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Manager Financial

New York City, New York, United States
February 05, 2019

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Steven E. Collopy, CPA

*** ******* ***, **** ****, NJ 07452

Cell: 646-***-****



A highly motivated financial services executive with hands-on experience in finance, operational management and tax who possess solid leadership, communication, and interpersonal skills. PROFESSIONAL EXPERIENCE

DCM Advisors, LLC, New York, NY 2017 - Present

Chief Operating Officer / Divisional CFO

CFO/COO for Registered Investment Advisor

Responsible for advisory teams, fee billing and financial reports of teams

Lead operational and platform build-out and financial performance of RIA

Works with Management Team to monitor advisors profitability and growth

Oversees monthly P&L reports

Lebenthal Holdings LLC, New York, NY 2013 - 2017

Chief Financial Officer/FINOP

CFO for consolidated group Registered Investment Advisors: Lebenthal Asset Management, Lebenthal Wealth Advisors, Lebenthal Co. broker-dealer & Lebenthal Family Office

Lead the financial organization and implementation process and internal controls relating to financial operations

Oversaw monthly P&L reports and advisory reports to maximize profitability

Developed budgets and group metric data understand and maximize groups and firms performance

Sat on Investment Committee to oversee investment strategies

Worked with Board to provide and help understand business metric information around business lines

Managed treasury functions with banks and multiple clearing firms

Worked with department heads to monitor new advisors and the growth of business lines

Worked with the executive committee to review and help in due diligence relating to acquisitions and reviewing a book of business

Handled relationship and questions with investors while providing quarterly information

Point person relating to federal, state & local tax-related matters Gilder Gagnon Howe & Co. LLC, New York, NY 2000 - 2013 Dually registered Broker Dealer & Registered Investment Advisor managing $7 Billion of discretionary money for high net worth individuals

Chief Financial Officer/FINOP

Registered Investment Advisor/ Broker-Dealer

Monthly net capital calculations pursuant to 15c3-1 monthly FOCUS filing in compliance with broker-dealer regulation

Managed all Registered Investment Advisor and Broker-dealer related financial operations and accounting matters

Worked with portfolio managers, sales assistants, and IT developers to streamline processes and trade order management system

Primary liaison with JPMorgan Clearing Corp

Monitor and negotiate stock loan utilization and activity

Worked with CCO on reporting and analyzing portfolio manager performance data and other metrics

Managed the Firm’s private airplane and income tax issues related to planes

Responsible for the filing of all regulatory reports and requirements

Function as the Firm’s financial liaison with regulatory and government examiners

Responsible for Firm’s general ledger, financial statements, and month-end closing process

Managed the consolidation and inter-company transaction with wholly owned subsidiaries

Implemented Dynamics GP, books and record system including automation of monthly portfolio manager payout sheets

Responsible for planning, budgeting, and allocation of expenses between groups

Liaison with legal counsel and corporate counsel relating to firm business matters including real estate and corporate airplanes

Administrator of Firm’s $150 million defined contribution profit sharing plan

Plan assets allocated among 22 investments portfolios within 7 classes of investment options

The monthly allocation of profits among 80 participants with quarterly reallocation in classic hedge fund style

Analyze investment portfolios monthly performance to verify the accuracy

Responsible for 5500 & 8955-SSA


Sr. Tax Manager – Financial Services

Responsible for tax planning and returns for Broker Dealers, Investment Partnerships and related entities including high net worth individuals.

Planned, directed, and reviewed tax planning and income tax returns

Managed staff and a team of financial tax professionals

Researched day-to-day tax issues and made recommendations and/or provided planning opportunities

Represented clients at IRS and State income tax examinations; prepared written correspondence with various government agencies relating to tax notices

Detailed and top review of individual and partnership tax returns

Detailed and top review of Hedge Fund K-1’s, allocations and tax returns

Detailed and top review of securities analysis to identify and determine appropriate tax treatment for various tax products


Manhattan College: BS Accounting and BS in Computer Information Systems PROFESSIONAL ACCREDITATIONS

Series 6, 7, 9, 10 & 28

Member NYSSCPA’S, Member of AICPA

Programs: JPMorgan, RBC & Pershing platforms, Advent, Microsoft Excel and Word, Microsoft Dynamics, QuickBooks, Crystal Report Writer, ADP, JAT Payroll software and Papersave workflow software

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