David K. Email & Phone Number

Orange County, California, United States

• Advisory Business: Member of a team with a portfolio of 200+ clients with more than $650M in assets. Assist clients with tax, retirement savings, investment and insurance needs by evaluating current standing and advising on appropriate solutions• Model Creation: Back test advisor’s current portfolio models, mutual funds, and separately managed money managers to identify areas of improvement. Provide training to individual advisors and support staff in their daily routines to refine client experience• Business Development: Spearhead the operation process to increase and improve sales through the creation of workflows. Research and recommend financial software to improve services and systems, i.e., CRM, Morningstar Advisor Workstation and YCharts• Research: Create and implement the Northwest quadrant hybrid program (low risk/ high reward) which balances the aspirations of growth with the necessity of capital preservation. Locate and implement qualified mutual funds and ETFs.

Los Angeles, California, United States

• New Business: Responsible for the training and/or creation of $1B+ of fee-based AUM proposals through Envestnet and $500M+ in financial plans through Moneyguide Pro in this 2020-2021 fiscal year. Provide financial planning consultation • Training: Evaluate advisors’ current business models and identifying areas where technology, products and best practices can be leveraged to improve outcomes, then provide training to individual advisors, groups of advisors, and support staff • Program Development: Develop, refine and edit user guides, reference documents and collateral materials for Moneyguide Pro Envestnet, Firelight, LUMA and Folio Dynamics. Conduct in-person, teleconference/webinar and recorded training sessions • Consulting: Meet with current advisors looking to expand or transition their business into the fee-based/advisory space and develop training plans to guide current advisors and staff through this transition

El Segundo, Ca

• Training: Coordinated the scheduling and conducting of training courses and consultations with financialadvisors on how to use financial software, such as Money guide Pro, Folio Dynamic, and Envestnet bothvirtually and in-person.• Supervise: Trained and supervised a team of six associates on Money guide Pro to support advisorsand internal staff. Maintained and updated all manuals, job aids and educational videos as needed.• Technology: Assessed the technology (financial planning, trading, model building) training needsof advisors and internal staff. Developed and implemented functional training and provided follow-upsupport and conducted group training sessions.• Financial Planning: Reconciled inquiries from financial advisors and assistants involving financialplanning concepts, portfolio building, and proposal functionality for advisory platform tools and trading.

El Segundo, Ca

• Operations: Developed the brokerage side of the advisory division for a firm with $150 million of assets under management, in addition to, monitoring and implementing operation and compliance procedures and protocol.• Project Management: Piloted the transition to a new broker dealer twice, which included over 700 client accounts.• Personnel Management: Hired, coached and supervised a staff of five people to ensure daily processing of operational functions such as trades, transfers, and distributions. Ensured transactions are accurately processed and controls were exercised.• Business Planning: Spearheaded the operation process to increase and improve sales and improve the client experience. Researched and recommended financial software to improve services and systems.• Account Management: Served as primary contact for clients via telephone, e-mail, and in-person to manage advisory accounts and was

Pasadena, California

• Client Acquisition: Increased client growth by 23% through the effective sales execution of all companyresources and service products as a licensed FINRA series 7 and 63 broker.• Account Management: Identified and resolved all account management grievances, provided websitenavigation and technical support to assist clients in managing their online (trading) accounts, whileoffering detailed consultation to clients concerning trading procedures, regulations, and marketmechanics related with conducting trades.• Trading: Executed on average 30 client trades daily with zero errors in a fast pace, multi-task, highpressure, and securities market environment.• Training: Provided extensive training and mentoring support for 3-5 new hires every quarter tofacilitate compliance with company service standards and increase overall awareness of financialindustry operations.• Operations Improvement: Led the Solution Group (liaison between brokers and management) projectdesigned to evaluate and modify company policies as necessary to achieve desired and increasedoperational efficiency.

Chicago, Illinois

• Compliance: Implementing and enforcing IT asset management compliance standards that resultedin the significant drop of non-compliance penalties by 35% throughout 80 company offices withinTechnology Support department.• Inventory Control: Evaluated and modified inventory control operations as necessary to facilitatemore efficient management of technical resources and to ensure compliance with company resourcemanagement standards.• Policy Reform: Developed national IT asset management policy designed to ensure the efficientutilization of company's resources, provided detailed consultation towards the development of yearlyTechnology Allocation Plan.• Training: Conducted training sessions for TSS departments to advise staff of specific operationsand features associated with Asset Management system processes and policies to increase staffcomprehension and familiarity.• Technology: Utilized programming queries and ad hoc reporting to promptly identify and resolve non-compliance, which ensures minimal disruption to business operations and streamlines the transfer of data to management.

Mclean, Virginia

• Logistics: Credited with consolidation of the largest transition of employees (1,500 people) in thecompany's history to the newly established McLean/Tyson's office; developed and implemented stringentsecurity protocols to ensure the safety and protection of all company assets and personnel, while alsocoordinating with various company departments.• Technology: Identified and resolved all technical support issues affecting office system network;maintained and reconciled comprehensive workplace databases to ensure easier staff access to pertinentdata.• Policy: Generated and updated office services user guide to outline more efficient strategies concerningthe management and utilization of office resources.• Vendor Management: Developed and maintained relationships with outside vendors and businesspartners to facilitate the acquisition of the resources and services necessary to maintain optimum levelof company efficiency.

Silver Spring, Md

• Business Planning: Led the project with the D.C. Department of Housing to create a subcontractingplan for a housing development (Danbury Street Project) which exceeded all mandated affirmative actionand anti-discrimination guidelines for contracting opportunities (43.5% minority, 6.9% female, 51% localresident goals, and 35% protected class contracting goals).• Compliance: Designed affirmative action participation goals; assisted clients in resolving discrepanciescontained within their existing compliance programs.• Marketing: Pioneered creative outreach strategies designed to help the company and clients togenerate and display innovative marketing campaign material to increase disadvantaged small businessparticipation.• Budgeting: Reconciled project budgets to ensure all employees payroll and supply expenditures wereaccounted for, while also modifying employee and contracting operations to ensure compliance with allfederal and local mandates.

Certified Investment Management Analyst® (Cima®)

Bs, Business And Social Science