Thomas Rozman, Mba, Cfa, Caia Email & Phone Number

Saint Paul, MN, US

Greater Minneapolis-St. Paul Area

Greater Minneapolis-St. Paul Area

Responsible for executing the business plan, managing the P&L results, holding the leadership team accountable and delivering wealth management solutions to RIA's, IBD's and Bank Trust institutions.

Greater Minneapolis-St. Paul Area

Sawtooth Solutions provides a comprehensive, flexible platform for overseeing the entire wealth management process across all account types, delivered through a Unified Managed Account (UMA) program and managed with our best-of-breed Salesforce.com integration. Our collaborative approach enables advisors to easily implement their wealth management offering.

Greater Minneapolis-St. Paul Area

• DST Market Services LLC, a division of DST Financial Services and a FINRA clearing broker dealer, is a new business venture developing a comprehensive clearing, custody, trading and managed accounts platform for the.
• Maintained over 200 national account relationships with broker dealers and RIA’s. Platform sales metrics:
• Portfolio management: 54 enterprise contracts, 8,195 advisor seats, $1.5M recurring annual revenue
• Trade surveillance and investment suitability: 24 enterprise contracts, $1M recurring annual revenue
• Account onboarding: 1 enterprise contract, $500K recurring annual revenue
• Correspondent clearing: Sold first 4 clearing customers as a new market entrant. Estimated 1st year revenue $500K; estimated contract revenue $5.5M

Plymouth, MN

• ActiFi™ is a software and solutions company that creates scalable business execution programs for the financial services industry. By implementing its proven people, process, and technology solutions based on research.
• Led ActiFi's strategic business and corporate development initiatives, forging and strengthening relationships with key strategic partners, cultivating enterprise-level accounts and enhancing the company's strategic.
• Conducted market analysis studies and consumer surveys, driving product innovation in the practice management workstation space.
• Applied ActiFi’s technology and consulting resources to enhance registered investment advisor practice set up and profitability.
• Delivered value add solutions for succession planning and alternative business formation.
• Authored content for series of FPA published advisor technology research articles.

Edina, MN

• Investigo is a wealth management software company and wholly owned subsidiary of Broadridge Financial Solutions, a leading provider of investor communications and technology-driven solutions for broker-dealers, banks.
• Responsible for executive management of a financial services technology company. Hired and directed over 60 employees in all facets of the venture including engineering, software development, operations, customer.
• Developed strategic business plan and innovative business and pricing models, secured venture capital, and drove successful business launch.
• Co-invented and successfully obtained 2 patents for investment marketing and sales campaign methods and providing evidence of supervision of registered representatives of a financial institution. Submitted additional.
• Led development of a SaaS wealth management platform, integrated enterprise-wide data aggregation and transactional tools, and successfully delivered product and service-level offerings to manufacturers and.
• Negotiated company merger, managed acquisition process, and delivered a superior shareholder return on investment.

Greater Minneapolis-St. Paul Area

• Merrill Lynch Wealth Management is the wealth management division of Bank of America. The firm is headquartered in New York City and employs over 15,000 financial advisors and manages $2.2 trillion in client assets..
• Managed multi-billion-dollar, fixed-income portfolios for institutional clients including banks, insurance companies, mutual funds, and corporations.
• Managed corporate portfolio transitions, evaluated liquidity and market impact, provided portfolio manager asset-allocation and security exposure insights, reduced risk exposure, and maximized portfolio performance.
• Consulted with high-net worth clients, emphasizing a needs based selling approach and leveraging financial planning tools and investment policy statements. Focused on estate planning issues, retirement income and tax.
• Mentored and trained financial advisors in all aspects of practice management and business development.
• Received Circle of Excellence and Chairman’s Club recognition awards for outstanding revenue performance.

Mba With Honors, Finance, Investments, Derivative Securities, Marketing, Competitive Strategy

Graduated top 5% of class

Ba Cum Laude, Economics

Teacher's Assistant: Microeconomic Theory, Statistics for Economics