA #64953, 1993, inactive)

CMA: Certified Mgmt. Acct. (#11937, 1993)

CFA: Chartered Financial Analyst (#34119, 1999)

CFP®: Cert. Financial Planner (#125739, 2007)

FINRA: Series 7, 66, 28 and 79 (investment banking)

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