Daniel Helmick Email & Phone Number

Lebanon, Ohio, United States

Lebanon, Ohio, United States

Oversee portfolio management functions of TPFG including Mutual Funds, Variable Annuities, Separately Managed Accounts (SMAs), and other strategies.Named Portfolio Manager of all 15 PFG Mutual Funds.Voting member on the investment committee.Contribute commentary on fact sheets, newsletters, regulatory filings, and related materials.Send weekly recap of key charts, themes, and trends to key decision makers in the organization.

Lebanon, Ohio, United States

Cincinnati Area, Ky

Served as head trader and investment research analyst for four office locations. Key accomplishments:★ Ensured that client accounts were in-line with their target objective through ongoing rebalancing and block trading.★ Constructed and monitored risk-based investment models using Mutual Funds, Exchange Traded Funds (ETFs), as well as individual stocks and bonds.★ Conducted ongoing due diligence of existing and prospective holdings using both fundamental and technical analysis. Automated much of this process through the introduction of Morningstar and Investor's Business Daily (IBD) quantitative screens which greatly reduced monitoring time and efforts.★ Successfully onboarded two office locations to the Tamarac trading system, which helped automate trading and increase monitoring capabilities.★ Served on the investment committee and led weekly discussions concerning portfolio holdings, economic data, market technicals, and other topics.★ Contributed commentary, recommendations, and risk management tactics to strategies that consistently met or exceeded benchmarks.

Cincinnati Area, Ky

As Portfolio Manager at The Randolph Company, I was responsible for idea generation, block trading, portfolio construction/monitoring, and client retention. I managed portfolios to a large cap blend, low-debt, dividend-growth style through a blend of both fundamental and technical analysis.Key accomplishments:★ Passed level 1 of the Chartered Market Technician (CMT) program. This program focuses on technical analysis and interpreting charts and indicators. ★ Introduced a multi-factor research template to comprehensively score stocks on a number of factors including valuation, technicals, profitability, and others.★ Recommended a number of value-adding ideas to client portfolios. ★ Wrote and presented over 300 stock research reports to the investment committee.★ Introduced a number of reports to monitor performance of holdings in comparison to benchmarks as well as gauge valuations, quality metrics, and other comparables.★ Launched a ‘charts of the day’ email to keep the team informed on a variety of topics.★ Passed Ohio Notary Public exam.

Mason, Ohio

As Director of Research & Portfolio Management, my primary responsibilities included portfolio construction, meeting with clients and prospects, investment research, and recommendations for managed money. I also led the quarterly Retirement Plan Consulting (RPC) recommendation program, met with clients and prospects, attended wholesaler meetings to generate new ideas for portfolios and conduct due diligence on current and/or prospective products, attended webinars and conference calls on a variety of topics (i.e. macro, earnings, new ideas), wrote commentaries and blogs, and maintained the firm's social media accounts (i.e. LinkedIn, Twitter, and FaceBook). Key Accomplishments:★ Suggested and helped implement the firm's social media program on Twitter, LinkedIn, and Facebook.★ Compiled over 15 risk-based investment models consisting of mutual funds and/or ETFs using hand-picked holdings that met my criteria in terms of fees, performance, risk-adjusted returns, and other factors. ★ Implemented a focus list of select mutual funds, ETFs, and individual equity securities. ★ Conducted ongoing due diligence of all holdings each quarter using an excel template that I constructed and maintained. ★ Ensured that all accounts were in compliance with ‘drift’ regulations so as to be within allowed ranges of established asset allocation guidelines.★ Passed series 63 exam (inactive).

During my time at Raymond James, I joined a practice as the investment analyst for which there was previously no such capacity. I was responsible for cleaning up holdings in the practice as well as providing some structure in terms of a stock focus list, investment models, as well as due diligence on all holdings. Key accomplishments: ★ Cleaned up all mutual funds in the entire book of business by eliminating underperforming investment options, implementing better holdings, and simplifying portfolios★ Designed 401(k) enrollment models for over 40 401(k) plans consisting of multiple risk tolerances/objectives across both Transamerica & John Hancock platforms for which the firm serves as investment advisor. ★ Compiled and implemented retail enrollment models for new money entering the firm’s practice. Enrollment models consist of mutual fund & ETF options across numerous risk tolerances. (i.e. Growth, Balanced, Moderate, Conservative, Dividend Focus, etc.)★ Researched, compiled and implemented an equity focus list consisting of ~50 stocks across all 11 sectors. Focus list was a large-cap core, dividend-growth model with am emphasis on value, fundamentals, dividend yield, and growth.★ Suggested and implemented new investment ideas for client portfolios★ Led weekly investment committee meetings★ Attended daily conference calls from sell-side partners★ Met with wholesalers on a regular basis★ Passed series 7 (inactive) and 65 exams.

Crestview Hills, Kentucky

Conducted market and security analysis on the buy-side. Evaluated and made recommendations on Mutual Funds, ETF’s, Common & Preferred Equities, Fixed Income, Currencies & Commodities. Attended conference calls and in-person meetings led by economists or sell-side analysts. Key accomplishments:★ Composed and presented over 100 equity research reports across all ten sectors to the Trust Investment Committee. ★ As primary Research Analyst, contributed commentary and recommendations to a large-cap core strategy that consistently met or exceeded industry benchmarks. For example, the Trust Committee’s benchmark portfolio had a 1 year total return of +14.1% in 2014, compared to +13.7% for the S&P 500 & +11.3% for large-cap core (committee objective). ★ Passed level 1 of the Chartered Alternative Investment Analyst (CAIA) program.

Covington, Kentucky

Supervised and managed a complex book of business comprised of 401(k), non-qualified, and ESOP plans. Assisted clients with reporting, day-to-day plan administration, audit support, file transmissions, wires, contributions, corrections, withdrawals, and ongoing plan issues. Collaborated with clients and Fidelity employees to suggest and implement plan improvements. Key accomplishments:★ Two-time recipient of the Client Service Management Risk Award, recognizing outstanding teamwork, creativity, and problem-solving skills. ★ Facilitated training for new hires. ★ Passed level 1 of the Chartered Financial Analyst (CFA) program.

Coordinated annual budgets and quarterly forecasts for revenue, expense, and capital; performed modeling and financial analysis; assisted in month-end closing; ran and distributed daily time and billable hours report, work with business units to drive cost reductions and process improvement; perform ad hoc analysis as needed.

Cincinnati, Ohio Area

Undertook administrative responsibilities for the retirement and savings plans including 401(k), non-qualified plan, employee stock purchase program, and pension plan; prepared reports; assisted in month-end reporting; managed the executive financial planning program; complied with auditor requests for plan and participant information; researched and suggested new fund options to the 401(k) and non-qualified plans.

Highland Heights, Ky

Processed customer-directed transactions such as loans, withdrawals, trades, enrollments, deferral changes, and future election changes.

Master In Business Administration (Mba), Finance Specialization, 3.8 Overall; 4.0 In Specialization

Bachelor'S Degree, Finance, 3.7

Activities and Societies: Norse Force, Freshman Service Leadership Committee, Finance Student Association, Service on Saturdays- Minor.

Education record