Daniel Sullivan Email & Phone Number

Decatur, Ga, Us

Atlanta, Georgia, United States

Sandy Springs, Georgia, United States

Greater Atlanta Area

Ensures that clients receive exceptional service by promptly responding to inquiries, assisting with asset movements, and maintaining accurate portfolio accounting records. Collaborates directly with Investment Advisors, Financial Planners, and custodian representatives to provide comprehensive account support. Displays a passion for facilitating a wide variety of client needs with efficiency and accuracy. Embraces the firm’s use of cutting-edge technology. Proficient at new client onboarding. Drafts contract package documents including client agreements, investment policy statements, and all manner of custodian forms. Establishes and maintains client account records in Orion, the firm’s portfolio management system. Skilled user of custodian platforms for Charles Schwab, TD Ameritrade, and Fidelity Investments. Utilizes these platforms to open new accounts and modify existing accounts as needed. Communicates directly with custodian representatives to resolve issues. Seasoned Salesforce CRM user. Manages assignments as Salesforce workflows from start to finish.Extensive experience utilizing DocuSign technology for both advisor documents and custodian forms. Initiates money movements daily, including domestic and international wires, cash journals, alternative investment capital calls, check requests, and IRA distributions. Monitors cash balances to ensure sufficient liquidity for recurring distributions. Generates and delivers comprehensive ad hoc client reports. Provides tax documents directly to clients and CPAs. Experience handling alternative investment subscription document packages, and investments in separately managed accounts.

Atlanta, Ga

Served a successful investment management firm in a multifaceted capacity as Director of Operations and client liaison. Fostered the firm’s 90+ client relationships and 300+ accounts including private and institutional investors. Named the firm's Chief Compliance Officer in 2018. Supported the stewardship and development of all client portfolios from an operations perspective. Enabled unprecedented AUM growth of over 400% in 9.5 years.Collaborated with the firm's previous Chief Compliance Officer on recurring regulatory filings including 13Fs and the Annual Updating Amendment to the firm's Form ADV.Ensured that new accounts were promptly available for investment by drafting Investment Advisory Agreements, Investment Policy Agreements, and all requisite custodian forms.Managed account activity, reconciling transactions with custodian records to ensure accurate client reporting and investment security. Initiated and populated the firm’s Client Relationship Management system (CRM) with client data and integrated this CRM with the firm's custodian to facilitate the account opening process.Directly assisted the Portfolio Manager by generating comprehensive client reports for presentation at portfolio review meetings. Recorded and retained a wide variety of client communications that occur on conference calls and Annual Portfolio Reviews. Executed quarterly accounts receivable process from start to finish by creating and delivering accurate invoices, receiving payments, and maintaining revenue records. Assisted clients with administrative requests such as withdrawals and asset transfers. Coordinated and initiated the secure delivery of Required Minimum Distributions.

Prevented all equity trade settlement delays as the key settlement contact for a Firm that managed $8.2 billion. Performed all aspects of portfolio administration such as daily reconciliation of 45+ equity and fixed income portfolios. Generated invoices for institutional clients, and produced multifaceted consultant and client reports. Posted dividends, interest payments, contributions and withdrawals to the accounting system certifying the accuracy of client performance figures.Ensured that new accounts were fully invested as quickly as possible by serving as liaison between custodian banks and internal departments.Retained all key accounts by delivering accurate monthly, weekly and ad hoc compliance reports to clients and consultants.Developed a trade settlement procedures manual detailing obstacles and resolutions, which provided management and administrators with a clear understanding of the trade settlement process.Initiated and submitted class action claims for entitled accounts ensuring they receive settlement proceeds, thus increasing market value.Maintained client and consultant documents including contracts and correspondence; provided requested documents allowing trouble-free completion of internal and external audits.

Reconciled investment manager cash and holdings with custodian records for 60 accounts. Booked buys, sells, interest payments, paid downs, dividends, cash transfers and trade dollar differences to the accounting system, ensuring accurate client reports.Seamlessly converted all accounts from monthly to daily reconciliation improving report precision.Partnered with Six Sigma organizers identifying group inefficiencies and streamlining group procedures.Trained, advised, and covered for several group members instilling a spirit of teamwork. Performed daily and monthly reconciliations providing a timely means of error correction.Adapted to several changes in procedure, software, and account load during the Fleet/Bank of America merger.

Priced and reconciled domestic and international accounts for the State of Alaska Public Funds Group and the New York City Comptroller Group. Maximized client returns by purchasing a short term investment fund with all uninvested cash. Projected the client’s budget for each fund, monitored trade status, received income lines, and reviewed corporate actions on a daily basis.Ensured client report accuracy by striking a Net Asset Value for all assigned portfolios each business day.Created a collateral pricing report for the New York City Comptroller Group, which ensured that the clients had sufficient assets for repurchase agreements, and thus maximizing returns.Identified Macro spreadsheet inefficiency, and worked with the Macro Team in correcting the problem improving accuracy and productivity of client reports.Trained colleagues on daily responsibilities and procedures in a deadline driven environment.