Samuel Martinez

Associate Wealth Manager & Portfolio Assistant | May 2024 – Present
Partner with a dual CPA/CFP Principal to sub-advise a $250M AUM book ($175M fee-based advisory core) via the Osaic OneHub platform, executing comprehensive relationship management, risk presentation, and systematic portfolio optimization.

• Portfolio Co-Management: Sub-advise the relationship management of HNW households, directly constructing and presenting comprehensive client summaries and portfolio proposals to ensure long-term client retention.
• Risk Architecture & Asset Capture: Spearheaded holistic risk diagnostics utilizing Nitrogen (Riskalyze) across internal and external held-away assets; uncovered structural inefficiencies, capturing unmanaged client assets.
• Scalable Operational Architecture: Championed the firm’s strategic utilization of third-party asset management models, vastly reducing operational friction to maximize direct client-facing advisory hours and relationship retention.
• Trade & Cash Drag Optimization: Monitored $250M asset base daily to eliminate idle cash; formulated and submitted strategic trade reallocations and liquidity executions within firm compliance guidelines.
• Advisory Pipeline Management: Translated complex principal recommendations into clear, actionable next steps for clients, serving as primary point of contact for performance and allocation inquiries.

Advanced from operational support to lead client retention role, enhancing architecture and custody workflows through LPL ClientWorks for high-volume independent practice.

• Served as sole Spanish-speaking contact for HNW clients, facilitating multi-generational asset retention and fostering lasting institutional trust.
• Prepared institutional-style meeting briefing reports covering account performance, model variance, and household risk tolerances to support efficient advisor meetings.
• Trained and onboarded junior team members, documented standard operating procedures, and streamlined system training to enhance firm-wide proficiency in LPL software.

• Asset Transition Management: Managed complex account transitions (ACATS) and new account onboarding setups, ensuring zero regulatory or compliance discrepancies and facilitating smooth client integration.
• Audit Readiness: Documented CRM interaction logs and trade blotter notes to uphold FINRA/SEC compliance standards, supporting seamless audit preparedness.