Lead a four-person Portfolio Management Team, tasked with the design, implementation, monitoring, and rebalancing of highly customized, blended portfolios with a UMA structure. A proactive CWM Investment Team and Investment Committee member, facilitating the smooth transition from investment strategy formulation to portfolio construction and implementation. Structured and enhanced CWM’s private alternative investment subscription process by drafting procedures, offering training, and collaborating with placement agents and fund companies on streamlining workflows. Performed effectively and efficiently the annual mass rebalance of over 3,000 stand-alone and blended portfolios, involving the partial or complete substitution of various strategic and tactical satellites. Architected a portfolio classification system in CRD (Charles River), facilitating both mass rebalancing and targeted individual security swaps. Designed, programmed, and implemented an intricate, macro-based, compliance check tool for transitional security monitoring and management. Created a highly complex, multi-check, Excel-based solution for transitional mutual fund share class conversion analysis. Developed a household-level allocation deviation monitoring and reporting system. Won the 2021 Calamos Investments Annual Compliance Award in recognition of compliance dedication and promotion.

 Crafted custom investment proposals for prospect meetings based on investment goals, risk tolerances, liquidity needs, and special circumstances (e.g., concentrated positions and restricted securities), resulting in a high prospect-to-client conversion ratio. Implemented error-free initial alignment of multi-million-dollar client accounts into complex, blended strategies, including SMA, Mutual Fund/ETF, option, and private alternative investment vehicles. Assisted with option overlay trading (e.g., covered calls, protective puts, modified collars, cash/margin-covered puts) in complex client accounts. Performed mass rebalance of the entire client book.

Execute all daily trading for the firm’s ETF-based retail managed accounts. Manage the portfolio evaluation and ETF-order generation process for the company’s service-only program. Provide best execution via in-depth ETF block order analysis and astute algorithm selection. Designed and developed a sophisticated transaction cost analysis process for trade quality evaluation. Created and optimized an intricate ETF liquidity cost calculator, widely used in portfolio construction.

Managed the daily ETF, stock, option, and futures trading of up to $11 billion in AUM, spread across more than 20,000 separately managed accounts, multiple model provider platforms, and a handful of mutual funds. Became an expert on efficient ETF trading by sourcing the combined liquidity of the primary and secondary markets to minimize order impact and slippage.  Actively used risk quotes and requests for naturals in executing more sophisticated block orders. Calculated and executed trades for complex alternative mutual funds combining an equity component with a derivative piece, consisting of basket and index total return swaps.

Traded domestic and foreign equities in a dynamic, ever-changing, and high-pressure environment.  Designed and executed trades based on extensive and methodical tape reading, order flow analysis, technical indicators, and fundamentals.  Minimized trading costs by routing hundreds of trades to a plethora of stock exchanges and ECNs and by striving to add liquidity to the market.  Exercised consistent and reliable risk management through unwavering focus and iron discipline.

Ensured the accurate and timely implementation of investment strategy. Communicated extensively with advisors to achieve client portfolio optimization. Performed cash management, rebalancing, dollar-cost averaging, and tax-loss harvesting. Resolved complex tax, trade cost, and portfolio allocation issues.  Optimized portfolio implementation by streamlining processes and leveraging my iRebal expertise.  Reduced daily trading time by 50% after enhancing and customizing iRebal’s features. Boosted the Trust partnership with State Bank of Freeport through effective relationship management.  Mentored, trained, and developed 2 traders into proficient iRebal users.

Oversaw and ensured the accuracy and reliability of client portfolio information for trading, reporting, and performance purposes. Designed an internal data flow targeted at streamlining operations. Managed the importing, processing, and reconciliation of data in the portfolio accounting system - Advent Axys.  Shortened the daily download cycle by 4 hours through the customization of Advent Axys features. Propelled cost basis processing and data integrity by drafting a comprehensive cost basis manual. Reduced by 90% the processing time of M&A transactions by incorporating Advent Corporate Actions.