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Client Service Family Office

Huntington Station, NY
January 31, 2024

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*** ******* **** ***** **********, NY ***** 516- 641- 6958

Danielle M. Paganuzzi

Professional Experience

GM Advisory Group, Melville & New York, NY May 2017 – Present Director of Client Service and Operations- May 2017 - Present

• Direct relationship manager for several family office relationships generating revenue of approximately


• Advise high net individuals and family office clients on all aspect of wealth management. Focus on risk management, cash flow, project management, and insurance.

• Conduct client meetings to report on investment performance, current market conditions, cash flow, insurance, estate planning, and financing.

• Developed “Family Office” division inclusive of technology, procedures and client reporting for the accounting group and team structure.

• Collaborate with tax advisors on client specific critical issues, tax strategies, and review tax returns.

• Review estate documents, prepare presentations, and make recommendations on revisions.

• Leader of Technology initiative. Worked with consultants to create project plan, requirements of initiative, implementation, and manage execution.

• Create, document, and streamline workflows and processes to enhance employees work experience and efficiencies.

• Identify, develop plans, and integrate enhanced technology initiatives and technology stack to enhance corporate efficiency, employee experience and client experience

• Created and implemented new CRM, Salesforce. From conception to implementation both developed and managed the project. Along with ongoing updates as business grows.

• Marketing initiative, including creating content and ideas for innovative deliverables and events for clients and prospects.

• Represent the Firm at professional conferences and industry meetings.

• Member of the Investment committee. Participated in meetings and discussions on current market conditions, portfolio allocation, and future outlook.

• Manage 10 employees, inclusive of Client relationship managers, Operations, Client Service Specialists, and Technology.

KLS Professional Advisors Group LLC, New York, NY 1998– May 2017 Director 2006- May 2017

• Advise high net individuals on all aspect of wealth management. Inclusive of investment, income tax, estate, risk management, cash flow, retirement analysis, and insurance.

• Direct relationship manager for over ninety clients with total discretionary investment assets in excess of 1.5 billion generating revenue of approximately 3.5 million.

• Tailor portfolios with respect to risk profile, cash flow analysis, and retirement objectives.

• Conduct client meetings to report on investment performance, current market conditions, changes to the investment philosophy, retirement planning, pension analysis, and financing.

• Collaborate with tax advisors on client specific critical issues, tax strategies, and review tax returns.

• Provide estate planning advice including reviewing trust and will documents, complete drafting outlines and implement account openings and forms once documents executed.

• Assess client’s present insurance position and advise on current policies and coverage recommendations.

• Work closely with new clients to create an overall financial picture and financial plan.

• Retirement plan benefit specialist.

• Represent the Firm in ongoing prospect meetings and calls.

• Served as Secretary of the Investment Committee, with responsibilities including presentations on current market fundamentals including economic indicators and market performance, update investment strategies, review and provide analysis on possible new investments. Chief Operating Officer Financial Management Group 2011-May 2017

• Involved in all aspects of human resources including but not limited to; interviewing candidates, determining new hires and/or terminations, facilitating conflict resolution, and retraining existing employees.

• Perform risk analyses for the firm in relation to client matters and compliance.

• Enforce Firm code of ethics and culture mandate of the firm.

• Manage financial management group of over 20 employee reports

• Supervise associates, inclusive of training, annual reviews, and compensation.

• Monitor, update and enforce SEC, NASD, Sarbanes Oxley, DOL, FINRA, and internal compliance procedures.

• Create, review, and approve business development and presentation materials.

• Review and research new technologies for the Company to satisfy Human Resource solutions, Health Insurance solutions, and computer software solutions for CRM, portfolio accounting, trading database, and vacation database.

Compliance Officer 2013-May 2017

• Responsible for SEC, internal and third party audits.

• Prepare, review and submit Company ADV

• Prepare review and submit 13H and 13F

• Conduct AML and KYC due diligence.

• Conduct trade surveillance for client and employee accounts.

• Review and update the employee handbook to ensure all company policies and applicable Federal and State laws are incorporated.

• Review and update compliance manual

• Review, research, and implement all new policies such as DOL fiduciary rule and AML regulations to create policies and implement throughout the firm.

• Conduct semiannual compliance training

• Report monthly, quarterly and annual compliance and risk management. Manager of Client Service 2004-2006

• Provide client investment advice while still maintaining Analyst position responsibilities.

• Managed Analyst group, with responsibilities for the supervision of six analysts.

• Created and instituted KLS Security Equity Report, which assists in optimizing client portfolios.

• Completed higher level special projects focusing on retirement analysis, cash flow analysis, and investment portfolio structure.

• Point person for KLS performance issues and procedures.

• Developed Compliance Manual in accordance with SARBOX and SEC guidelines.

• Responsible for ensuring the standards, integrity and updating of KLS accounting systems Analyst 1998-2004

• Assisted KLS Directors and Managing Directors in providing clients with investment advice.

• Monitored client investments accounts to ensure they conformed to KLS’s investment strategies.

• Executed client transactions and reconciled cash transactions.

• Implemented new client accounts including reconciling client assets held by previous firms.

• Developed KLS performance reports used to present client information.

• Prepared meeting and performance materials used to update clients on their account performance. Education

Graduate Certificate in Financial Services Compliance Seton Hall Law, March 2017

Long Island University Brookville, NY

Masters, Business Administration, May 2011

Drew University Madison, NJ

Bachelor of Arts, Economics, December 1997

Double Minor: Business management, French

Skills and Professional Development

Series 65

Licensed, New York State Life Accident & Health insurance Agent Published in Family Office Magazine Spring 2018 Issue Competitive equestrian

Enthusiastic Boater

Avid Tennis and platform tennis player

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