Trusted business advisor seeking new career. Value proposition: brings legal, financial, tax, HR & ops experience.
Professional and Civic Associations
Bar Association Affiliations – American (In-house Counsel, Tax and Corporate Law Sections), Kentucky (In-house Counsel, Tax and Corporate Law Sections) and Louisville (In-House Counsel, Tax and Estate/Probate Law Sections)
o Chair of Louisville Bar Association Investment Committee
o Chaired Louisville Bar Association Tax Section comprised of 118 members
Estate Planning Council of Louisville - Member
Southeast Christian Church
o Deacon and overseer of Benevolence Ministry and volunteer leader in several service areas
Christian Care Communities – not for profit organization
o Member of Investment Committee; training for Board of Directors class of 2011
mPower Foundation - not for profit organization
o Member, Board of Director
National Multiple Sclerosis Society, Kentucky-Southeast Indiana
o Served as a Member of the Board of Trustees
o Chaired Walk 2000 Fundraising Campaign, exceeded goal by collecting $180,000
Pro Bono and Volunteer Services provided on behalf of The Cabbage Patch, Legal Aid, Wayside Christian Mission, Salvation Army, and various domestic and foreign ministries
- Attorney and Executive with 18 years of professional experience. Law licensed in Kentucky.
- As a trusted business advisor, provided proactive and multi-faceted business consultation services to CEO’s, boards, executive management teams, entrepreneurs, business owners, outside advisors and individual clients in all important areas of conducting business operations, including legal, financial reporting and tax services, administration, and regulatory compliance.
- Focused in specific areas of legal and business experience consulting for transactions and planning including: mergers and acquisitions, entity formations, estate and succession planning, trust administration, tax planning, financing, contracts and employment law.
- Sourced and consulted acquisition opportunities, including facilitation of negotiations, preparation and review of closing documentation, and co-managed integration of business operations.
- Acted as a lead relationship manager for many clients with a focus on client retention and proactive project development. Collaborated and participated in new business development opportunities with lead producers and fellow relationship managers.
- Attained entrepreneurial experience by co-founding an existing health care company in 1996.
Aug 1996 - Present
Board member / General Counsel / EVP of Finance
Corporate Health Systems, Inc. and affiliated companies
- Co-founded a privately held start-up healthcare company which provides inpatient and outpatient physical and occupational therapy services in Kentucky, and formerly in Ohio and West Virginia.
- Serve as a board member and provide legal and business advisory services on a limited basis.
- Participate in strategic planning; tax planning and preparation, accounting & financial reporting; financing; contract preparation and negotiations; structuring of acquisitions, dispositions and establishment of joint ventures; human resources; training and delegation of management team.
Jul 2006 - Mar 2010
Principal / Trust Administration Officer
The Glenview Trust Company
- Served as Trust Administration Officer for high net worth individuals and families for a firm with $2.2 billion under management.Provided estate planning reviews, coordination of financial planning and insurance policy reviews, and collaborated with Investment Officers to implement portfolio design to achieve clients’ long-term goals.
- Managed and oversaw over 500 accounts with a combined market value of approximately $180 million, which generated approximately $1.6 million in annual revenue. The number of accounts under direct supervision increased by 235% over four-year period.
- Managed the administration of the Individual Retirement Account practice for all of Glenview Trust’s clients. Practice entailed 325 family relationships, often 2 to 3 generations deep.
- Reviewed estate planning documents, recommended changes to meet long-term financial and family objectives, then coordinated document preparation through clients’ outside legal counsel.
- Participated on internal committees to oversee regulatory compliance and company policies.
Apr 2002 - Jan 2006
Chief Operating Officer and General Counsel
Spectrum Financial Alliance, Ltd, LLC
- As Chief Operating Officer and General Counsel, opened and managed the Louisville office for a multi-disciplinary financial advisory practice which offered investment, financial planning, insurance planning, tax planning and preparation, and estate planning services. The firm had approximately $175 million in assets under management.
- Completed due diligence to transition practice from commission to fee based advisory. Firm was formerly a top-10 producer with LPL and Triad Advisors, then transitioned to Fidelity fee-based platform.
- Responsible for SEC/NASD compliance oversight; coordinated legal matters (served as co-counsel in civil litigation and arbitration cases); drafted contracts and documents; led the firm’s estate planning practice. Assisted with strategic planning; developed and maintained client relationships; human resources management; and integration of the acquisition of an investment practice.
- Diplomatically navigated numerous challenging legal and business issues, including ongoing compliance and regulatory matters before the SEC, NYSE, NASD and state securities divisions.
- Concurrent with role at firm, provided legal services for clients under a “Chinese wall” of confidentiality. Services included document preparation for estate planning and entity formations.
Aug 1992 - Mar 2002
Consulting Manager (Tax)
Arthur Andersen, LLP
- Provided tax and business consulting services for diverse clients, including: Fortune 500 companies, privately held businesses, high net worth individuals and start-up companies.
- Collaborated within a teamwork approach for client service. Co-managed staff projects; maintained client relationships; assisted in identifying business development opportunities; researched, prepared and reviewed work products of team members on behalf of clients and their stakeholders; participated on various internal/regional committees.
- Consulted with executive management teams, attorneys, and investment bankers on mergers and acquisitions, complex financing, and strategic joint ventures.Directly involved in 20+ acquisitions with a combined fair market value in excess of $3 billion.