Kitty Chu Email and Phone Number

Although Court Investment Services is a dba of SilverOak Investments, they are two completely branding and treated as two different firms. The clients, relationships, and processes are completely different from each other.• Oversee all aspects of daily operations.• Create, review, implement and refine workflows for all areas of the organization.• Improve functionality of client service and portfolio management by creating internal forms, documents, and templates.• Provide ongoing support for my team through personal connection, team building, being a point of resource, addressing needs, feedback, and analyzing their performance and skill set to ensure they are maximizing their potential in the right parts of the business.• Resolve all complex issues related to service, operations, management, and sales.• Ability to create, oversee and manage all internal and external projects. Include working with vendors or team members to ensure quality, accuracy, and timelines are met.• Prepare and provide data for annual amendment filings. Distribute ADVs and Form CRS.• Work in detail with attorney to review and update our advisory agreements, P&P, Code of Ethics. • Create and implement an in-house Client Annual Review process along with our own internal forms.• Work with copywriters to create, review, and finalize newsletters and marketing pieces.• Engage prospects, schedule follow-up and follow-through, until transitioned to a client.• Provide relationship manager duties such as meeting with clients, all client service processing, ACATs, assist with rollovers, new account paperwork, money movement, life insurance underwriting and processing, etc.• Create performance and other related reports to enhance business functionality using Advyzon.• Quarterly billings and fee rebate. (Create, review, and submit)• Assess business trends and collaborate to make key decisions that can be impactful to efficiency or revenue.

• Oversee all aspects of daily operations.• Create, review, implement and refine workflows for all areas of the organization.• Improve functionality of client service and portfolio management by creating internal forms, documents, and templates.• Provide ongoing support for my team through personal connection, team building, being a point of resource, addressing needs, feedback, and analyzing their performance and skill set to ensure they are maximizing their potential in the right parts of the business.• Resolve all complex issues related to service, operations, management, and sales.• Ability to create, oversee and manage all internal and external projects. Include working with vendors or team members to ensure quality, accuracy, and timelines are met.• Prepare and provide data for annual amendment filings. Distribute ADVs and Form CRS.• Work in detail with attorney to review and update our advisory agreements, P&P, Code of Ethics. • Create and implement an in-house Client Annual Review process along with our own internal forms.• Work with copywriters to create, review, and finalize newsletters and marketing pieces..• Engage prospects, schedule follow-up and follow-through, until transitioned to a client.• Provide relationship manager duties such as meeting with clients, all client service processing, ACATs, assist with rollovers, new account paperwork, money movement, life insurance underwriting and processing, etc.• Create performance and other related reports to enhance business functionality using Advyzon.• Manage all parts of hiring, reviewing, and terminating of an employee. (All HR duties)• Quarterly billings and fee rebate. (Create, review, and submit)• Assess business trends and collaborate to make key decisions that can be impactful to efficiency or revenue.

• Provide exceptional client support for Laila Marshall-Pence.• Prepare and process paperwork for day to day transactions. (e.g: Trust, SEP’s, IRA’s, non-qualified, retirement plans, alternative investments, money movement, transfers, stock powers, RMD, annuities, 1035 exchanges life insurance and any other account changes. • Daily interaction with clients to ensure all of their needs are met and maintain relationship.• Process over $10 million of new business a quarter.• Work closely with investment team to have liquidations and trades places in a timely matter.• Setup clients with online account access.

• Provide management and support for all daily business and client services operations.• Provide exceptional client service for over $60 million in assets.• Assist with onboarding, transitioning and maintaining client relationships and accounts.• Experience with opening accounts, ACATS, IRA distributions, check and journal requests. • Responsible for managing and maintaining all aspects of compliance to ensure the company is SEC & FINRA compliant. Duties include but are not limited to; books and records, marketing review, ADV brochures, U4’s, U5’s, compliance reviews and ensuring all employees are following Policies and Procedures, enforcing and implementing Code of Ethics.• Provide HR duties such as hiring, terminating, payroll and other related matters.

• Answer 70+ calls daily to assist with New Accounts related issues, exceptions, and escalations.• Provide exceptional service to help our team members resolve issues for our high asset advisors.• Process, manage and follow-up on 30+ variety of service request daily.• Review Trust documents, death certificates, Articles of Incorporation, Partnership Agreements, court documents and other supporting documentation.• Opening and expediting accounts such as Trusts, all Joint Accounts, QRP’s, 401k’s, Profit Sharing Plans, Non-Profit Organizations, Corporate Accounts, LLC, 403b’s, all IRA’s, Guardianship, Conservatorship and etc.• Assist with conversions and time sensitive projects.

• Answer 60+ incoming calls and 50+ outgoing calls daily while processing paperwork and requests.• Responsible for accurately maintaining all license and appointment information for 2500 LPL advisors.• Work closely with internal departments, 100+ insurance carriers and all 50 Department of Insurance Agencies.• Lead for conversion projects.• Process high volume of work for time sensitive projects.

• Opening, mirroring and expediting accounts such as all Trust, Corporate, Tax-Exempt Trust, Delaware Charters, 401k’s, 403b’s, 457b’s, Individual, Education Savings Account, all Joint, QRP, ASA and all IRAs. • Usage of both Waterhouse and Ameritrade platforms.• Assist in mirroring 3000+ accounts under a short deadline.• Managing TAP (money market sweep for accounts), re-ordering checks per clients requests, emailing Proxy, Portfolio Changes• Responsible for IR Restriction Reports, Margin Upgrade Bounce Back Report, and AAS NA Resolution Bounce Book.• Dealing directly with Principals and aiding in Relationship Mangers needs. • Understanding the requirement for each account and necessary paperwork to follow.

• Interview, hire and terminate employees.• Manage Accounts Payable/Receivable.• Close work relationships with employees and clients. • Create and confirm weekly schedule for 25+ employees. • Create contracts, proposals, invoices, payroll, memos and letters.• Supervise employees and making sure clients’ needs are met.