Natalie E. Kirkland
Wealth Manager, Equity compensation planning
Bellevue, WA · (425) 555 0124 · name@example.com · linkedin.com/in/natalieekirkland
Key Qualifications
EXPERIENCE
Thirteen years in wealth management, nine advising households directly
CLIENTS
Technology employees, first generation wealth, families with 1 to 15 million dollars in investable assets
SPECIALTIES
Equity compensation planning, concentrated position management, retirement income, charitable giving
SYSTEMS
Envestnet, Salesforce Financial Services Cloud, eMoney Advisor, Morningstar Direct
CREDENTIALS
Certified Financial Planner, Series 7 and Series 66 registrations
EDUCATION
Master of Science in personal financial planning, Golden Gate University
Results at a Glance
$96m
Million dollars
97%
Client households
41
Clients holding concentrated
34
New households
Executive Summary
Wealth manager with thirteen years advising technology employees and their families, managing 214 million dollars in assets for 118 households at a bank private client group. Certified Financial Planner who builds plans around concentrated stock positions and the tax bill that comes with them.
Signature Achievements
- Grew assets under management from 96 million dollars to 214 million dollars across seven years with 118 client households.
- Retained 97 percent of client households through two market corrections without a single unplanned liquidation.
- Built diversification plans for 41 clients holding concentrated employer stock worth more than half of their net worth.
- Added 34 new households in three years, 28 of them referred by existing clients or their accountants.
- Coordinated with tax advisers on charitable giving strategies that moved 6.2 million dollars into donor advised funds.
- Delivered written financial plans to every household in the book, up from 38 percent when he took it over.
Professional Experience
Wealth Manager
Cascade Summit Private Bank, Bellevue, WA 2019 to present
Advises 118 households holding 214 million dollars in a bank private client group serving the Puget Sound technology corridor.
- Prepares and reviews written financial plans covering retirement income, education funding, insurance needs and estate documents.
- Recommends investment portfolios through the managed account platform and documents the basis for each recommendation.
- Meets the care obligation and the conflict of interest requirements of Regulation Best Interest on every recommendation.
- Works with tax advisers and estate attorneys on equity compensation timing, charitable gifts and trust funding.
- Reviews each household at least twice a year and updates the plan when income, family or employment changes.
Financial Adviser
Rainier Point Investment Group, Seattle, WA 2016 to 2019
Built a client book from referrals at a regional broker dealer with 40 advisers.
- Grew a starting book of 22 million dollars to 96 million dollars in three years.
- Ran quarterly education sessions on stock plan taxation for employees at three local employers.
- Passed the Series 7 and Series 66 examinations and completed the Certified Financial Planner program.
Client Service Associate then Associate Adviser
Elliott Harbor Wealth Advisors, Tacoma, WA 2013 to 2016
Supported two senior advisers with 260 million dollars in client assets.
- Prepared plan documents, performance reports and meeting materials for client reviews.
- Processed account openings, transfers and required minimum distribution requests.
- Handled client questions on statements, cost basis and beneficiary changes.
Licensure and Certification
Certified Financial Planner, certified by the Certified Financial Planner Board of Standards
Series 7 and Series 66 registrations held through the Financial Industry Regulatory Authority
Member, Financial Planning Association of Puget Sound
Education
Master of Science in personal financial planning, Golden Gate University, 2018
Bachelor of Science in economics, University of Washington, 2013
Core Skills
Financial planning · Equity compensation planning · Portfolio construction · Retirement income strategy · Charitable giving · Client acquisition · Regulation Best Interest compliance · Estate planning coordination · Client retention · Tax aware investing