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Senior Relationship Management and Business Development professionalwith proven track record of developing and managing senior level relationships at client and partner firms, as well as successfully promoting investment strategies and products to complex global financial institutions, Fortune 500 companies, and high net worth individuals. Broad institutional sales and relationship management experience in investments, capital markets, offshore and insurance. Recognized as an effective communicator with strong public speaking and presentation skills.Experienced leader with a demonstrated ability to establish strategic business relationships and influence decisions.

Core Competencies include:

- Relationship Management- Asset Management - Communication Skills

- Business Development- Third-Party Distribution- Partnerships/Alliances

- Consultative Selling- Strategic Planning            - Product Development

- Sales Management- Territory Management - Compliance Issues

Behavioral Profile

The following are the results from a recently completed behavioral profile. I strongly concur with the accuracy of the results.

"Dan is most likely to be at his best in situations where important things, such as values, judgements, feelings and emotions are involved. He prides himself on his "intuition". He can be friendly with others in many situations, but primarily with groups of established friends and associates. He is sociable and enjoys the uniqueness of each human being. He prefers working for a participative manager. He does his best work in this kind of environment. He, as a manager, supervisor or group leader can use his people skills to build group involvement and increase participation from the group. Dan influences most people with his warmth. He likes quality social relationships. He often will become friends with customers or clients.

Dan likes working for managers who make quick decisions. He may leap to favorable conclusions without considering all the facts. He is good at solving problems that deal with people. When he has strong feelings about a particular problem, you should expect to hear his feelings, and they will probably be expressed in an emotional manner. Because of his trust and willing acceptance of people, he may misjudge the abilities of others. He is good at giving verbal and nonverbal feedback that serves to encourage people to be open, to trust him and to see him as receptive and helpful.

Dan is both a good talker and a good listener. Communication can extend from friendly to argumentative discourse. He judges others by their verbal skills and warmth. He will optimistically interact with people in an assured, diplomatic and poised manner. Dan has the ability to look at the whole problem; for example, thinking about relationships, being concerned about the feelings of others and focusing on the real impact of his decisions and actions. He is people-oriented and verbally fluent. He is positive in his approach to dealing with others. He may not understand why everyone doesn't see life as he does! He usually uses many gestures when talking"

Work experience

Jan 2010Present


First Edge Consulting

Launched investment consulting partnership with a focus on providing advice and direction regarding investment products, distribution, operations and product management & development. Targeting investment firms and asset managers with AUM between $10 million - $1 billion.

  • Provided market data, structure and operations guidance to large asset management firm and insurance company interested in launching offshore funds and annuity product, respectively with distribution in Europe & Asia.
  • Advised diversified investment company on the launch and capital raisingfor private equity hedge fund
  • Explored additional distribution options with industry contacts for small mid-cap blend investment fund.
Nov 2006Nov 2008

Managing Director/Institutional Sales

John Hancock Financial Services

Primarily responsible for the overall sales and marketing of proprietary separate account investment product to senior corporate executives and pension investment managers at Fortune 500 companies. Designed and launched new institutional distribution model through the development of strategic relationships with top executive benefit firms.

  • Developed $9 billion deal pipeline within 10 months of product launch, including a $1.4 billion opportunity with ExxonMobil (average deal size - $330 million). Other clients and prospects included PhillipMorris, Reynolds American, Avon Products and Northrop Grumman.
  • Built a third-party distribution system from the ground up through strategic arrangements with top executive benefit brokers in the US, including, Marsh Executive Benefits, MullinTBG and Clark Consulting.
  • Managed relationships with professional group of sales representatives, resulting in meetings with senior level financial executives (i.e. CFO, Treasurer, and Pension Manager) of Fortune 500 companies as part of joint sales effort of proprietary DB funding vehicle.
  • Managed the development of new, market-ready private placement investment product, coordinating the effort of several internal team leaders, including, Legal, Compliance and Product Development.
  • Fortified performance by designing and delivering seminars, sales training, presentations, communications, and conference calls for clients and third-party advisor.
Sep 2003Mar 2006

VP/Senior Relationship Manager

Instrumental in the development and implementation of strategic business plan for offshore businesses, including P&L responsibility and compliance oversight, as member of senior management team. Developed deep and broad client relationships with key partner distribution firms in order to retain and expand revenue and identify opportunities for incremental business. Top clients included Merrill Lynch, Citigroup, JPMorganChase, Smith Barney, Banorte and BBVA.

  • Maximized the positioning, support, and escalation of Fidelity offshore product (World Funds) by managing collaborative relationships with client firms, portfolio managers, product specialists, and sales managers resulting in an increase of the number of new distribution partners by 30% throughout North and South America, including several major European global banks.
  • Led the effort to include World Funds as one of only six investment options in the global launch of a new offshore annuity program by The Hartford.
  • Successfully negotiated the first-ever inclusion of World Funds in JPMorgan offshore wrap program, resulting in over $100 million of new AUM in first 6 months.
  • Managed due-diligence process with sponsor firms, in collaboration with the appropriate affiliate portfolio management and research team members.
  • Provided sales leadership and professional development to outside sales force as representative of senior management team through active participation in external and internal meetings and training sessions.
  • Negotiated several revenue-sharing contracts with partner firms, resulting in annual savings of more than $250,000.
Sep 2001Feb 2003

Client Executive

Novell/Cambridge Technology Partners
  • Sold complex technology consulting solutions to senior executives of major financial services firms.
  • Assigned to re-establish and expand relationship with CTP’s largest financial services account in region.
  • Worked closely with Novell sales counterparts to develop high-level account plans and identify multiple cross-selling opportunities.
  • Achieved $4 million sales goal.
Jun 2000Jun 2001


CSC Consulting
  • Responsible for driving sales of diverse technology solutions into the banking, investment, and insurance industries.
  • Oversaw project teams to ensure sold projects were performed on time and on budget.
  • Worked closely with the software and outsourcing divisions of CSC to identify opportunities and expand account relationships.
  • Achieved first year sales goal and exceeded pipeline goal by 20%.
Mar 1995Feb 2000

VP/European Capital Markets

Gruntal & Co., L.L.C.

Built and managed a team of 14 professionals including team of institutional sales representatives and traders, with the mandate of distributing fixed income, equity and research products to top tier European financial institutions. Worked directly with executive management to develop the European Capital Markets strategy and execution plan.

  • Originated and sold nearly $1 billion in FHLB debt issues to key European financial services clients, most notably as the lead underwriter for a $600 million transaction, the largest in the firm's history.
  • Successfully developed partnerships and alliances with institutional sales desks of major European banks and financial institutions for distribution of USD securities, generating revenue of more than $7 million in 12 months, exceeding original goal by 40%.
  • Led several high level product presentations for IPO and new product introductions for both equity and fixed income teams.

Vice President/Investments (1995-1997)

Responsible for the sales and promotion of financial products, including 401(k) plans and services to institutional and high net worth clients.

·Managed a team of 6 professionals, including 5 junior sales representatives and an assistant.

  • Managed assets in excess of $40 million.
  • Achieved Executive Council recognition 2 out of 3 years.




University of Massachusetts at Amherst

Union College


Relationship management
Business development


David Wean

“On the product that Dan and I worked on, I was an in-house technical resource, and Dan's role was to represent the product to prospects, customers and intermediary sales folks. In communicating with and presenting to his external contacts, Dan was able to translate the important aspects of a complicated financial product into terms that his varying audiences could understand. Internally he contributed ideas to the development and administration of the product. In one client situation where things didn't work out as planned, Dan did not shy away from leading the client through the process and helping to communicate and implement a satisfactory solution. Dan works well with people of all different backgrounds. Though he and I have different styles and politics, our working relationship was superb.”

February 18, 2009

Todd Emmel

"Dan brings an exceptionally high degree of professionalism to an institutional sales position. He is able to master and sell complex products, coordinate internal resources to get the job done, and maybe most importantly, build strong relationships with institutional clients."

Greg Melton

“Dan has a tremendous ability to grasp the business opportunity and respond quickly and effectively. He is very sales focused with great relationship management skills and is a pleasure to work with. I am very impressed with his ability to build from the ground up and make things happen.”

February 17, 2009