A corporate consultancy specializing in sustainability as it directly impacts publicly-traded companies and the private-equity and investment banks that provide them capital.

Independent Agent of ARCA, working in business development and consultation. Focus on publicly-traded entities, municipalities, and large privately-held entities.

I jumped at the opportunity to work in Investor Relations—and learn the “other side of the desk” after many years on the brokerage side. A new challenge, a new learning opportunity, and a place where I could apply my varied perspectives to bring value to the company and its clients.My role is a diverse blend of strategic planning, financial/business analysis, investor relations, and communications with investors, analysts, and media. In my short time with the firm, I have:► Applied my understanding of what it takes to boost a business out of anonymity and into the spotlight … and shared this with team members.► Overhauled our presentation strategy, format, and content, improving quality, consistency, and value perception.► Established positive relationships with C-suite executives at our client firms, primarily publicly traded, small-cap companies.► Written press releases, hosted earnings calls, and managed investor and analyst events.► Gained deeper understanding of investor needs and priorities.I delight in finding innovative ways to present client information so that investors look past immediate events at the bigger picture. I help them see both backwards (trends) and forwards (projections) to understand the true value of our client companies … so that those investors can take their own calculated risks!

The idea came to me in a restaurant in Kathmandu (literally). So I grabbed a napkin and started scribbling the plan that led—less than a year later—to a fully functioning, revenue-generating business.From my own executive experience, I knew how challenging it was to find time to shop for professional clothing. What with demanding schedules, frequent travel, and relatively isolated office parks, I knew that other executives must share my frustration.I conceived and quickly launched a company that brought a mobile showroom—complete with high-quality samples, design advice, and tailoring expertise—directly to the customer. Simply by visiting our facility (parked right in their parking lot on a regular schedule), executives could choose, be fitted for, order, and then pick up custom-tailored clothing.My marketing plan was built around my brokerage knowledge of who owned those office parks—namely, large REITs. I targeted those REITs, used my network to get introductions, and secured 20 leases in Class A office parks in the Tristate area.I built “buzz” through media, social media, and relationship building with industry influencers as well. A highlight was having one of my products appear on Shark Tank!After four years, I knew that further expansion would require a new infusion of cash, as we had reached the capacity of our mobile showroom. I elected to move on to my next challenge … but still greatly value the experience, the hard-earned knowledge, the relationships, and the rewards of that entrepreneurial risk.

How many have the luxury to take a year off to pursue a dream? I did, and I seized that once-in-a-lifetime opportunity!After completing my MBA, I planned, organized, and carried out a global journey. I traveled to tourist meccas and out-of-the-way villages in all of the far corners of the world. Traveling solo requires one to reach out, connect, and interact with fellow travelers and locals, and I found those experiences to be the true highlight of my journey.Along the way I wrote a blog (“Modern Magellan”) and captured a million memories in photographs, stories, and experiences.This trip might have been risky from a career perspective, but it was a learning experience like no other. It taught me about myself, about others, and about the world. Risk? Maybe. Rewards? Most definitely.

1999–2010Chief Operating OfficerPurshe Kaplan Sterling InvestmentsCOO and Director of Supervision, 2006–2010Chief Compliance Officer, 2002–2006Associate Compliance Officer, 1999–2002Two brokers walk into a bar … that’s not a joke, that’s the beginning of my career in the brokerage industry. After knowing those two brokers for a short time, I became convinced that I could do their job (and do it better). I earned my Series 7, 24, and 63 licenses … and later joined PKS. Promoted twice while at the firm, I gained confidence in my ability to take on new challenges, lead change, rally my team around important goals, and deliver top- and bottom-line growth.► As Chief Compliance Officer, I created a positive culture around compliance. Rather than taking a punitive approach toward compliance lapses, I partnered with brokers in our field offices nationwide and helped them understand that I was there to help them prevent those lapses and recover quickly if they occurred.I was credited with creating an environment that drew many new registered representatives to our firm—we experienced 500% growth over 9 years and had an exceptional compliance record.► As COO, I found a new challenge was maintaining morale and controlling expenses during the economic downturn that began in 2007. My creative problem-solving skills kicked in, and I came up with a variety of low-cost rewards and incentives that had a measurable impact on brokers’ job satisfaction.At the same time, I put on my analytical hat and examined every cost center in the company to find ways that we could streamline, improve, and reduce (even eliminate) expenses. One example was the cost of training that was mandated for our brokers. By renegotiating the deal with our vendor and asking each broker to chip in just a few dollars annually, we slashed 85% of the cost of that service.After 11 years, I decided it was time to further my education, so I left the firm to pursue my MBA.