David Carlson, Cfa, Caia Email & Phone Number

Enhanced subadvisor monitoring process and controls to ensure highest level of fiduciary standards. Lead team of Specialists in all aspects of due diligence. Regularly collaborate with marketing and sales to create timely and topical sales collateral and drive new business.

Oversaw all investment aspects, including asset allocation, security selection, monitoring and rebalancing, for $500m turnkey asset allocation solution. Technical expertise used to collaborate with wholesalers on closing new business and servicing existing clients. Led cross-functional groups including investment research, sales, marketing and operations.

Oversaw $15B in AUM by leading a team of Portfolio Specialists in all phases of due diligence and sales support. Leveraged broad industry knowledge to gauge viability of new products and potential new Affiliate investments. Proactively created white papers and product support pieces to further strengthen selling efforts.

Prepared and presented quarterly updates to mutual fund Board of Trustees, covering all aspects of fiduciary oversight and new product initiatives. Responsible for all facets of due diligence for both open architecture and Affiliated investment products. Conducted monthly product updates for sales teams.

Served as the lead analyst on multi-manager Emerging Markets Equity and Pacific Basin Equity products with assets totaling $2.9 billion. Evaluated sub-advisors for potential inclusion in manager of managers program through combination of detailed quantitative and qualitative analysis. Developed and enhanced the group’s quantitative risk control procedures..

Researched and identified viable solutions for all product and implementation matters for SEI’s international equity portfolios with $10 billion in assets. Enhanced cash management process through use of futures contracts, equity-linked notes, and swaps to reduce portfolios’ tracking error by 10-35%.

Led multiple high-profile projects to launch new funds and merge existing portfolios; viewed as point person for all complex transfers of shareholder assets. Reconciled all daily activity for domestic equity portfolios for calculation of daily net asset values and prepared all financial statements for shareholder reporting. Directed and mentored group of.

Utilized excellent communication skills to provide guidance and advice to clients on investment options, tax implications and inquiries. Recipient of the First Mate Client Service Award.

Mba, Finance

Bs, Marketing