Investment Management

SAMUEL E. MILLER, CFA

773-***-**** ac1gq4@r.postjobfree.com

SUMMARY_ Experienced investment management professional and leader, University of Chicago MBA, CFA Charterholder, and CAIA Level II Candidate with specialization in portfolio management, relationship management, and project management. EXPERIENCE

UNITED CAPITAL, Newport Beach, CA 2011 - Present

$18.5B+ RIA specializing in Financial Life Management for mass affluent and high net worth markets Vice President and Portfolio Manager ( 2013-Present)

● Longest tenured member of investment management department responsible for growing multi-asset class and multi- asset style investment platform from $0 to $9B+ AUM in 3 years

● Portfolio manager for all equity and fixed income tax managed strategies offered to United Capital clients, $500M+ in AUM

● Conduct periodic webinars on tax efficient investing, as company-wide subject matter expert

● Portfolio manager for smart beta strategy with $100M+ in AUM

● Responsible for launch and development of sole SRI strategy available to United Capital clients

● Designed and created all marketing and support collateral for all tax managed and smart beta strategies

● Voting member of Investment Committee responsible for fiduciary oversight of firm’s managed assets

● Led and managed group of internal wholesalers to increase platform adoption, improve customer service, and educate advisers on platform usage best practices. Responsible for overall direction of program.

● Architected entire suite of online investment tools available to United Capital advisers

Investment Viewfinder TM: Integrates a client’s mindset with how their money is managed

■ First RIA to integrate Morningstar API into investment tools

Portfolio Builder: Allows user to create a professional investment proposal in a matter of minutes

Portfolio Snapshot: Reporting tool to display a client’s high-level investment picture

Investment Management Case Prep: Review a client’s current portfolio and identify opportunities for improvement prior to a meeting

IM Dashboard: Provides an overview of adviser’s investment book at a the click of a button

● Represented investment management department and demonstrated value of investment management platform to hundreds of prospective advisers and investors over the course of six years

● Led onboarding, education and training efforts for new and veteran advisers, including building virtual training modules to support platform usage

● Project managed and coordinated all investment management aspects of FinLifeTM platform launch

● Engaged with, conducted pricing negotiations, and achieved industry low pricing in many instances with outsourced investment managers/providers

● Identified opportunities and built scalable resources for advisers to achieve increased profitability within their investment practice

● Developed and published portfolio construction case studies to illustrate ‘real life’ benefits of and best practices for using investment platform

Associate Vice President ( 2012-2013)

● Co-authored white paper on fixed income with Joe Duran, CEO

● Led custodial pricing audit, resulting in $100K+ in annual cost reduction

Published and maintained guidance and best practices to ensure optimal pricing going forward

● Reengineered, rebooted, and launched industry leading investment platform Portfolio Strategist (2011-2012)

● Served as liaison between investment management platform and all financial advisers

● Conducted weekly educational webinar on investment and portfolio construction best practices

● Created custom portfolio proposals for HNW opportunities, resulting in $200M+ in new AUM over two years FARMHOUSE EQUITY RESEARCH 2009 – 2011

Independent investment research boutique

Independent Consultant

● Performed independent channel checks on a range of retail, consumer, technology, and business services companies in order to assist with investment decision making for institutional clients SLAYTON LEWIS, Chicago, IL 2007 – 2009

$120M investment advisory firm focused on the high net worth market Portfolio Manager

● Managed $120 million portfolio of discretionary assets

● Outperformed the S&P 500 on a nominal and risk-adjusted basis over all time periods greater than six months

● Enhanced portfolio diversification by adding commodities, international bonds, international real estate, and international small cap equities to existing portfolios

● Performed extensive research on stocks, mutual funds, ETFs, and closed-end funds, formulated investment opinions, and presented recommendations to CEO

● Implemented sector rotation strategy across all portfolios

● Researched, developed, and implemented strategic and tactical investment solutions for firmwide portfolio

● Exited concentrated stock positions prior to the credit crisis, resulting in savings of $100K+ for clients NORTHWESTERN MUTUAL – THE MCTIGUE GROUP, Chicago, IL 2001 – 2006 Senior Investment Analyst (2003 – 2006)

● Built and managed a team of six analysts who oversaw more than $350 million in assets

● Responsible for investment decision-making, including security selection and portfolio construction

● Trained all newly-licensed investment representatives in one of the largest branch offices in the country

● Provided investment and retirement planning services to fifteen financial advisors that resulted in insurance and investment revenue growth of 41% and 28% respectively Investment Analyst (2001 – 2003)

● Supported veteran financial advisors in the investment decision-making process

● Served as local compliance officer by reviewing suitability of trades and variable annuity and life insurance sales EDUCATION

THE UNIVERSITY OF CHICAGO BOOTH SCHOOL OF BUSINESS, Chicago, IL Master of Business Administration 2008 – 2010

● Concentrations in Accounting, Finance, and Econometrics

● Co-chair of Investment Management Group

THE UNIVERSITY OF ILLINOIS, Urbana, IL

Bachelor of Science in Finance 1998 - 2002

ADDITIONAL

● Chartered Alternative Investment Analyst (CAIA) Level II Candidate (sitting for Level II in September 2017)

● Chartered Financial Analyst (CFA) Charterholder (2007)

● CFA Society of Orange County (2011 - Present)

● CFA Society of Los Angeles - Applied Behavioral Finance Committee Member (2011 - Present)

● CFA Society of Chicago - Candidate Services Advisory Board (2004 - 2010)

● Mentored and conducted outreach to candidates during the process of achieving the CFA charter

● Decker Communications - Communicate to Influence Certificate (2016)

● United Capital Exceptional Contributor Award Recipient, awarded to top 5% of employees (2012, 2013, 2014, 2016)

● FINRA Series 7, 9, 10, 26, 63, 66 (Inactive)

● CalALTs Member (2017 - Present)

● Experienced with SalesForce, Asana, Microsoft Office, Bloomberg, Morningstar Direct, Morningstar API

● Previous experience with VBA, Matlab, R, GAMS, Minitab, Reuters Trader – Advanced Equities, Morningstar Advisor/EnCorr, SunGard AllocationMaster

● Mariners Church Volunteer, Irvine, CA (2012 - Present)

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