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Principal / Consultant - Business Leader (Regional Manager)


Longmont, CO


Seasoned leader with 20 years proven success within Institutional (employer-level) C-Suite relationships via the private sector, the vendor sector and lastly in the consulting sector…ultimately creating an extensive, all-around background of developing new business sales, account management, project management, personnel manager, business operations, contract negotiations and strategy development. 
 Managed team of advisors and analysts with portfolios worth $1.7B+ in assets 
 Pensions / Mutual Funds / Annuities 
 Development of Consultant / Broker Relations and New Business 
 Investment Analysis 
 Corporate Benefit and Compensation Packages 
 Consultative Sales Approach 
 Financial Workshops 
 Fiduciary Oversight

Work Experience

Principal / Consultant - Business Leader (Regional Manager)

Denver, CO

April 2007 to February 2010

Denver, CO (04/07 - 02/10) (my position eliminated in Feb. 2010 as part of company budget cuts) 
Principal / Consultant - Business Leader (Regional Manager) for Mercer's DC Advisors specialty practice for the Western states. Responsible for the development, sales, marketing, and overall advisory operations as it related to a team of 14 advisors / analysts and their respective case load of plan sponsor's retirement plans. These 401k and 403b plans totaled approximately 150 clients, assets valued at $1.7 billion. Responsibilities included: 
• Mentoring and supervising all advisors within the region, 
• Establishing plan sponsor / committee-level best practices and 'process' guidelines, 
• Fiduciary oversight, 
• Investment analysis, 
• Implementation and attainment of advisor's business plans, 
• Committee and conference presentations, 
• RFP vendor searches, and, 
• Promoting the expansion and efficiency of our business internally and externally.

Pension Sales Specialist

CUNA Mutual Group
Denver, CO

October 2004 to April 2007

- Primary responsibilities were to sell, service / retain 60 assigned credit unions within the Western region of the U.S. Clients typically small to midsize, avg. $5-$50 million in assets, 401(k) and/or defined benefit plans- mutual funds or annuity based product platforms. Responsibilities included: • Developing a strategic business opportunity plan 
• Annual executive-level plan reviews 
• DB pre-funding and asset allocation 
• Board / trustee presentations 
• Investment analysis 
• Employee educational / enrollment presentations

Manager - Rehired by MetLife

MetLife, Inc
Denver, CO

February 2003 to February 2004

to manage a specialized team (administration / client relations) within the annuity operations office (401(a), 401(k), 457(b) and 403(b) retirement plans). Client portfolio consisted of 20 high-profile clients worth $1.1 billion in assets, 50,000 participants. Responsibilities included: • Daily interaction with clients 
• Support of field representatives and brokers 
• Resolving complex plan issues 
• Preparation / presentation of annual plan reviews

Account Executive

MetLife, Inc
Denver, CO

March 1994 to September 2001

- Managed 20 client relationships and related new business development for employer-sponsored retirement plans (401(a), 401(k), 457(b) and 403(b)) utilizing fixed / variable annuities and mutual funds. Responsibilities included: • Marketing development 
• Developing broker relations / wholesaling 
• Resolving administrative issues 
• Enrollment meetings 
• Developing marketing plans 
• Presenting financial workshops / plan reviews

Proposal Consultant

MetLife, Inc

July 1995 to July 1998

- Provided sales support, marketing development and RFPs/proposals for educational, healthcare, and governmental clients (401(a), 401(k), 403(b) and 457(b) retirement plans). Responsibilities included: • Analyzing client profiles for plan design 
• Selecting investment options (mutual funds or variable annuities) 
• Advising sales representatives of IRC, DOL and ERISA guidelines 
• Preparing plan documents and contracts

Pension Benefits Administrator

MetLife, Inc

March 1994 to July 1995

- Provided plan administration for 18 clients with qualified 401(a) and 401(k) retirement plans. Responsibilities included: • Initiation of daily trading 
• Discrimination testing 
• Reconciliation 
• Ensuring client compliance related to the plan documents, IRC, DOL and ERISA guidelines

Human Resources Administrator

Whirlpool Corp
W Lafayette, IN

December 1989 to May 1993

- Provided general human resources support. Responsibilities included: • Interviewing and assessing employees' job skills for placement 
• Implementing new training and business procedures 
• Working with senior management to develop human resource policies 
• Determining employee eligibility and allocation for the profit sharing plan


B.S. in Financial Planning & Counseling

Purdue University -
W Lafayette, IN