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Manager Financial Analyst

San Jose, CA
October 23, 2018

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San Jose, CA - 408-***-**** - - Seasoned investment, finance and business professional who embraces synthesizing analytics and big data, with an overlay of original thinking, common sense, and humility to achieve desired results. Versatile and adaptable team member with a fast learning curve. Dedicated professional with the drive and skill set to become a strong performer for the team and company. Areas of expertise:

-Investment Research -Asset Management -Market/Sector Analysis

-Benchmark/Trend Analysis -Attribution/Variance Analysis -Asset Allocation

-Product Development -Financial/Investment Modeling -Performance Reporting PROFESSIONAL EXPERIENCE

RD’s Financial Strategies, Inc., San Jose, CA

Financial Analyst/Trader – 2015 to 2017

Lead analyst for an Advisory with $150M+ in assets under management, consisting of a full suite of services, tactical model portfolios, Annuities and tax services.

Enabled the Advisor to focus on client service which resulted in discretionary account growth of 40%.

Created original tools utilizing excel and several data sources that synthesized key data into daily/monthly/quarterly reports that lead to more efficient and informed active investment decisions and improved portfolio performance.

Actively participated in investment related activities, including meetings, portfolio/strategist calls and conferences.

Executed all trades for model portfolios and individual clients. Trilogy Financial Services, Inc., San Mateo, CA

Financial Advisor -- 2014 to 2014

Registered Representative – 2014 to 2014

Developed comprehensive financial plans encompassing financial, tax, and estate planning for individuals, families and small business owners.

Proactively source, implement, and service financial plans for my clients.

Meet with clients to discuss goals and strategies, including portfolio allocation, cash flow, budgeting, and tax implications designed for their specific situation.

Accountable for all client servicing activities including opening accounts, portfolio allocation, processing transactions, and resolving issues.

Obtained FINRA series 6, 63, and California Health & Life Insurance licenses within two month after hire.

HighMark Capital Management, Inc., San Francisco, CA Assistant VP Portfolio Management Associate -- 2007 to 2013 Accountable for executing trades guided by daily optimization models, strategic and tactical allocation decisions set by the Chief Investment Officer and the prospectus. Focus was two Asset Allocation retail mutual funds with assets of $300M+, which invest in a portfolio of underlying mutual funds. W. DAVID THOMAS Page Two


Managed the day-to-day operations for multi-asset funds-of-fund’s portfolios with $300m, daily trading and reconciliation, liquidity management, monitoring portfolio analytics, risk management, answering client questions, and ad-hoc reports.

Outperformed custom benchmarks by reducing turnover 20% directly improving performance, portfolios were recognized in top in the top 50% of their peer group for the past five years as measured by Morningstar.

Articulated investment strategies, portfolio/strategy changes, and market outlook through timely writing and presentations to the sales force, marketing, product management, and executives.

Developed an original weekly report tracking KPI’s for all of the HighMark Funds and direct competitors covering performance, risk, sector allocation, etc., originally meant for the sales force the report was distributed to all Senior Investment Executives, including the CEO. Atlas Advisers, Inc., San Leandro, CA

Financial/Business Analyst 2005 to 2007

Conducted quantitative and qualitative research for 17 sub-advised mutual funds with $3 billion in AUM, including portfolio manager interviews and on-site visits.

Executed two manager searches and implemented an investment strategy change for portfolios with $384M in assets.

Enhanced the due-diligence process, which included on-site visits, by developing a comprehensive research process, producing an in-depth manager questionnaire, and creating a five factor model for measuring money managers.

Partnered with Senior Management, the Investment Committee, and the Fund Board by preparing monthly and quarterly reports across portfolio and internal analytics, sales and redemptions, performance, competitive positioning, benchmark variance, and cash flow.

Participated in monthly Investment Committee meetings to present investments ideas, discuss performance, and recommend asset allocation strategies. EDUCATION

B.S. Business Administration, Finance

California Polytechnic State University, San Luis Obispo, CA LICENSES

FINRA Series 6, 63, and California Life & Health Insurance License (Series 7 & 66 inactive) TECHNICAL KNOWLEDGE

MS Word, Excel, PowerPoint, Morningstar Direct, Zephyr StyleADVISOR, Thomson One, Bloomberg, Long View Trading Systems

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