Matthew W. Moore, Cfa, Caia Email & Phone Number

Boston, Massachusetts, United States

Boston

➢ Sales – Initiate outreach to new and existing RIA, family office and bank trusts to sell firm products in traditional and alternative asset classes including options, managed futures, hedge fund and private equity, debt and real estate strategies. Work closely with external wholesalers to strategize outreach, provide support for existing client relationships, coordinate meetings and host product calls with clients and portfolio management teams. Tasked with billion dollar gross sales goals within designated territories, currently at 137% YTD gross sales ➢ Product – Knowledgeable on firm products and solutions, utilizing analytics from product teams to support timeliness of strategies and asset classes along with competitor analysis➢ Inter-department communication – Form strong partnerships with internal departments, product teams and affiliates

San Francisco Bay Area

➢ Manager Search and Due Diligence - Conduct manager search for inclusion within multi-manager, multi- asset class model portfolios using qualitative and quantitative methods. Ongoing monitoring of managers to include leading calls to review quarterly performance, process and team updates and review of strategy holdings➢ Attribution Analysis – Utilize Factset to analyze performance attribution of separate account strategies➢ Tax Loss Harvesting – Process tax loss harvesting optimization on separate account sleeves➢ Proxy Basket Creation – Utilize Axioma optimization to create proxy basket for active semi-transparent ETF➢ Manager Onboarding – Assist in onboarding of new managers into the model delivery program➢ Commentary – Write commentary on manager performance within model portfolios➢ Ad-Hoc Reporting – Provide account and strategy performance and attribution characteristic data for internal partners ➢ ETF Monitoring - Review ETFs used within the tactical component of model portfolios and the wash sale program for cost, tradability and intended exposure utilizing Bloomberg➢ Account Maintenance – Partner with trading, portfolio management, operations and sales staff to research and respond to account related questions or issues

San Francisco Bay Area

➢ Manager Model Updates - Monitor for and update manager model allocation changes, executing trades in client accounts according to trade rotation and communicating execution details to manager once trading is complete➢ Account Rebalancing – Rebalance client accounts for new account allocation, cash change, strategy change and termination, consulting with Portfolio Managers for account specific trading for customized accounts➢ Trade Execution - Utilize FactSet for trade volume and price quotes to ensure appropriate execution, ensure best price and additional trading instructions including price limits➢ Trade Direction - Execute trades with varying trade desks utilizing direct routing and adapters ➢ Tax Harvesting - Process ad-hoc tax harvest requests for gains and losses on client accounts

San Diego, California

➢ Portfolio Management – Oversee the daily rebalance process, monitor accounts to ensure proper allocation.➢ Model Updates - Communicate and coordinate with internal strategists and external managers, review and upload model security portfolios to trading platform and execute trades according to updated allocation.➢ Time Sensitive Trading – Work in high-pressure environment to properly execute trades during market hours.➢ Process Improvement – Develop and improve trading processes to create efficiencies and mitigate risk.➢ Data Analysis – Review trade history to identify trends based on platform, account size and model.➢ Account Maintenance - Process market based events including corporate actions and share class exchanges. Process trade corrections by manually rebuilding accounts.➢ Record Retention - Maintain records of model portfolios, daily trading activities and trading policies and procedures.➢ Communication – Coordinate with internal LPL Departments including advisory consulting, billing, service, trading and operations to ensure smooth maintenance of managed accounts.➢ Client Correspondence - Answer client questions regarding trading parameters and processing.➢ Platform Improvement - Collaborate with trading vendor on platform enhancements and updates.

Greater San Diego Area

Greater San Diego Area

Assist defined groups of LPL customers with rep setups, commission and fee research and support.

Bachelor Of Business Administration

Master, Business Administration; Finance

Relevant Coursework: Financial Management (1&2); Investments; Portfolio Management; Financial Risk Management