Keith Schwartz Email & Phone Number

Boca Raton, Fl, Us

Southeast United States

•Charged with spearheading business development and client service efforts for Guardian Capital in 10 southeastern US states, expanding the firm's brand awareness, AUM, product penetration, and managing the relationships for both financial intermediary home offices and retail advisors.•Proactively built the US business from the ground up, driving assets from $135MM in 2016 to an impressive $1.5B in 2023.•Established and maintained a highly productive 20+ year ongoing relationship with the Raymond James home office, while also cultivating and servicing relationships with Raymond James branches throughout the Southeast region.•Collaborated effectively with home office personnel, external stakeholders such as manager research, asset managers, sales, and research teams to onboard and implement various investment strategies, ensuring successful outcomes and high client satisfaction levels.•Coordinated internal efforts with operations, legal, marketing, portfolio management, and C-Suite executives, effectively leveraging cross-functional expertise to achieve mutual goals.•Recognized in the industry, working with Raymond James home office to secure speaking spots for portfolio managers and serve as speaker at regional conferences (e.g. AMS Top Advisors Conference).•Attained remarkable success in product sales to clients, overcoming US investor reluctance to global investments and raising capital for the Global Dividend Strategy from $135M to $600M, and raising $800M for the Global Concentrated Unconstrained Equity Strategy; both strategies now rank as the top AUM strategies within Guardian. •Led successful 18-month acquisition of the company's largest individual account, valued at $450M, spearheading the relationship from inception and continuing to manage it thereafter; facilitating the largest trade the client had ever made and increasing assets under management in global strategies to over a billion dollars, achieving the #1 territory placement within Guardian.

Boca Raton, Fl

• Assumed the role of wire-house wholesaler for the state of Florida after Aston Asset Management was merged into AMG.

Boca Raton, Florida, United States

• Continued as a mutual fund wholesaler and key account manager when ABN AMRO Asset Management sold its distribution division, which became Aston Asset Management, and invited to join the new firm after the sale was finalized. ABN AMRO was the parent company of Aston Asset Management.• Surpassed sales goals in a multi-state territory, expanding to additional regions, and achieving top-tier performance by raising assets across diverse investment products such as institutional separate accounts, wrap programs, SMA/UMA platforms, and no-load mutual funds. Transformed sales and assets from the 4th quartile to the 1st quartile, diversifying across multiple platforms and strategies.• Developed and maintained relationships with financial intermediaries, such as pension consultants, trust companies, broker/dealer platforms, custodial platforms, family offices, RIA’s, and banks.• Delivered the only SMA model delivery client for the firm and raised assets from multiple sources and strategies, including large cap growth, large cap value, mid cap value, small cap, and dividends. • Collaborated with external partners, including TIAA, LPL teams, GenSpring, Raymond James, and First Horizons (Memphis), and internal sub-advisors and portfolio managers.• Participated in the AES Conference for Merrily Lynch.

Boca Raton, Florida, United States

Allegheny Funds / ABN AMRO Asset Management • Identified, prospected, and maintained clients as a traditional wholesaler in the early stages of career. Called on broker-dealers, warehouses, regionals, and RIAs. Later promoted and transitioned to working with other firms in a subadvisory model.• Successfully positioned the product in the advisor's mind, effectively communicated and marketed its unique value, and maintained strong management, even in challenging times.

Boca Raton, Florida, United States

• Joined the company in 1996 as an internal wholesaler, developing broker/dealer relationships through phone contact and supporting external wholesaler efforts. Demonstrated expertise in industry-related technology, markets, and competitors while maintaining a comprehensive client database.• Transitioned to an external wholesaler role in Florida, covering prominent wire houses incl. Merrill Lynch and Prudential. Developed comprehensive understanding of external wholesaling process.• Promoted to SE Regional Vice President in 1998, leading mutual fund wholesaling efforts for wire-house and regional advisors in FL, AL, and MS.• Transformed the internal sales team into a proactive and sales-focused department, actively involved in the entire sales process.

New York, New York, United States

• Developed a client base through extensive cold-calling, conducting client seminars, and sending out mailings, while earning various licenses, including Series 7, 63, 65, and life and health insurance.

Pompano Beach, Florida, United States

• Represented small, under-followed companies to the broker/dealer community through financial public relations, gaining valuable experience in overcoming rejection and adapting to the changing market environment.