Hamilton Grant fulfills the roles of Chief Compliance Officer (CCO) and regulatory administrative staff for independent M&A advisory firms. Our clients are liberated from the senior-level time and costs associated with hiring, staffing and maintaining in-house compliance and administrative resources, improving their ability to source and close transactions. In my role as VP and CFO, I apply over 30 years of experience in financial management for broker-dealers to manage the financial aspects of our client practices. My activities include all financial oversight of the business including the closing of financial transactions.

Oversee all day-to-day operational, administrative and financial activities of the firm.

Consulting, instruction and Operator of Great Clips hair salons.(Formerly DWC executive consulting)

Responsible for all financial and accounting functions of Signature Capital Advisers and Signature Group Holdings.

UNX is a private equity owned brokerage offering trade execution technology solutions to institutions. Responsible for Finance, Accounting, Human Resources and Administration functions. Co-Chaired the Company’s Operating Committee. Oversight of M&A activities. Interim oversight of Brokerage Operations, IT, Legal and Compliance functions. · Interacted significantly with Board and investors, resulting in better communication of information. · Successfully closed two rounds of funding in a six-month period. · Implemented a comprehensive corporate budget process in 30 days.· Created monthly financial and metric reporting and implemented formal monthly financial reviews in order to better manage the business.· Reduced financial close process from 15 to 3 business days through re-engineering.· Led turn-around efforts to stabilize the Company while securing new capital.· Applied organizational development skills to restructure areas of responsibility resulting in 15% cost savings and improved efficiency.· Drove cost restructuring in multiple functions, leading to annual savings in excess of $4million.

Responsible for strategic planning, budgeting, culture, organizational transformation and process re-engineering within Corporate Accounting and Finance. · Led initiatives that spanned the corporation, resulting in savings in excess of $250 thousand.· Chaired the corporation’s Accounting Leadership Council resulting in enhanced communication between financial groups.· Led initiatives to improve the close process and information reporting coordination.· Represented the financial organization on numerous corporate committees, providing advocacy that was not previously delivered. · Participated in offshore initiatives resulting in savings in excess of $100 thousand annually. · Earned the Company’s FASTER Gold Award for excellence in process improvement.

Western is one the largest fixed income asset managers with over $200 billion in assets under management. - Responsible for the administration of over 900 investment portfolios with nearly $200 billion in assets under management across the globe. · Interacted extensively with London and Singapore offices, creating greater awareness and understanding in order to increase department service levels.· Played an active role in evaluating procedures for weaknesses and developing strategies to improve operations, resulting in a 20% increase in capacity. · Reduced monthly close from 10 to 5 days and developed strategic plan to convert to a daily close.· Implemented training, staff schedule and accountability programs to promote a “CFO mentality” among team members, resulting in a 25% improvement in customer service ratings.

JNLD oversees the distribution activities for Jackson National Life Insurance Company. This includes three entities that distribute JNL’s life and annuity products, four retail broker/dealers (National Planning Holdings), including one self-clearing firm and a registered investment advisor (Curian Capital).Responsible for corporate accounting, finance, and regulatory relationship and reporting functions of the above firms. Performed due diligence on many acquisition targets. Managed budgets that exceeded $6 billion in sales/revenues and over $450 million in expenses.· Restructured financial functions and relocated them to a shared service model, resulting in higher service levels and 10% cost savings. · Took an active role in evaluating and developing strategies to improve operations, including 15% productivity improvements and the successful turn-around of two subsidiaries.· Integrated recently acquired business units to a single reporting platform, reducing the close process from 10 to 6 business days. · Played an integral role in the creation, implementation and development of Curian Capital through its first 50 employees and first $50 million in assets under management.

LPL is the largest Independent Broker/Dealer in the world. Responsible for building and maintaining world-class corporate accounting, commissions, finance, treasury, risk management and regulatory reporting functions of a self-clearing broker/dealer. Maintained high-level business relationships with auditors, bankers, lessors, regulators, and other business partners. · Played a major role in ensuring a successful conversion to self-clearing, profitability increased 50%. · Developed and implemented corporate budgeting process in 90 days using activity based modeling. · Managed the firm’s short-term investments maximizing returns ($50 million). · Established treasury operations as activity rose from $1 million a week to $1 billion a week.