Robert Sheely Email & Phone Number

Santa Cruz, California

Worked with existing client base to develop planning based investment strategies to meet each customer’s financial goalsand objectives using the firm’s advisory solutions.

Advised the firm’s clients on various trading strategies using proprietary trading tools and advisory services.

Founded an investment advisory firm that provides discretionary asset management services for investors seekingperformance driven investment advice along with personalized service and prudent stewardship of capital.* Handled all compliance and registration requirements imposed by FINRA* Negotiated complex custody and clearing contracts with broker dealers* Created multiple marketing and brand management initiatives through a variety of mediums* Provided investors with a quarterly risk weighted performance reporting

Raised and managed a $250 million portfolio of equity and fixed-income securities for institutions and high net-worthindividuals. Responsibilities included analysis of investments, negotiation of transactions, performance reporting, andoversight of legal, tax, accounting, safekeeping, and regulatory issues.* Originated over $1 billion in asset backed warehouse financing* Managed corporate-level relationships by handling corporate cash, options administration, deferred compensationand 401(k) administration* Created venture services platform to cater to the financial needs of venture capital firms and their portfoliocompanies* Developed structured-equity transactions, which enhanced net returns for tax-sensitive clients and maximizedcash flow

Serviced portfolio managers and hedge fund clients. Focus was on trading and hedging large concentrated equitypositions, while simultaneously providing "market color" back to fund managers.* Placed $200 million of initial and secondary public offerings to institutions and accredited investors* Collaborated with transfer agents, issuer council, and the SEC to insure compliance with regard to restricted andunregistered securities* Established expansive resource network, obtaining research, securities-lending, and soft-dollar agreements