1. Roberto W. Roffo
Cell: (609) 610 – 7554
E-mail: roberto.roffo@gmail.com
EXECUTIVE SUMMARY
Asset Management Executive with over 20 years of diverse experience as a fixed Income
portfolio manager, trader and financial services’ executive. Skilled in relationship
development, client service, product development and raising capital.
SELECTED ACCOMPLISHMENTS
 Developed and structured the largest Municipal UIT in existence. ($130mm)
 Launched a successful Taxable and Tax-Exempt separately managed account platform
raising over $175 Million in 11 months.
 Pioneered a Fixed Income Asset Management Division raising over $2 Billion in assets
under management and advisement.
 Recognized by Lipper Analytical as a Top Performing Fund Manager.
 Regularly sought after to provide Fixed Income market commentary by various media
outlets, both print and video, including Bloomberg, The Bond Buyer, Thestreet.com and
others.
PROFESSIONAL EXPERIENCE
HJ Sims / Braintree Capital Partners, Iselin, New Jersey
Asset Management Development and Portfolio Strategy Consultant, August 2016-Present
 Assessed and developed working strategies to address shortfalls in the operational and
technological capabilities of the asset management company.
 Vetted and negotiated a marketing contract with a third-party distribution company to assist in
the sales of various financial products under management.
 Developed a strategy for the fund to increase alpha and lower volatility by incorporating a
long/short global fixed income overlay.
Advisors Asset Management, Princeton, New Jersey
Senior Vice President, Senior Portfolio Manager of Fixed Income Asset Management, May
2013-June 2014
 Member of the firm’s Executive Fixed Income Strategy Committee.
 Led a team of Fixed Income investment professionals to a pronounced turnaround in
performance and asset gathering in the separately managed accounts group.
 Built a relationship platform between the firm’s sales force and the asset management team to
increase communication, information flow and aid in acquiring new clients and the retention of
existing clients.
 Structured a Fixed Income Unit Investment Trust platform to internalize all investment activity
and increase profitability for the firm.
 Led the development of the firms first co-branded actively managed Municipal Exchange Traded
Fund in conjunction with a large ETF firm.
 Utilized my relationships to increase the firm’s presence within the Fixed Income dealer
community which provided institutional type liquidity for retail accounts.
 Introduced a successful Taxable Municipal Bond strategy for the firms separately managed
account platform.
 Pioneered the development of Corporate Bond strategy to be distributed in Japan.

2. Roberto W. Roffo
Cell: (609) 610 – 7554
E-mail: roberto.roffo@gmail.com
SMC Fixed Income Management, LP, Princeton, New Jersey, July 2006– May 2013
Claymore Advisors, LLC, (Assets acquired by SMC) Princeton, New Jersey, November 2003 –
July 2006
Managing Director/ Senior Portfolio Manager
 Managing Director and Senior Portfolio Manager of an Asset Management firm specializing in
the development and market presentation of unique investment products.
 Pioneered the growth of a Fixed Income Asset Management Division for the firm, raising over
$2 Billion in assets under management and advisement.
 Developed, marketed and Senior Portfolio Manager of a closed-end, balanced Municipal/Equity
fund that raised $330 million for the firm. (NYSE listed: TYW)
 Developed a Taxable and Tax-Exempt Municipal Unit Investment Trust business raising over $1
Billion in assets.
 Developed and structured the largest Municipal UIT in existence. ($130mm)
 Developed and managed a Taxable and Tax-Exempt Separately Managed Account platform
raising over $175 Million in 11 months.
 Developed a derivatives trading platform for the firm to assist other portfolio managers in
managing duration and interest rate risk.
Merrill Lynch Investment Managers, Plainsboro, New Jersey April 1992 – November 2003
Director, January 2002 – November 2003
Vice President, January 1996 – January 2002
Assistant Vice President, April 1992 – January 1996
 Portfolio manager of four high-profile Municipal Bond funds with a combined Net Asset Value of
$3.5 billion including the firm’s flagship high yield fund.
 Proficient in the trading of BMA Swaps, LIBOR Swaps and Treasury Futures.
 First financial professional at Merrill Lynch to effectively structure
Inverse Floaters as an investment vehicle.
 Researched and implemented effective investment strategies in accordance with fund
objectives, economic activity and knowledge of fixed income markets.
 Successfully marketed the initial public offerings of over twenty closed-end leveraged funds.
EDUCATION
University of Massachusetts - Boston, Massachusetts
Bachelor of Arts Degree
Double Major: Economics and English
Registrations: Series 7 & Series 66