I would be please to speak with you about methods for advancing toward your investment and financial goals. Phone me at (216) 513-2104.

1. I have years of experience serving as a senior-level center of influence and trusted financial
and investment adviser for discretionary investment management relationships spanning a
wide range of complexities and sensitivities. Clients have included -
♦Bond, equity, and money market mutual
funds,
♦Corporations and non-profit organizations,
♦Defined benefit plans,
♦Government investment pools,
♦HNW accounts,
♦Litigation settlement funds,
♦State and local governments,
♦Union health and welfare investment
portfolios
My role has included responsibility and accountability for designing, constructing, and
monitoring financial policies and investment solutions to meet clients’ needs within the
constraints imposed by enterprise level policies and procedures, overall regulatory limits, and
client-specific statutory and risk parameters.
EXPERIENCE
2014–present INVESTMENT ADVISER & MANAGER, CLEVELAND, OH
 Independent financial professional providing fiduciary, bespoke wealth solutions and financial counsel.
1983–2014 KeyBank, N.A., Cleveland, OH Institutional Asset Services (IAS) (and predecessors,
McDonald Investments and Gradison & Company: McDonald Investments was acquired by KeyBank, 1998; Gradison
& Company was acquired by McDonald Investments, 1990)
SENIOR VICE PRESIDENT - SENIOR PORTFOLIO MANAGER
 Senior leader of Institutional Asset Services (i.e. institutional trust) investment management function – peak
AUM approaching $11B at March, 2013 from $2B at July, 2010.
 Added relationships increasing line-of-business revenue by $2 million in 2013.
 Accountable for independently balancing the goals, objectives, and restrictions of clients’ investment
portfolios within the bounds of corporate and regulatory policies and procedures while assuring that an
appropriate portfolio is constructed for each client.
 Responsible for - and a driving force - guiding investment selections across all asset classes (i.e. USTs,
Agencies, Corps, MBS, ABS, equities) for client investment portfolios.
 Plan, develop a foundational charter, establish, and chair the IAS Fixed Income Credit Committee; serve on
Asset Allocation Committee, Fund Selection Committee, Institutional Trust Asset Committee, and Pricing
Committee.
 Manage contemporaneous economic and capital markets risk analyses functions to identify nascent trends
that may pose threats to clients’ managed investment portfolios and investment objectives.
 Negotiate acquisition of 30+ new institutional accounts generating annual fees of $2 million; plan, execute,
monitor, and facilitate staffing and operational enhancements for onboarding the new business.
 Proactively confer with clients and prospects.
 Develop economic forecasts, market talking points, and topical commentaries to enhance the reputation and
revenue of the IAS line of business.
 Participate in the evaluation of new technology (hardware and software) to assure its efficacy across client
portfolios, its enhancement of investment management efficiency, and consistency with industry best
practices.
 Establish equity mutual fund trading and operations in conjunction with the inception of proprietary equity
and fixed income mutual funds.
PROFESSIONAL
 FINRA registered – Series 7, 63, and 65
 OH insurance licensed – Life, health, annuities, LTC
 Bloomberg expert user; Factset, S&P IQ; Yield Book; Morningstar
 Professional facility with Microsoft Office suite
EDUCATION
 1991 Xavier University, Cincinnati, OH; M.B.A.
 1983 University of Cincinnati, Cincinnati, OH; B.S. (Graduated Magna Cum Laude)
INTERESTS
 Tender Mercies, Inc., Cincinnati, OH; meal volunteer; former President - Board of Trustees
 Running; half-marathons and shorter distances ● Reading; book discussion groups