CFO and Financial Principal Resume

SUMMARY

CFO experience with a variety of firms by size and type: Start - up investment consulting firm and hedge fund; Private Equity firm focused on distressed debt/real estate ($30M); Multi- Confidential (8 families with $300M); L.A. bond firm with 20 mutual funds ($40B); and, Broker-Dealer & Insurance Firm with 20 representatives.
CFO & Financial Principal CFO & Chief Investment Wealth Advisor CFO & Compliance Head Chief Investment Officer
Manage all accounting functions for Financial Services firm (brokerage, insurance, real estate and legal) with 40 employees and ~$1B AUM.
Responsibilities include collections from clients/carriers, payments to vendors/reps, payroll, operational analysis and regulatory reporting.
Accounting improvements made by upgrading the staff, moving to online software (QB) and building more efficient processes. Attained a clean opinion on 2016 audit.
Directed and executed all accounting, tax, banking, and reporting for Real Estate firm and Distressed Debt Fund.
As a catalyst for change - reshaped the accounting by bringing tasks in-house, capturing cost reductions, creating new ledgers for 12 entities, implementing new software (QuickBooks) and ensuring GAAP compliance.
Reduced turnaround of quarterly reports from 1 month to 1 week. Attained clean opinions on 2 external audits for Fund.
At $40B bond firm, coordinated regulatory reporting for 20 mutual funds as Fin Op/CFO. Administered pension, deferred compensation, benefits and insurance programs.
Created standard operations by hiring the accounting team, creating best in class financial statements, spearheading budget development and processing the payroll.
Reviewed the internal controls and financial statements of real estate and retail clients for 4 years as a Sr. Auditor with Grant Thornton.
As a lead consultant, managed the initial Sarbanes-Oxley projects that detailed the financial operations for Confidential.
Expert knowledge of spreadsheets, budgets and cash flow.

PROFESSIONAL EXPERIENCE

CFO and Financial Principal

Confidential

Responsibilities:

Manage the accounting, finances and regulatory reporting for the Confidential, a broker-dealer. The holding company includes brokerage, insurance, property management and a law firm providing holistic estate planning.

CFO/ Chief Investment Officer

Confidential

Responsibilities:

Joined entrepreneurial, start-up to create investment and advising capabilities. Managed accounting, compliance, taxes, and administration. Worked with clients to offer asset allocations, portfolio construction, and due diligence.

Chief Financial Officer

Confidential

Responsibilities:

Executed all accounting, tax, and financial reporting for the firm. Improvements introduced ultimately attracted institutional investor that required an outsourced administrator (vs. internal CFO). Received significant severance.

Wealth Advisor

Confidential

Responsibilities:

Recruited by Confidential Newport Beach's highest producer ($650M AUM) to partner & manage 600 portfolios. Prepared customized strategies based on assessment of client goals, risk tolerance, and market/economic/product research.

CFO/ Chief Compliance Officer

Confidential

Responsibilities:

Sole investment executive providing comprehensive wealth services to eight HNW families. Managed accounting, investment, insurance, and compliance functions. Prepared 50-page quarterly management reports for each family.

Chief Investment Officer

Confidential

Responsibilities:

Managed $1B in liquid assets, Investment Division, and alternative investments of the Confidential for Confidential, billionaire, visionary, and Ambassador. Made asset allocation, outside manager, and investment recommendations.

CFO and Financial Principal

Confidential

Responsibilities:

Managed Confidential / Confidential reporting as Series 27 Fin OP and CFO. Administered pension, deferred compensation, and insurance programs. Interfaced with institutional clients and responded to potential investor due diligence queries.

Consulting and Other

Confidential

Responsibilities:

Established a new private Confidential for San Diego billionaire. Sarbanes-Oxley Confidential.

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