Gary Davis, Jr. – Experienced Operations Candidate (Annandale, NJ)

Interest in talking with Gary? Please reach out to him directly via email. 

Gary D. Davis, Jr.
93 La Costa Drive Annandale, NJ 08801 | (908) 310-1266 |

• Prepared the firm’s operating infrastructure to cloud based technology ahead of the COVID-19 pandemic. This allowed the firm to move to 100% remote operations with 24 hours’ notice. The firm did not lose any clients (and grew its assets) during its COVID-19 remote operations.
• Implemented on-going management team to improve management level communications and workflows.
• Improved the firm’s financial reporting process for owners and management to make better financial decisions and plan for growth.
• Assisted with the development of a new sub-advisory division (including regulatory setup and disclosures).
• Managed 2 SEC investment adviser examinations.
• Managed the process of minority private equity investment.
• Managed the development of an ESG investment strategy.

Gitterman Wealth Management | Edison, NJ 10/2015 to 02/2021
Chief Operating Officer/Chief Compliance Officer
• Worked with owners and other stake holders in the development and management of the firm’s strategic plan (including growth goals)
• Worked collaboratively across all staff (support staff, managers owners, advisors, business development and investment management) to develop and/or improve systems, processes controls and procedures that improved the overall efficiency of the firm and insure excellent client service
• Developed and managed the firm’s annual operating budget and monthly cash flow
• At its high, supervised 17 investment adviser representatives
• Operational and compliance liaison with non-affiliated broker-dealer
• Developed operational support staff into Operations/Compliance manager
• Acted as the firm’s human resources manager
• Developed and managed the firm’s investment adviser compliance program
o Implement technology improvements for efficient data gathering and administration of program
o Conduct testing and training on the compliance program
o Conduct best execution reviews and personal securities transaction trade surveillance
o Conduct email surveillance
o Conduct review/draft disclosures for marketing/advertising
o Review/approve 3rd party wires
o Review/approve retirement plan rollovers and allocations to alternative investments
• Developed and managed the firm’s information security/data security program
• Oversaw the firm’s technology infrastructure
• Implemented risk management supervisor controls over alternative investment sales
• Responsible for firmwide operational, regulatory, and human resource training
• Developed and implemented strategies, procedures and business plans needed to enhance company growth
• Member of investment committee

MarketCounsel, LLC | Englewood, NJ 03/2011 to 10/2015
Vice President, Practice Management/Consultant
• In 2011 merged Beneficial Concepts Group, LLC into MarketCounsel to establish the firm’s Institute for Practice Management which focused on practical compliance management and operational management solutions and consulting
• Consulting solutions included
o New compliance management program implementation
o Risk management assessments
o Mock investment adviser audits
o Compliance program monitoring and testing
o Drafting compliance policies and procedures
o Compliance program training
o Integrating operational and regulatory compliance policies and procedures
o New CCO training
o Investment adviser examination support
• Authoring white papers and articles published by industry publications
• Speaking at industry conference events

Beneficial Concepts Group, LLC | Stockton, NJ 01/2007 to 03/2011
• Founded firm to fill gap in practical operational and compliance consulting in financial planning and investment adviser industry at the time. I built the firm’s client base from nothing into several on-going client relationships
• Firm worked exclusively with investment advisers in areas of business, operations, process, technology, and human resources management
• Consulting solutions included
o Set and monitor client firm’s strategic vision
o Implement proactive processes
o Support client firms with management of day-to-day operational workflows
o Provide support with management of client firm’s operational staff
o Development of investment adviser compliance policies and procedures
o Mock investment adviser audits
o Investment adviser examination support
o Provide client firms with financial statement and management support

Comprehensive Investment Solutions, LLC | Yardley, PA 04/2006 to 12/2006
Operations and Compliance Manager
• Managed firm’s middle and back office operations, which included billing, quarterly reporting, budgeting, development of operational and compliance policies and procedures
• Assisted CCO with monitoring of investment adviser compliance program (including conducting on-going testing)
• Project management, client service
• Member of investment committee, which included drafting meeting agenda, first level manager analysis, asset allocation guideline review for model portfolios, initial research on new managers, managed approved model and strategy list and managed the hold, sell, and watch lists

Zdenek Financial Planning, LLC | Flemington, NJ 03/2000 to 03/2006
Chief Compliance Officer/Manager of Investment Services
• Managed firm’s middle and back office operations, which included billing, quarterly reporting, budgeting, development of operational and compliance policies and procedures
• Oversight over investment management operations and firm’s proprietary quarterly investment reporting process
• Client service
• Develop and manage the firm’s investment adviser compliance program
• Managed the establishment of regulation D offering
• Authored and co-authored operational policy and procedure manual

Conseco Securities, Inc. | Morris Plains, NJ 12/1998 to 03/2000
Operations and Training Manager

The Windsor Group, LTD | Indianapolis, IN 08/1997 to 12/1998
Financial Planning Analyst

Prudential Investments | Edison, NJ 09/1996 to 08/1997
Account Executive

Master of Science | Accounting and Financial Management 2006
Keller Graduate School of Management, Oakbrook Terrace, IL

Bachelor of Science | Financial Planning 1996
Purdue University, West Lafayette, IN

FINRA Series 7

Policy and program development Investment adviser compliance
Communications Leadership
Business management Financial management
Operational management Team and staff development
Risk management Vendor management