SCOTT A. SPENCER

**** *. ******* ******, #*, Austin, TX 78749

Cell: 281-***-****

Email: ad208k@r.postjobfree.com

Professional Summary

Seasoned, credible financial services leader with deep knowledge & experience in practice management consulting, wealth management operations, project management, managing critical external & internal relationships, driving advisory model adoption, effectively communicating with senior leadership, supervisory review/approval of all new accounts & business.

Executive responsibility for Broker Dealer & Advisory operating environments across multiple product lines including alternative & traditional investments & insurance products.

Adept in new firm acquisitions, succession planning, scaling for growth, complex projects, audits, & in leading client, firm, & regulatory engagements with integrity to successful outcomes.

Skills

• Practice Management & Consulting

• Relationship Management

• Process Design, Improvement, & Implementation

• New Firm Acquisitions & Integrations

• Sales Supervision & Principal Oversight

• Regulatory & Branch Audit Leadership

Work History

Realized Financial, Inc. (formerly Thornhill Securities) Austin, TX

Chief Executive & Operating Officer, Supervisory Principal, Senior Advisor / 2016 to 2024

Leadership of hybrid Broker Dealer/RIA.

Principal review & oversight of all new business, advertising, marketing, correspondence, trade review, Anti-Money Laundering efforts. Successfully led audits with FINRA, State of Texas, & financial auditors.

Developed family office relationships & supported expansion into institutional & HNW markets focusing on & differentiating with alternative investments.

Managed personal book of business until divestment & firm sale. Initiated & oversaw the sale of firm in 2019, reorienting into niche, private equity real estate offerings for accredited investors.

Migrated & integrated operations post-sale, scaled successfully achieving 15x revenue growth from Q1 2019 to Q4 2023.

1 of 3 voting members of Due Diligence Committee for evaluation & approval of all new offerings including DST’s, QOZ’s, Non-Traded REITS. High emotional intelligence & proficient with Microsoft 365, CITRIX ShareFile, Salesforce CRM, Thompson Reuters CLEAR, Equifax & iSoftpull, Morningstar Advisor Workstation, Pershing & Schwab Institutional platforms.

Strategy Basecamp, LLC, Portland, OR

Managing Director & Consultant – Practice Management / 2014 to 2016 Consulting with independent wealth management firms in practice management, operational enhancements & process efficiencies, technology utilization/systems improvement, risk mitigation, business planning, succession planning, acquisitions, value proposition development, marketing, vendor/competitive analysis, compensation analysis/structuring, employee development, & new business development.

Michael G. Rudelson & Co., NFP Securities, Inc., (now Kestra Financial), Houston, TX / Austin, TX

Vice President, Partner, Practice Management Consultant, Sales Supervisor Western US Region / 2004 to 2014

Co-managed an independent wealth management practice focusing on retirement planning & investment management primarily for academic physicians at the University of Texas, Houston, TX & University of Arizona, Tucson, AZ within 403(B) plans, 457 plans & retail accounts. Drove evolution & growth from commission to fee-based advisory model. Responsibilities included operational oversight, HNW client relationship & investment management, refinement & improvement of client proposal process, business development, marketing campaign ideation, IPS development, supervisory review, technology oversight/planning, quarterly advisory billings, employee hiring & development, & strategic planning.

Integral in developing & implementing firm succession plan; implemented successful, profitable acquisition of complementary out-of-state, advisory practice.

Instrumental in growing the firm into one of the highest-margin practices within NFP Securities, Inc.; AUM growth 3X during tenure with minimal staff.

Experience with eMoney Advisor, Morningstar Advisor, Fidelity Institutional, Redtail CRM, Albridge Reporting.

During home office tenure in Austin, TX, performed supervisory branch audits nationally, ad/marketing review, established & ran Practice Management Consulting group & acted as central resource to independent firms nationally.

Education & Licensing

MBA: International Business, University of Houston / Houston, TX BBA: Economics, University of Houston / Houston, TX

Series 6, 63, 65, 7, 22, 24, SIE active licenses