Summary
Overview
Work History
Education
Skills
Certification
Demonstrated expertise in
Timeline
Generic

Salvatore J. Asta

Montvale

Summary

Lead all business operations to drive efficiency, compliance, and waste reduction. Offer expert financial guidance across banking, brokerage, financial planning, and wealth management sectors. Instrumental in expanding assets, revenues, and client base through top-notch client service and timely problem-solving.

Overview

14
14
years of professional experience
1
1
Certification

Work History

Director of Investment Operations

Bleakley Financial Group
07.2018 - Current
  • Developed and implemented a retirement plan service which resulted in a new and growing revenue stream of over $130,000 per year.
  • Manage all areas of investment operations for two books of business (helping to grow from $145M to $340M) to ensure best practices are utilized for an efficient and profitable team.
  • Assist with the new client onboarding process to ensure a seamless and positive client experience, which is essential to building a strong and lasting relationship.
  • Participate in client meetings by providing advice on cash flow and estate planning issues.
  • Work with estate planning attorneys to ensure client accounts are aligned with the goals and objectives of Wills and estate.
  • Respond promptly to client questions and concerns, confirming that all communications are clear, thorough, and easily understood resulting in enhanced client satisfaction.
  • Develop strong, ongoing relationships with current clients, becoming their main point of contact and a reliable resource for their needs.
  • Coordinated cross-functional teams, fostering collaboration and ensuring timely completion of projects.
  • Trained new employees on company policies, procedures, and best practices to facilitate their rapid integration into the team.
  • Managed complex projects with multiple deadlines, ensuring all objectives were met successfully.
  • Maintained high levels of employee morale through effective communication, recognition, and coaching initiatives.
  • Implemented quality control measures to reduce errors and ensure consistent standards across all operations tasks.
  • Improved operational efficiency by streamlining processes and implementing time-saving strategies.
  • Streamlined workflow processes, resulting in improved overall team efficiency and effectiveness.

Manager of Operations & Financial Planning

5C CAPITAL MANAGEMENT/CLARK DODGE ASSET MANAGEMENT
11.2011 - 06.2018
  • Clark Dodge Asset Management restructured into 5C Capital Management in March 2017. Transferred all responsibilities from previous role at Clark Dodge Asset Management to 5C Capital Management.
  • Developed and implemented the process and procedure to transition all client assets from Clark Dodge Asset Management to 5C Capital Management. This process included high level meetings/conference calls with Schwab Institutional managers and RBC Capital Markets managers. Spearheaded the transition of all client data from office servers to being cloud based and ensuring the integrity of the data both pre and post transition.
  • Coordinate all aspects of the firm’s investment operations including the development/implementation of procedures that will enhance the overall efficiencies of the company.
  • Established and sustain firm-wide weekly cash flow analysis, consisting of forecasting, investment analytics, portfolio construction, and risk management models/tools for external, internal, and senior management reporting.
  • Oversight of the firm’s operations, technology and reporting activities including identifying operational deficiencies and developing and implementing solutions.
  • Ensure that the firm’s reporting system (PortfolioCenter) and CRM system (Junxure) are “communicating” with each other so that there is a seamless integration of data between both systems allowing employees to generate reports as needed.
  • Maintaining and updating records of all firm trades, account openings/closings and inflows/outflows of assets.
  • Manager of Investment Operations
  • Recruited by former supervisor for newly created position to build a strong internal infrastructure that would support organic growth and provide comprehensive financial planning for high-net-worth clients in a Registered Investment Advisory Firm. Direct investment operations globally in maintaining best practices, consistent processes, and appropriate operational controls.
  • Led integration of $60M of client assets after acquisition of another advisory firm, involving implementation of a procedure that accurately and expeditiously merged the acquired clients with existing Clark Dodge client base. Coordinated growth of assets under management from $130M to more than $240M.

Education

Juris Doctor (JD) -

QUINNIPIAC UNIVERSITY SCHOOL OF LAW
Hamden, CT

Bachelor of Arts (BA) - Economics

BUCKNELL UNIVERSITY
Lewisburg, PA

Skills

  • eMoney Advisor
  • Orion Advisor Solutions
  • Practifi CRM
  • PortfolioCenter by Schwab Performance Technologies
  • MS PowerPoint, Word, and Outlook
  • MS Outlook
  • Moderate MS Excel skills

Certification

  • Series 65
  • Life, Health, and Disability

Demonstrated expertise in

  • RIA Operations & Staff Management
  • Custodian Lead Liaison-Schwab/RBC
  • Regulatory Compliance Management
  • Quality & Process Improvements
  • Key Project Management
  • Vendor & Service Provider Relations
  • Client Relationship Building
  • FINRA 65

Timeline

Director of Investment Operations

Bleakley Financial Group
07.2018 - Current

Manager of Operations & Financial Planning

5C CAPITAL MANAGEMENT/CLARK DODGE ASSET MANAGEMENT
11.2011 - 06.2018

Bachelor of Arts (BA) - Economics

BUCKNELL UNIVERSITY

Juris Doctor (JD) -

QUINNIPIAC UNIVERSITY SCHOOL OF LAW

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