1. James K. Hillman, J.D., CFA
BNY MELLON WEALTH MANAGEMENT 2000 - Present
Managing Director Los Angeles and Southern California 2009 – Present
Sales and Service Leadership:
• Lead Business Development and Client Service teams of 28 Business Development and Investment and Service
Professionals to establish and execute on strategic business growth objectives in the Los Angeles market. Lead and
coach team members to establish, prioritize and execute on region and individual business growth plans to achieve
financial objectives of Los Angeles office. In 2015, region on plan to achieve new business growth goals for year.
• Led client service teams in Los Angeles, Newport Beach and Denver in the delivery of sophisticated investment and
wealth management services to over 1,000 high net worth, ultra high net worth and endowment and foundation clients
with over $5 Billion of assets under management.
• Lead “Deal Teams” on client opportunities $10M and over. Responsibilities include strategic planning and execution
on new sales opportunity; coaching of members of team Sales, Service and Planning professionals to successful close
of opportunity; and directly participate in prospect meetings to assist in closing of business. Direct participation on
opportunities in 2014 resulted in additional $600,000 in new revenue.
• Initiated, created and implemented region’s Client Relationship Review Process. Process includes relationship goal
setting, relationship mapping and implementation accountability on goals and metrics. Results in 2014 included client
retention improvement of 50% from 2013.
• Led initiative on new business referral and enrichment generation which resulted in Service professionals in last four
years increasing new business generation as a percent of overall region new business from 25% to 50%.
• Responsible for establishing, coaching and holding accountable Sales Officers and Service professionals for business
plans, which include new business goals, referral goals, Center of Influence relationship development goals, client
retention goals and client satisfaction metrics.
• In 2013, in Denver, successfully led transition of 3 senior personnel from office in 90 days to include transition of 110
client relationships; revamping and reprioritization of region’s marketing plan and leading planning and execution of
successful client event.
Marketing:
• Lead and oversee strategic market initiative for Los Angeles region which include activities in West Side LA,
Pasadena, Southbay and San Fernando Valley. Planning and execution of strategy includes sponsorships, advertising,
client advisor and center of influence development strategy and event planning, educational and social events with
clients and advisors. Effort in last 12 months has generated over $500,000 of new revenue opportunity.
Training/Coaching:
• Lead and conduct Sales Training on Team Selling and “Buyer Centered Selling” for West Region Sales, Service and
Banking professionals in Los Angeles, San Francisco, Newport Beach, Dallas, Seattle, Denver and Las Vegas offices.
• Regular trainer for Wealth Management’s New Hire Articulation and Sales Training conducted quarterly in Boston.
Fiduciary:
• Oversight and co-leadership with West Region Chief Fiduciary Officer of fiduciary platform and fiduciary
relationships. Direct manager of Southern CA Fiduciary Officer.
Compliance:
• Responsible for operational and compliance implementation and training for Region. Southern CA received for first
time top ranking in 2010 and 2012 (and Denver in 2013) in internal audit. Top rating by OCC audit in 2013.
Team Leader & Senior Portfolio Manager Boston, MA 2004 – 2009
• Led team of 13 investment and wealth management professionals with over 300 clients and $1Billion in assets under
management.
• Consistent achievement of meeting team goals of $1 Million in new revenue for 5 years; 50% of total team new
business generated by portfolio manager referral activity; exceeded client retention plan goals for 5 years. Ranked top
(#1) team for new business, net new business and client retention in New England region for 3 years.
• Recognized as a company top performer for 7 years straight, through invitation and participation in company annual
recognition trips to South Beach Miami, Puerto Rico, and Las Vegas.

2. Senior Portfolio Manager Boston, MA 2000 – 2004
• Responsible for over 65 client relationships of high net worth individuals and endowment clients to meet their wealth
management goals and objectives through implementation of sophisticated investment management capabilities and
solutions, and through delivering broader tax, estate planning and family governance expertise.
• Grew in 4 years “book of business” to over 65 relationships and $2.5 million in revenue.
• Recognized as top ranked (#1) portfolio manager referrer of new business nationally in 2003.
• Ranked top new business and top net new business portfolio manager in New England region in 2003.
• Consistently ranked in top 10 of portfolio managers in New England in retained and net new business for 4 years.
TD BANKNORTH
Financial Consultant Portsmouth, NH 1997 - 2000
• Created new office for Banknorth Trust Company in New Hampshire.
• In 3 years, built over 60 new client relationships of high net worth individuals and trusts.
• Top ranked office in new business growth and client retention in third year; top quartile rank in second year.
METLIFE
Financial Advisor Andover, MA 1996 – 1997
• Top Producer in New England Region and nationally in Long Term Care insurance new sales revenue in 1996.
LEGAL EXPERIENCE
Associate, Law Clerk 1993 - 1996
• Nelson, Kinder Mosseau & Gordon Manchester, NH
• Deutsche, Williams, Brooks, Derensis & Drachman Boston, MA
MILITARY EXPERIENCE
U.S. Army Officer, Military Intelligence, Infantry 1987 - 2001
• Captain, U.S. Army Reserve Boston, MA 1992 – 2001
• Captain, U.S. Army Active Duty Fort Benning, GA, Fort Drum, NY 1987 – 1992
EDUCATION
Boston College Law School, Juris Doctor Newton, MA 1995
U.S. Military Academy, Bachelor of Science West Point, NY 1987
PROFESSIONAL DESIGNATIONS
Chartered Financial Analyst (CFA) CFA Institute 2004
Chartered Financial Consultant (ChFC) American College 1998