New Pacific Advisors, LLC
Responsible for operations with full P&L and operational accountability with a team of financial advisors, accountants, traders, and interns. Developed and managed $15.5 million in client assets in retirement and non-retirement accounts.
Responsible for development, management, and administration of company contracts in accordance with SEC and State Department of Corporations regulations, company policies, legal requirements, and client specifications. Prepared and maintained contract documentation and provided information to industry regulators.
Produced seminars on contemporary topics in the areas of business, finance, and personal development that were the subject of a case study published by industry experts.
Reviewed and administered contracts and modifications with clients. Prepared contract review records and obtained necessary client approvals. Led negotiations of contracts and changes with clients.
Developed and managed vendor relationships with broker dealers. Bought and sold client assets in vendor accounts. Prepared, reported, and advised clients on purchases from vendors’ inventory of income investments. Vendors and investment providers included Vanguard, Fidelity, and TIAA-CREF.
- Executed all trades, wrote plans and managed internal systems for practice serving over 100 clients.
- Created and implemented internal systems to streamline customer service, office management and compliance.
- Partnered with external professionals to meet client’s financial goals and objectives.
- Developed new and efficient processes to inputting and executing trading in client accounts and many tasks for the team.
Managed and trained supporting staff including Client Associates and other Financial Advisors.
- Served as lead coordinator and liaison between the advisory team and our 401(k) clients.
Featured by Press
Featured by Press
- “How a Financial Advisor Cornered the Divorce Market” | Horsesmouth®
- “Are You Getting Referrals From These Professionals?” | Horsesmouth®
- “A Brave New Web” | Financial Planning Magazine® Cover Article
- “To Link or Not to Link“ | Financial Planning Magazine®
- “One Woman’s Web Philosophy” | Financial Planning Magazine® Subject of highlighted profile