Experienced Investment Operations Manager/17 Years Advent Experience

ANN L. MURPHY

* ****** ***** ****, ******, NH **833 603-***-****

QUALIFICATIONS

Advent user for over 17 years. Have implemented many portfolio management programs and investment systems; such as APX, Moxy, Qube, Vestek, DTCC, FIX. 2008 President of the Advent Users Group(Organization has over 400 member firms). Speaker at a number of Advent User Conferences. Presented at 2008 Advent EMEA conference (Madrid). Worked with Advent on market validation and beta testing for APX and Moxy. Ability to solve operational, marketing and analysis problems with well-designed reports and systems. Strong attention to detail.

EDUCATION

B.S Business Administration, May 1992, Magna Cum Laude, University of Southern Maine, Portland, ME

EMPLOYMENT

2008-6/09 Client Reporting Manager, Athena Capital Advisors LLC, Lincoln, MA

Highly- sophisticated, Multi-family office managing approximately $4 Billion.. Athena uses Advent’s APX system.

• Turned around department to use APX as a tool rather than a database.

• Increased data integrity with processes and procedures for staff to follow.

• Trained staff on best practices in reporting and performance.

• Responsible for overseeing all client, partnership and performance reporting.

• Supervise the daily work of the 6 member reporting team.

• Work with complicated partnership structures and in house comingled vehicles.

• Prepare complex client reports involving alternative investments such as hedge funds, private equity and real estate funds. (average client quarterly report is 50 pages)

• Prepare, calculate and analyze performance reports on security level, asset and sub-asset class level and total.

• Lead department in large platform conversion project involving multiple reporting systems including APX, SQL database and Crystal Reports.

2007-2008 Contract Position, Allegiance Financial Group, Inc.. S.Portland, ME

Financial Planning and Investment Advisory Firm, Broker/Dealer, Maine Insurance Agency.

• Contracted to turn around operations and use of Advent products.

• Trained staff on best practices in portfolio accounting and operations.

• Implemented Advent Moxy and beta tested 4.0.

• Implemented company CRM system.

• Develop and design new policies and procedures for maximum efficiency.

• Develop and implement new software systems and solutions.

2004-2007 Director of Investment Operations, The Colony Group, LLC Boston, MA/The Colony Group of Naples, FL

A financial planning and investment advisory services firm committed to servicing the financial needs of corporate executives and high net worth individuals

• Manage all aspects of client services/investment operations for over 2,000 accounts and 400 relationships. Over $1Billion AUM

o Systems/Procedures/Staff of 6 in Boston and staff of 3 in Florida

• Research and implement technology solutions to streamline administration, reporting, trading and portfolio management.

• Prepare, calculate and analyze performance measurement reports, composites within AIMR-PPS standards for company-wide use, as well as for client and consultant use.

• Implemented and used Vestek attribution system.

• Responsible for portfolio information for RFP’s/RFI’s and consultant databases.

• Designed and implemented company wide CRM system (Qube)

• Work with CEO and President in developing and analyzing management information.

• Member of The Colony Group Investment Management Committee and New Venture Committee

• Assist senior management in managing vendor and custodial relationships

• Research and recommend solutions to management on recurring problems in various operational areas

• Maintain technical knowledge of operations and software in order to independently resolve unusual and complex problems.

• Work with clients, team members, and other areas regarding operations questions and procedures.

• Quarterly billing

• Work with CCO on compliance issues

• Ad hoc analysis on client account information for financial counselors.

2002-2004 Director of Investment Operations, Citizens Advisers, Inc. Portsmouth, NH

Investment Adviser to Citizens Funds, one of the oldest socially responsible mutual fund companies managing over $1 billion in assets in both mutual funds and institutional accounts.

• Manage and oversee all operational aspects of fund and separate account investing.

• Interact continually with senior portfolio managers.

• Develop and establish company goals, objectives and strategic planning with senior management.

• Prepare, calculate and analyze performance measurement reports, composites within GIPS standards for company-wide use.

• High-level performance attribution analysis.

• Company liaison with Morningstar and Lipper for data-related questions on funds.

• Saved company over $200,000 by implementing new processes and procedures.

• Responsible for portfolio information for RPP’s/RFI’s and consultant databases.

• Promoted from Manager to Director within 6 months.

2000-2002 Operations Manager, Cabot Money Management Inc., Salem, MA

An investment management firm managing about $600 million in assets catering to high net worth clients.

• Develop and design new policies and procedures for maximum efficiency.

• Create and analyze composite attribution and characteristic reports with Portfolio Management

• Manage and maintain all portfolio accounting of over 2,200 client accounts.

• Prepare, calculate and analyze performance measurement reports and composites within AIMR PPS standards for marketing and analysis

• Supervise and train operational staff.

• Act as liaison with Schwab, Fidelity and TDWaterhouse

1997-2000 Operations Manager, Moody Aldrich Partners LLC, Boston, MA

An investment management firm managing about $1.8 Billion in assets catering to

Institutional and high net worth clients. Secondary owners Grantham, Mayo and VanOtterloo

• Manage and maintain all portfolio accounting of firm. Responsible for data integrity.

• Prepare, calculate and analyze performance measurement reports within AIMR standards for client and board presentations

• Rebalance portfolios for withdrawals or contributions

• Communicate with consultants on client portfolio information

• Oversee computer operations of the firm

• Work closely with trading and act as liaison with brokers for back office problems

• Supervise and train staff on Axys and Moxy

• Design spreadsheets for portfolio managers for analysis using Axys information and outside research information. Ex. Portfolio Characteristics, Portfolio Attributions

• Research, report and record all corporate actions for client accounts

• Responsible for billing of accounts

1992 – 1997 Operations Manager, Heritage Capital Management, Boston, MA

An investment management firm with approximately $300 million in assets catering to Trusts, Pension and Profit Sharing Funds, 401K’s and individual clients

• Solely responsible for maintaining the portfolio data management system

• Handle DTCC, IDC processing

• Download, translate and reconcile accounts on AXYS with Schwablink

• Perform year-end tax reconciliation for clients and accountants

• Research, analyze and resolve client investment problems

• Oversee all computer operations of the firm

• Place trades with retail and institutional brokers.

• Work closely with lawyers and accountants to resolve Trust and Estate issues for clients involving step-ups, gifting, distributions, 706’s and taxes.

PROFESSIONAL EDUCATION

Boston Security Analysts Society: CFA Institute’s GIPS Standards, Fundamentals of Investments II, Financial Accounting, Industry Analysis, Fixed Income Analysis, CFA Level I Prep, Performance Attribution, GIPS Workshop(2005)

Merrimack College Coursework for accreditation as Certified Financial Planner: Financial Planning, Investments, Taxes, Risk Management, Estate Planning.

OTHER 2009 President Advent Users Group, Northeast Regional Director for 4 years Advent Users Group. 2009 elected for another 4-year team on the Board of Directors for the Advent Users Group.

Operational Steering Committee member TD Ameritrade-2007. Participated in some validation for Steering Committee Fidelity Wealth Central 2009. Interviewed and quoted in Campden FB February 2009 on reporting in a family office.

COMPUTER Advent APX, AXYS, MOXY, Qube, ACD, Packager, Corporate Actions

Microsoft Word, Excel, Powerpoint, Access, SQL(limited), Crystal Reports

Schwablink, AdvisorChannel, NetExchange, Goldman Sachs Prime Portal, SalesLogix, Morningstar Principia, Factset, Vestek, Moneyguide Pro, Bloomberg, Bill Good Marketing System, Investmentview, Baseline, Zephyr

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