Richard Monroe Email & Phone Number

New York, Ny, Us

🔑 Promoted to build and maintain a profitable portfolio of accounts across 5 geographically dispersed offices with $300M - $500M in AUM and full discretion. Perform asset allocation research and recommendations, due diligence modeling, portfolio cash forecasting and management, risk monitoring, annual audit process, financial and performance reporting, overseeing trade execution, and investment document review.Select Accomplishments: ✔ Tapped to take on additional responsibility of managing investment portfolio for Aurora Wealth during height of COVID-19 pandemic⭐ Manage portfolio for 500 – 800 clients and $150M AUM with full discretion⭐ Delivered 7% annual gains in FY20 ✔ Partnered with high-value money managers (Black Rock, Vanguard, and State Street) to coordinate educational marketing presentations for existing clients and prospects✔ Designed tailored investment models to provide diversified options for clients with small accounts✔ Tracked ongoing performance against benchmark on risk-adjusted basis and handled all portfolio activity to produce positive returns despite global pandemic ⭐ 11% annual gains for FY20✔ Played a key role in facilitating smooth transition of work during two acquisitions despite impacts from the global pandemic ✔ Demonstrated superior ability to make appropriate strategic decisions based upon financial data and current market conditions while consistently maintaining extensive knowledge of portfolio performance✔ Took on an additional 400 accounts and $100M AUM after merger with private wealth management practice in December 2020✔ Facilitated onboarding of over 100 accounts in 2021✔ Developed operational process within team outlining specific roles, objectives, strategies, and goals to optimize service to existing clients and onboarding of new clients✔ Responsible for management and training of investment analyst in San Francisco

🔑 Recommended and implemented transition plans to realign recently transferred assets in accordance with clients’ stated asset allocation strategy. Conducted research on mutual funds, exchange traded funds, stocks, and bonds to support investment decisions. Executed trades within client portfolios to include rebalancing, raising cash & investing new cash; enhanced the tax efficiency of client portfolios and carried out tax loss harvesting strategies.Select Accomplishments: ✔ Improved portfolio performance from -4.4% to an average of annual gain of 13.5% in three years⭐ 11% annual gains for FY20⭐ 16% annual gains for FY19

Us

🔑 Institutional Salesman for Utility Group. Clients included hedge funds, investment banks, and energy industry companies.Select Accomplishments: ✔ Secured largest utility group sale in company history - $150K to Bank of America✔ Consistently met $50K quarterly $250K annual sales goals

Charlotte, Nc, Us

🔑 Rapidly promoted from analyst to Vice President in 5 years. Oversaw $3.5M in fees, selling various public and private market convertible security products. Selected Transaction Experience: ✔ Book-Managed $250M Convertible Debentures for Quest Diagnostics✔ Joint-Managed $1.38B Convertible Bond Offering for The Gap✔ Book-Managed $400M Private Convertible Transaction for Ace Limited

🔑 Created presentation materials including high-yield market updates, new issue pricing, current bond trading levels, and firm’s capabilities for senior management.

Bachelor Of Arts, Psychology

Wharton Business Foundations Specialization

Education record