Independent Director/Trustee, FPA Funds, 2016 - Present• Audit Committee Chair• Member, Governance CommitteeSub committees: Auditor selection and CYBER-risk/BCPSEC Audit Committee Financial Expert

CEO, President and CFO roles inside Fortune 100 companies have given me great insight into revenue generation, strategy, and operations. Using those skills, I collaborate with accomplished c-suite and senior executives to strategically position themselves and their companies for enhanced revenue and expanded opportunities.• Optimize primary revenue streams• Develop performance-enhancing technology initiatives• Create, structure, and implement business plans and strategic initiatives• Mitigate financial, regulatory, and compliance risksSpecialties include Mutual Funds, Banks, Registered Investment Advisors, and Insurance Companies; SEC Financial Expert

Directed comprehensive strategic, sales, financial, and operational functions of B/D and RIA. Developed and executed the business strategy for driving revenues and improving distribution of all product lines -- both proprietary and non-proprietary. Established excellent rapport with the sales force and staff by defining and clearly communicating goals with focused follow-up. Identified and pursued potential acquisition targets. Managed all accounting, compliance, and distribution functions for Transamerica’s open-end mutual funds, variable universal life products, and variable insurance products. • Pioneered TFA Synergy®, the first completely paperless technology in the independent B/D channel. TFA Synergy®, reduced the firm’s error rate by over 95% within 90 days of implementation.• Successfully directed 3,300 independent registered securities and insurance sales representatives with no regulatory sanctions • Established an independent insurance marketing organization (a new revenue source) within the B/D to generate incremental revenue• Attained consistently high rankings (top 5 nationally) in the annual Investment Advisor magazine survey• Completely revamped an outmoded compensation model to facilitate more effective field supervision of producers• Designed and implemented a national emergency response program to ensure operational continuity in the event of a major natural disaster or terrorist action• Successfully completed AEGON’s proprietary two-year executive management training program – AEGON University, Nyenrode Business University, The Hague*Directed the Distributor/Underwriting B/D for the Transamerica Premier Funds and the Transamerica Variable Insurance Products. Responsible for and directed: New Product Development; Prospectuses, annual/semi-annual reports, and associated SEC filings; FINRA filings for the B/D; Advertising review; and Licensing.Board Director, InterSecurities, Inc. (A Division of AEGON/Transamerica), 2005

Vice President, Mutual Fund AdministrationBoard Chair, Director World Horizon FundsChief Financial Officer, Bunker Hill Income Securities Fund (closed-end) (BHL)Orchestrated due-diligence teams for major acquisition targets and served as a principal adviser in executive acquisition negotiations, including those related to the successful purchases of Continental Bank and Robertson Stevens. Managed Bank of America’s proprietary mutual funds administration -- both domestic and offshore. Developed proprietary funds, including multiple share classes and master/feeder structures. Created international companies to register offshore products in Cayman Islands and Hong Kong, and dissolved one mutual fund complex in Luxembourg.• Directed Bank of America's $28 billion proprietary mutual-fund complex. Responsible for a host of domestic and offshore funds -- Pacific Horizon, Time Horizon Fund, and World Horizon Funds. Served as CFO for closed-end Bunker Hill Fund.• Managed five independent boards of directors• Oversaw the administration of the funds, which included fund accounting and compliance• Negotiated and recommended pricing terms for five acquisition targets• Spearheaded investment due-diligence teams for the acquisitions of Continental Bank and Robertson Stevens• Handled the details of three capital contributions (totaling $83 million), and subsequent regulatory consequences of the events, when the Pacific Horizon Prime Money Market Fund broke its $1.00 NAV in 1992• Customized many fund structures to target various niche markets (e.g., retail A/B/C share classes, retirement date, and institutional) • Merged approximately 36 mutual funds and 5 fund complexes • Directed prospectus development and regulatory filings• Managed compensation studies and advisory contract renewal 15(c) reports• Chaired vendor-selection committee and negotiated fee arrangements• Inaugural member, Bank of America’s National Diversity Council

Directed the administration and fund accounting for mutual funds and common trust fundsTrust Auditor with responsibility for trading desks, securities operations, transfer agency, custody, trust agreements, and related asset reconciliation