Brian Gilbert Email & Phone Number

United States

Promoted into Portfolio Management role in 2011, reporting to President of Asset Management. A broker-dealer & registered investment advisor firm with $16BN AUM, 240 employees, and 12 offices nationwide Originally recruited by Chief Investment Strategist to provide expertise in portfolio management, investments, RIA, operations, and managed accounts.Lead a staff of 3 VPs: Credit Research, Portfolio Manager, and Analytics. Support development of operational budgets of up to… Show more Promoted into Portfolio Management role in 2011, reporting to President of Asset Management. A broker-dealer & registered investment advisor firm with $16BN AUM, 240 employees, and 12 offices nationwide Originally recruited by Chief Investment Strategist to provide expertise in portfolio management, investments, RIA, operations, and managed accounts.Lead a staff of 3 VPs: Credit Research, Portfolio Manager, and Analytics. Support development of operational budgets of up to $1.5MM.◈ Identify compelling values, platforms, market opportunities for 100+ Registered Investment Advisors representing 1000+ high-net worth investors. ◈ Key contributor to successful SEC and FINRA examinations, representing the RIA / operations group by providing documentation and interviews during comprehensive file reviews.◈ Recognized for 8 consecutive years of outperforming strategic objectives for account growth (600%) and asset growth (16-fold, from $1.07BN to $16BN). Show less

Led institutional public offerings program including system development, marketing, policies and procedures, audits, and adherence to all regulatory requirements.◈ Hired, trained, motivated, and managed a team of 20 traders processing daily trade volume of >25K equity, option and mutual fund transactions from institutions, money managers, and independent investment advisors.◈ Managed 4 business development specialists and the institutional initial public offering… Show more Led institutional public offerings program including system development, marketing, policies and procedures, audits, and adherence to all regulatory requirements.◈ Hired, trained, motivated, and managed a team of 20 traders processing daily trade volume of >25K equity, option and mutual fund transactions from institutions, money managers, and independent investment advisors.◈ Managed 4 business development specialists and the institutional initial public offering desk.◈ Oversaw institutional step in/out transaction settlement processing, assuring compliance to regulatory requirements for 144A stock. Show less