• Steered firm through an SEC examination while working remotely due to the pandemic.• Determined and monitored the suitability of prospects as clients as well as the investment strategies chosen for them. • Developed, initiated, and maintained compliance and operational policies and procedures of the firm. • Streamlined the new client on-boarding process reducing setup time 50% (from a month to two weeks). • Strived with CEO to recreate the firm’s image and retain clients after the passing of our co-founder Barbara Rosenblum.

• Responsible for a team of four client service representatives. • Team lead on clearing firm conversion from Spear, Leeds and Kellogg to Pershing Clearing. • Facilitated the service of a client asset base that included domestic/foreign equities, fixed income, emerging markets, derivatives, swap agreements, repurchase agreements, FX futures, and currency transactions. • Relationship manager for Conifer’s largest private wealth management client with AUM in excess of one billion.

• Co-Authored the President’s Working Group on Financial Markets Report: Principals and Best Practices for Hedge Fund Investors on a project for the JCF of San Francisco, the Peninsula, Marin and Sonoma Counties. This encompassed an eight-week study of the practices of the JCF’s Philanthropic Gifting Department with regards to alternative assets and their control and reporting practices. • Consulted on hedge fund ops, trading, fund administration, and due diligence issues for clients and prospects.

• Managed three budgets totaling $13.3 million and developed long range planning across channels with EVP/GM. • Responsible for reviewing and making recommendations on business opportunities and acquisitions in the college media sector. • Integrated financial operations of College Media Network (CMN) and Ratemyprofessor.com (RMP) into Viacom.

• Contributed to the creation and launch of 3 new instruments (2 offshore and 1 onshore). • Instrumental in the adoption and implementation of FutureTrade (an order entry and order staging platform that more cohesively integrated the various ECNs and institutional desks used on a daily basis at PAI). This system helped to streamline our trading process and efficiency while decreasing the number of trade breaks and incorrect allocations. • The successful transition to FutureTrade proved instrumental in the firm’s asset growth from $750 million to over $1billion in a 3-month period. This growth was attributed to 25% portfolio growth and a 75% increase in AUM into the 3 new instruments, a direct result of the FutureTrade platform implementation. • Worked with prime brokers, lawyers, administrators and auditors on the operational aspects of an asset base in excess of $1 billion.• Prepared the various funds for year-end audit and answered auditor’s questions through an investigation of financial statements and records of the company.• Assisted our outside compliance consultant in the creation of a firm-wide policy manual.• Responsible for client services and fund administrative duties across eight hedge funds.• Facilitated hedge fund clients during the funds’ openings and on an ongoing basis. These responsibilities included prospective client accreditation as well as ongoing communications with client’s banks and brokerage firms to ensure the proper fund contributions and redemptions.

• Handled all operational duties of the Dunlap Capital Partners fund.• Participated in the selection process of a 2nd prime broker in an effort to improve rates and maximize the services available to the firm.• Managed the finances and back office duties for the firm with an approximate AUM of $23 million.• Managed the fund’s monthly openings for both contributions and redemptions.• Organized the firm office move, including selecting the new office space, moving service as well as adjusting new and existing service providers at the new site.

• Revamped firm’s trading systems, including renegotiating all execution rates with prime broker. Improved rates lead to a savings of $10,000 per month and improved trading margins. • Managed all finances for the firm using QuickBooks and working with our CPA and several bank and brokerage accounts.• Traded equities, options and futures both electronically and through the use of floor brokers.

VP of Sales• Marketed clearing services to broker/dealers, hedge funds and RIA prospects.• Provided consulting services to Bear Stearns’ institutional client base. • Introduced long-standing clients to new or upgraded products in an effort to increase business revenues.• Effectively worked with trading desks and structured product desks to cross-sell to new and existing client base in an effort to more entrench them into Bear Stearns. This increased Bear’s AUM for our clients in the West Coast region by ~3%.• Worked with BearTrade developers and institutional traders to upgrade and improve the functionality of the BearTrade proprietary trading platform to increase trade flow for the firm.• Spearheaded firm-wide initiative to market execution services to existing clients, which lead to an increase in execution services via BearTrade by 5% and provided an added revenue source that had previously been untapped due to the inefficiency of the previous versions of the trading platform.• Advised on the GCS Client and Prospect Database and Pitchbook software design and implementation.Proprietary Systems Trainer• Trained investment professionals to use Bear Stearns’ proprietary software products, including trading systems, reporting software and financial performance programs.• Provided hedge fund traders with BearTrade demonstrations and follow up training on the systems.• Assisted clients via conference calls on software installations, training and troubleshooting.• Managed a team of four proprietary systems trainers. These trainers worked with PB, RIA and broker/dealer clients in the Pacific Northwest Region.• Provided software demos for prospects and clients.

• Private portfolio management for a client base with an AUM in excess of $200 million.• Created asset allocation models for high net worth clients. • Worked with the institutional trading desk on various corporate stock buyback programs with an average of 10 million shares at various price levels. • Marketed equities, fixed income, options and other derivative instruments as well as managed products.• Provided corporate services to several Silicon Valley companies.

• Private portfolio management for a client base with an AUM in excess of $375 million.• Marketed equities, fixed income, options and other derivative instruments.• Managed an active IPO and Secondary book.• Trained new sales associates in topics including portfolio and trading software, client services and account administration.• Member of Lehman Brothers Advisory Board.