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THOMAS J. BARRETT, CPA, CFA, CFP®
Laguna Niguel, CA 949.244.1980 thomasbarrettca@gmail.com www.thomasjbarrett.com
SUMMARY
CFO experience with a variety of firms by size and type: Start-up investment consulting firm and hedge fund;
Private Equity firm focused on distressed debt/real estate ($30M); Multi-Family office (8 families with $300M);
L.A. bond firm with 20 mutual funds ($40B); and, Real Estate syndicator with 15 apartment complexes ($200M).
SKILLS AND ACCOMPLISHMENTS
Accounting
 Directed and executed all accounting, tax, banking, and reporting for Real Estate firm and Distressed Debt Fund.
As a catalyst for change - reshaped the accounting by bringing tasks in-house, capturing cost reductions, creating
new ledgers for 12 entities, implementing new software (QuickBooks) and ensuring GAAP compliance. Reduced
turnaround of quarterly reports from 1 month to 1 week. Attained clean opinions on 2 external audits for Fund.
 At $40B bond firm, coordinated regulatory reporting for 20 mutual funds as Fin Op/CFO. Administered pension,
deferred compensation, benefits and insuranceprograms. Created standard operations by hiring the accounting
team, creating best in class financial statements, spearheading budget development and processing the payroll.
 Reviewed the internal controls and financial statements of real estate and retail clients for 4 years as a Sr. Auditor
with Grant Thornton. As a lead consultant, managed the initial Sarbanes-Oxley projects that detailed the financial
operations for Apria, AMN and the Guitar Center. Expert knowledge of spreadsheets, budgets and cash flow.
Investments
 Managed a $150M portfolio for a family office invested in hedge funds, private equity, and marketable securities
- generating performance that beat S&P by a cumulative 40% over 3 years by focusing on alternative strategies.
Controlled $800M in three concentrated positions, continuously researching diversification and hedging tactics.
Co-managed $70M fund of hedge funds portfolio with outside investors and auditors. Contributed to pre-
investment operational due diligence, post-investment business review, planning, and overall risk management.
 Business partner of a brokerage team with $650M in assets. Created custom portfolios based on review of client
goals and risk tolerance. Co-developed global ETF portfolio ($25M) that beat benchmark for 3 straight years (with
lastyear at +35%). Maintained client assets during 2009 decline by allocating to cash,MLP’s and preferred stocks.
 Managed the formation of an RIA’s investment platform. Responsible for the implementation of consolidated
reporting; optimization of portfolio asset allocations; sourcing/approval of investment managers; development
of investment communication materials; software selection; and management of the financial planning team.
Family Offices
 Promoted to head of Investment Division managing $1B in liquid assets for George Argyros, multi-billionaire
and U.S. Ambassador to Spain. Generated distinguished, tax-efficient returns by anticipating consequences of
real estate/equity transactions. Negotiated investment terms and fees. Represented principal at board meetings.
 As the sole investment executive at an RIA, provided comprehensive, high-quality wealth services for 8 families
and trusts with $300M in assets. Managed accounting, budgeting, investments, insurance, and compliance. The
portfolios were integrated with estate plans using optimization software, with a focus on passive investments.
Assisted with philanthropic activities by reviewing charity and nonprofit grant proposals on families’ behalf.
 As a consultant, established a private family office for a new San Diego billionaire. Personally wrote the initial
business plan, investment policies, and due diligence procedures. Set-up the proper accounting and reporting.
Real Estate
 As the CFO for a real estate syndication firm, responsible for all accounting, payroll and investor reporting for a
consolidated company of 5 corporations and 15 partnerships. Successfully implemented process redesign with
the centralization of property financial functions (5 states). Deeply involved in property acquisition due diligence.
 Chief Investment Officer for billionaire real estate tycoon in Orange County. As an auditor, audited the financial
operations for dozens of real estate firms. Handled the accounting and SEC (10K/10Q) filings for 3 NYSE REIT’s.
Thomas J. Barrett, CPA, CFA, CFP® C: 949.244.1980 | Page 2 of 2
Investor Relations
 At Alpha Strategies, I was instrumental in successful capital raising for hedge funds and private companies - by
leading due diligence/feasibility, creating marketing materials and tracking activities in SalesForce.com. Raised
awareness of capabilities by representing the firm at conferences, presenting on panels, and writing whitepapers.
 Played key role at hedge fund in growing assets from $8M to $30M by creating a due diligence questionnaire, a
one-page factsheet, and a presentation deck. Calculated distributions and wrote the quarterly investment letter.
PROFESSIONAL EXPERIENCE
CFO / Chief Investment Officer Alpha Strategies www.alpha3pm.com 2010–2013 /2015
Joined entrepreneurial, start-up to create investment and advising capabilities. Managed accounting, compliance,
taxes, and administration. Worked with clients to offer asset allocations, portfolio construction, and due diligence.
Recently rejoined the firm as a consultant - creating financial models and initial budgets for investment projects.
Executive VP, Wealth Management Tippett Moorhead www.tippettmoorhead.com 2015
Managed the establishment of the new investment platform. Thefirm unsuccessfully tried to evolve from insurance
and estate planning origins into a full-service financial advisory firm by offering investment services. My position
was eliminated after 6 months since partners were unable to transition insurance clients to the investment platform.
Chief Financial Officer TerraCotta Group www.terracottagroup.com 2013–2014
Executed all accounting, tax, and financial reporting for the firm. Improvements introduced ultimately attracted
institutional investor that required an outsourced administrator (vs. internal CFO). Received significant severance.
Wealth Advisor UBS Financial www.ubs.com 2007–2010
Recruited by UBS Newport Beach’s highest producer ($650M AUM) to partner & manage 600 portfolios. Prepared
customized strategies based on assessment of client goals, risk tolerance, and market/economic/product research.
CFO / Chief Investment Officer Cymric Family Office www.genspring.com 2004–2007
Sole investment executive providing comprehensive wealth services to eight HNW families. Managed accounting,
investment, insurance,and compliance functions. Prepared 50-page quarterly management reports for each family.
Chief Investment Officer Arnel & Affiliates www.arnel.com 1998–2003
Managed $1B in liquid assets, Investment Division, and alternative investments of the family office for G. Argyros,
billionaire, visionary, and Ambassador. Made asset allocation,outside manager, and investment recommendations.
Chief Financial Officer Payden & Rygel www.payden.com 1995–1998
Managed SEC/FINRA reporting as Series 27 Fin OP and CFO. Administered pension, deferred compensation, and
insuranceprograms. Interfaced with institutional clients and responded to potential investor due diligence queries.
Manager, Finance & Administration Marine Spill Response www.msrc.org 1990-1995
Played substantial role in developing accounting, procurement, and human resource policies for environmental
firm ($500M). Administered regional human resources - including interviews, evaluations and employee benefits.
Chief Financial Officer GMD Realty 1986-1990
Successfully implemented centralization of financial functions for 15 properties, restructuring and improving the
accounting system by updating computer systems. Oversaw the accounting for 3 REIT’s, preparing 10Qs and10Ks.
Consultant
Family Office (2014,3 mo. at CEA, LLP) Established a new private family office for San Diego billionaire.
Sarbanes-Oxley (2003-04,8 mo. at J. Wells) Audited Apria Healthcare, AMN Healthcare and Guitar Center.
Senior Auditor (Grant Thornton Internatl) Audited real estate, non-profit, retail and union pension clients.
EDUCATION AND CERTIFICATIONS
University of Virginia (Charlottesville, Va.) B.S. in Accounting
CPA: Certified Public Accountant (CA, 1993) CFA: Chartered Financial Analyst (1999)
CFP®: Certified Financial Planner (2007) FINRA: Series 7, 66 and 79 (inactive 27)

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Barrett Resume - CFO

  • 1. THOMAS J. BARRETT, CPA, CFA, CFP® Laguna Niguel, CA 949.244.1980 thomasbarrettca@gmail.com www.thomasjbarrett.com SUMMARY CFO experience with a variety of firms by size and type: Start-up investment consulting firm and hedge fund; Private Equity firm focused on distressed debt/real estate ($30M); Multi-Family office (8 families with $300M); L.A. bond firm with 20 mutual funds ($40B); and, Real Estate syndicator with 15 apartment complexes ($200M). SKILLS AND ACCOMPLISHMENTS Accounting  Directed and executed all accounting, tax, banking, and reporting for Real Estate firm and Distressed Debt Fund. As a catalyst for change - reshaped the accounting by bringing tasks in-house, capturing cost reductions, creating new ledgers for 12 entities, implementing new software (QuickBooks) and ensuring GAAP compliance. Reduced turnaround of quarterly reports from 1 month to 1 week. Attained clean opinions on 2 external audits for Fund.  At $40B bond firm, coordinated regulatory reporting for 20 mutual funds as Fin Op/CFO. Administered pension, deferred compensation, benefits and insuranceprograms. Created standard operations by hiring the accounting team, creating best in class financial statements, spearheading budget development and processing the payroll.  Reviewed the internal controls and financial statements of real estate and retail clients for 4 years as a Sr. Auditor with Grant Thornton. As a lead consultant, managed the initial Sarbanes-Oxley projects that detailed the financial operations for Apria, AMN and the Guitar Center. Expert knowledge of spreadsheets, budgets and cash flow. Investments  Managed a $150M portfolio for a family office invested in hedge funds, private equity, and marketable securities - generating performance that beat S&P by a cumulative 40% over 3 years by focusing on alternative strategies. Controlled $800M in three concentrated positions, continuously researching diversification and hedging tactics. Co-managed $70M fund of hedge funds portfolio with outside investors and auditors. Contributed to pre- investment operational due diligence, post-investment business review, planning, and overall risk management.  Business partner of a brokerage team with $650M in assets. Created custom portfolios based on review of client goals and risk tolerance. Co-developed global ETF portfolio ($25M) that beat benchmark for 3 straight years (with lastyear at +35%). Maintained client assets during 2009 decline by allocating to cash,MLP’s and preferred stocks.  Managed the formation of an RIA’s investment platform. Responsible for the implementation of consolidated reporting; optimization of portfolio asset allocations; sourcing/approval of investment managers; development of investment communication materials; software selection; and management of the financial planning team. Family Offices  Promoted to head of Investment Division managing $1B in liquid assets for George Argyros, multi-billionaire and U.S. Ambassador to Spain. Generated distinguished, tax-efficient returns by anticipating consequences of real estate/equity transactions. Negotiated investment terms and fees. Represented principal at board meetings.  As the sole investment executive at an RIA, provided comprehensive, high-quality wealth services for 8 families and trusts with $300M in assets. Managed accounting, budgeting, investments, insurance, and compliance. The portfolios were integrated with estate plans using optimization software, with a focus on passive investments. Assisted with philanthropic activities by reviewing charity and nonprofit grant proposals on families’ behalf.  As a consultant, established a private family office for a new San Diego billionaire. Personally wrote the initial business plan, investment policies, and due diligence procedures. Set-up the proper accounting and reporting. Real Estate  As the CFO for a real estate syndication firm, responsible for all accounting, payroll and investor reporting for a consolidated company of 5 corporations and 15 partnerships. Successfully implemented process redesign with the centralization of property financial functions (5 states). Deeply involved in property acquisition due diligence.  Chief Investment Officer for billionaire real estate tycoon in Orange County. As an auditor, audited the financial operations for dozens of real estate firms. Handled the accounting and SEC (10K/10Q) filings for 3 NYSE REIT’s.
  • 2. Thomas J. Barrett, CPA, CFA, CFP® C: 949.244.1980 | Page 2 of 2 Investor Relations  At Alpha Strategies, I was instrumental in successful capital raising for hedge funds and private companies - by leading due diligence/feasibility, creating marketing materials and tracking activities in SalesForce.com. Raised awareness of capabilities by representing the firm at conferences, presenting on panels, and writing whitepapers.  Played key role at hedge fund in growing assets from $8M to $30M by creating a due diligence questionnaire, a one-page factsheet, and a presentation deck. Calculated distributions and wrote the quarterly investment letter. PROFESSIONAL EXPERIENCE CFO / Chief Investment Officer Alpha Strategies www.alpha3pm.com 2010–2013 /2015 Joined entrepreneurial, start-up to create investment and advising capabilities. Managed accounting, compliance, taxes, and administration. Worked with clients to offer asset allocations, portfolio construction, and due diligence. Recently rejoined the firm as a consultant - creating financial models and initial budgets for investment projects. Executive VP, Wealth Management Tippett Moorhead www.tippettmoorhead.com 2015 Managed the establishment of the new investment platform. Thefirm unsuccessfully tried to evolve from insurance and estate planning origins into a full-service financial advisory firm by offering investment services. My position was eliminated after 6 months since partners were unable to transition insurance clients to the investment platform. Chief Financial Officer TerraCotta Group www.terracottagroup.com 2013–2014 Executed all accounting, tax, and financial reporting for the firm. Improvements introduced ultimately attracted institutional investor that required an outsourced administrator (vs. internal CFO). Received significant severance. Wealth Advisor UBS Financial www.ubs.com 2007–2010 Recruited by UBS Newport Beach’s highest producer ($650M AUM) to partner & manage 600 portfolios. Prepared customized strategies based on assessment of client goals, risk tolerance, and market/economic/product research. CFO / Chief Investment Officer Cymric Family Office www.genspring.com 2004–2007 Sole investment executive providing comprehensive wealth services to eight HNW families. Managed accounting, investment, insurance,and compliance functions. Prepared 50-page quarterly management reports for each family. Chief Investment Officer Arnel & Affiliates www.arnel.com 1998–2003 Managed $1B in liquid assets, Investment Division, and alternative investments of the family office for G. Argyros, billionaire, visionary, and Ambassador. Made asset allocation,outside manager, and investment recommendations. Chief Financial Officer Payden & Rygel www.payden.com 1995–1998 Managed SEC/FINRA reporting as Series 27 Fin OP and CFO. Administered pension, deferred compensation, and insuranceprograms. Interfaced with institutional clients and responded to potential investor due diligence queries. Manager, Finance & Administration Marine Spill Response www.msrc.org 1990-1995 Played substantial role in developing accounting, procurement, and human resource policies for environmental firm ($500M). Administered regional human resources - including interviews, evaluations and employee benefits. Chief Financial Officer GMD Realty 1986-1990 Successfully implemented centralization of financial functions for 15 properties, restructuring and improving the accounting system by updating computer systems. Oversaw the accounting for 3 REIT’s, preparing 10Qs and10Ks. Consultant Family Office (2014,3 mo. at CEA, LLP) Established a new private family office for San Diego billionaire. Sarbanes-Oxley (2003-04,8 mo. at J. Wells) Audited Apria Healthcare, AMN Healthcare and Guitar Center. Senior Auditor (Grant Thornton Internatl) Audited real estate, non-profit, retail and union pension clients. EDUCATION AND CERTIFICATIONS University of Virginia (Charlottesville, Va.) B.S. in Accounting CPA: Certified Public Accountant (CA, 1993) CFA: Chartered Financial Analyst (1999) CFP®: Certified Financial Planner (2007) FINRA: Series 7, 66 and 79 (inactive 27)