Sales, Relationship management, Sales leadership

P AUL C. B ERARD

Newtown, CT *****

917-***-**** ************@*****.*** https://www.linkedin.com/in/paul- c -berard- 12169520/

E XECUTIVE P ROFILE

Distribution sales leader with a track record of success driving revenue, creating relationships, territory management, and building and leading high-performance sales teams. Extensive experience selling and marketing ETFs, separately managed accounts, mutual funds, alternative products, and institutional investments. Recognized for marketing through all distribution channels, including major wire houses, national and independent regional broker-dealers, private banks, registered investment advisors, family offices, asset managers, insurance companies, hedge funds and turnkey asset management platforms. Reputation for a record of career promotion and increasing organizational success.

Key Proficiencies:

• Budget, profit, and loss (P&L) management

• Presentation skills

• Talent acquisition and hiring

• Investment product acumen

• Excellent communication skills

• Strategic planning and goal setting

• New business development and relationship building

• National and key accounts

• Consultative selling

• Prospecting and brand expansion

• Results-driven and motivated

• Capital markets acumen

• Institutional sales

• Expertise in product platforms and delivery

• Team collaboration

• Sales management and national sales

• External wholesaler

• Exchange-traded funds (ETFs)

• Separately managed accounts (SMAs)

• Mutual funds

• Alternative Investments and Interval Funds

• Cross-channel sales

P ROFESSIONAL E XPERIENCE

DWS ASSET MANAGEMENT, New York, NY

Vice President, Xtrackers ETF Sales Specialist: July 2023 - Present New England regional ETF specialist charged with building brand awareness and facilitating distribution of Xtrackers ETFs to all channels independently and in partnership with my generalist colleagues. Achievements and Success:

First full year sales increased 49.5% over the prior calendar year.

Developed and implemented platinum partnership with FPA of New England driving access to the 700- member chapter through webinars, directed messages and in person events throughout the region. KINGSBARN CAPITAL MARKETS GROUP, Las Vegas, NV

Head of Sales & Strategy: March 2022 – December 2022 Responsible for the creation of the firm strategy focusing on sales, national account relationship development, marketing, and product development.

Achievements and Success:

Intermediary and Institutional sales: building staff & regional territory structure with tactics, direction and messaging specific to each market segment.

National Accounts: platform access, partnership development, coordinated sales strategies. NORTHERN TRUST ASSET MANAGEMENT, Chicago, IL

Senior Vice President, Head of Asset Managers, Hedge Funds and TAMP’s: Jan 2019 - March 2022 Promoted to create and lead the Asset Manager and Hedge Fund national ETF distribution channels coordinating with several internal teams including Manager Research, 50 South Capital (alternative investments), Global Fund Services (clearing and custody), Securities Services (trading) and Channel Marketing while continuing to lead and grow the ETF strategist and Turnkey Asset Management Platform (TAMP) national sales channels distributing ETFs, Separately Managed Accounts, Mutual Funds and Alternative Investments. Achievements and Success:

Trained and managed sales and servicing teams.

Achieved overall sales of $140mm followed by $220mm in second year sales. Vice President, Head of ETF Strategists, TAMP’s and Senior Strategic Relationship Manager: May 2017- Jan 2019 Promoted to create and lead the Turnkey Asset Manager Platform (TAMP) business development channel while continuing to lead the ETF strategist national sales channel in addition to building the national strategic partnership with Morgan Stanley. TAMP distribution focused on Separately Managed Accounts (SMA)’s, Mutual Funds, Alternative investments, and ETF’s.

Achievements and Success:

Trained and led sales and support team.

Achieved 87% effective rate gaining platform exposure on targeted Turnkey Asset Management Platforms.

Achieved 66% platform growth at Morgan Stanley adding 2 Unified Managed Account (UMA) ETF product placements increasing our exposure from 1 to 3 expanding regional ETF sales opportunities. Vice President, Business Development Executive: May 2014 - May 2017 Led the creation and growth of the national ETF Strategist sales channel. I developed a detailed prospect database to identify high value prospects and significantly increase close ratio in addition to a tiered client service model that facilitated the strengthening of partnerships resulting in the retention of assets and increased profitability while cultivating cross and upsell sales opportunities.

Achievements and Success:

Drove sales of $1.4bn representing 31% of external ETF assets under management (aum).

Achieved 23% market penetration across all ETF Strategists nationally (firm ETF market share was .4%). STATE STREET GLOBAL ADVISORS, Boston, MA

Vice President, Business Development: US Sub advise: December 2011 – May 2014 Promoted to drive sales with third party distributors including asset managers, wirehouses, insurance product sponsors, Defined Contribution Investment Only (DCIO), private banks, Outsource CIOs, and large RIA/Family Office practices. Offering the full scope of SSgA’s investment capabilities including active, passive, and alternative strategies in addition to advanced beta, enhanced equity, cash, exposure, and transition management. Achievements and Success:

Raised $2.7bn in new assets.

Achieved sale of first ever SSgA managed portfolio of SPDR ETFs with Jefferson National. Senior National Accounts Manager: 2006 – December 2011 Led wire-house and independent broker dealer home office and field relationships to grow sales and drive new regional business development opportunities for Exchange Traded Funds, Mutual funds, and Alternative Investments offered through State Street Absolute Return Investment Strategies (SSARIS). Key relationships built with Executive Leadership, Research Analysts, Portfolio Managers, Platform Managers, and Sales Leadership. Achievements and Success:

Morgan Stanley increased fund placement in UMA 400%.

UBS increased fund placement in UMA 4200% and 400% in managed portfolios.

Raymond James increased fund placement in managed portfolios 400%. Foundational Experience with MORGAN STANLEY: Vice President, Equity Research, INDEPENDENT RESEARCH GROUP: National Sales Manager, OPPENHEIMER FUNDS: Regional Wholesaler, National Account Manager Education and Licenses

Mount St. Michael Academy

University of South Florida

FINRA Series 7, 63

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