Trust Manager Investment Officer

LEADERSHIP/INVESTMENT/PORTFOLIO MANAGEMENT

Highly successful, senior investment executive and portfolio manager, results-driven investment and trust leader, with over 20 years’ experience developing investment policies and processes, evaluating investment vehicles, creating unique client portfolios and developing team members.

#1 internal partnership generating $1mm in revenue

Chief Investment Officer

Investment vehicle analysis and selection

Direct reports guided to achieve 100% of goals

Developed and implemented strategic vision

Multiple ROI on client seminars/meetings

Risk, Fiduciary, Compliance subject matter expert

Public speaking and Market Commentary

EXPERIENCE

Great Western Bank 2021-present

Regional Bank based in Sioux Falls, SD

Senior Vice President, President Wealth Management

Responsible for growing Wealth, Brokerage and Retirement

Responsible for providing leadership to 10 direct reports and 53 total personnel. I managed full P&L including $15mm revenue, $6mm EBT, $1.5mm in annual growth and $3B AUM.

Implemented lead with planning philosophy that increased planning percentage of top clients from 20% to 60%.

By instituting a focus on activities, sales increased 28% and Advisors achieving their goals jumped from 50% to 80%.

Responsible for quarterly presentation to Board and served on all of the Wealth committees.

East West Bank 2018-2019

East West Bank focuses on the bridge between East (China) and West (US).

Senior Vice President, President East West Trust Co, Investment Sales Manager (Pasadena, CA) 2018-2019

Created East West Trust Company Services

oLed multi team effort to complete Nevada Trust Company application and identify critical partners for viable trust company

Created investment models for Financial Advisors resulting in 10% increase in fee based business and reduced advisor liability

Presented Economic and Market Outlooks at client seminars and to internal partners

oGenerated $300k in revenue

oRetained 5 key banking relationships

oIncreased referrals 300% to the private bank

Wells Fargo Bank 2002-2018

Wells Fargo & Company, a diversified financial services company.

Senior Vice President, Regional Manager Investment & Fiduciary Services (Scottsdale, AZ) 2013-2018

Managed 17 member investment and fiduciary team responsible for $3 billion in assets

Led teams responsible for managing $30 million in revenue and generating $2.8 million in new sales’ revenue

o100% of team members achieved sales goal

o80% of team members achieved sourced business outside of LOB, up from 20%

Led Arizona Business Banking and Wealth Management referral initiative - #1 partnership in country

o$1mm in Wealth Group referrals

o5x referral increase to Wealth team from key internal partners; 2x referral increase from Wealth team to partners

Developed relationships with COIs resulting in $250mm referral opportunities

o$25mm in new AUM

Member of National Private Bank Fiduciary Investment Committee responsible for assessing and reviewing Private Bank risk and compliance processes and documentation. Voting member on risk/compliance exceptions

Focus on personnel development and goals led to promotions of direct reports

o75% of direct report turnover due to promotions within company

Regional Chief Investment Officer, Senior Vice President (Southwestern US) 2011-2013

Member of seven person senior leadership team responsible for $400 million southwestern region’s credit, investment and brokerage revenues. Responsible for communicating economic and market outlook to clients, prospects and internal partners. Served as a contact for media communications.

Supported Private Bank new business development and client retention resulting in 120% growth in new sales.

oAnnual focus events of 50-75 people led to 5%-10% revenue increase versus control group

oIntimate client/prospect dinners - 7x ROI

o20 client/prospect meetings led to $150mm new AUM

Investment thought leader for the brokerage and fiduciary team members

oCommunicated investment philosophy, process and outlook to producers via weekly regional investment email, monthly internal and client conference calls, and national sales calls

oDelivered client/prospect strategy and portfolio construction to generate and support new business and retain existing clients

Investment Policy Committee member – Reviewed and enhanced Private Bank Investment policy, and approved policy exceptions.

Senior Vice President, Regional Investment Manager (Scottsdale, AZ) 2007-2011

Managed six person investment management team that managed $1.3 billion in assets

Coached investment management team in four asset class adoption (Stocks, Bonds, Real Estate, Alternatives) in portfolio construction resulting in 100% compliance with firms’ recommended portfolios from 40%.

Managed 10 client portfolios with $200 million AUM

Presented investment management capabilities and Wealth Management Group resources to internal and external partners resulting in a 30% increase in referrals

Interim Regional Trust Manager June – August 2008

Vice President, Sr. Investment Manager (Santa Rosa and Napa, CA) 2002-2007

Developed, recommended, and executed investment strategies to achieve client goals and objectives

Managed portfolios with $300 million in assets generating $3 million in annual revenue

oDesigned and launched asset allocation program strategies including equities, bonds, real estate and alternatives (hedge funds, natural resources and commodities)

Developed client facing marketing collateral and presented investment management capabilities to prospects, centers of influence and internal partners.

o100% achievement of sales and retention goals

Introduced effective marketing material for retirement planning to support retirement planning and asset allocation programs for clients and prospects resulting in a 30% growth in AUM.

Stock Analyst for National City Bank, Fleet Boston, and KeyCorp Bank 2002-2003

EDUCATION

Anderson Graduate School of Management (UCLA) M.B.A. in Finance/Strategic Planning

Columbia University, New York, New York B.A. in Economics

CERTIFICATIONS

Chartered Financial Analyst (CFA), 1997

Certified Trust and Fiduciary Advisor (CTFA), 2015

Series 7, 63 and 65 licensed

BOARD MEMBERSHIPS

Desert Botanical Garden Foundation, President 2014-present

American Bankers Association, Certified Trust and Financial Advisor Advisory Board 2016-present

Desert Botanical Garden 2018-present

Rose Bowl Legacy Foundation Advisory Board 2019-present

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