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Biography

Steve is a Partner in the Orange County office. He has over twenty-five years of experience in the investment management and financial services industry with responsibility for investment advice for high net worth individuals and institutional clients. Steve collaborates closely with his clients to establish an Investment Policy Statement, asset allocation guidelines and works to ensure adherence as needed. Steve is a member of the firm’s Investment Committee, the Asset Allocation Sub-Committee, and he is also the Taxable Fixed Income Asset Class Specialist.

Prior to joining Cerity Partners, Steve was a Managing Director in Deutsche Bank Private Wealth Management’s Orange County, California office. Steve was a member of the US Investment Committee, responsible for asset allocation and manager review for investment assets in client portfolios. Before joining Deutsche Bank in 1999, he was a Vice President and Executive Portfolio Manager for Bank of America Investment Management.

Education

  • B.S. in Finance, San Diego State University
  • MBA, Pepperdine University
  • Completed courses in Mergers & Acquisitions and Private Wealth Management, Wharton School of the University of Pennsylvania

Highlights

  • Chartered Financial Analyst®
  • Member of the Orange County Society of Financial Analysts and the
  • Member Association for Investment Management and Research
  • Adjunct instructor in the Finance Department at San Diego State University
  • Instructor at University of California San Diego and California State University, Fullerton

Q & A

Q:

Who inspired you to pursue your career in financial management?

A college professor, Keith Brown, who had his CFA designation spent a great deal of time talking with me during the course of the semester that I had his college Finance class. As I was looking to move from commercial banking after my early career years, I reached out to him and he sponsored me for the CFA program.

Was there a specific incident in your life that made it clear you were made for this career?

There was no singular instance but I was always bothered by the fact that so many people in the country lacked knowledge in financial markets and how to plan for a solid financial future.

Why is your work important, especially today?

With all of the volatility in the markets, I think it is important to work with someone who has experience in challenging times and can help guide investors through experiences of previous periods and how to stay committed to investment plans that have been established for the individuals.

What should your clients know the most about you?

That I really care about them and their families and that I am committed to a high level of customer service and responsiveness to their needs.

What kind of clients work best for you?

Individuals or families that are looking for someone with an openness to spend the time that’s needed to make sure they’re comfortable with plans that are established for them especially when the markets and conditions are challenging.

What differentiates Cerity Partners from other firms in our space?

We look at our clients, not as clients; but, extensions of our family and we really want to be able to help them with their financial lives and wherever we can provide support.

What do you do in your personal life that helps you help your clients?

I have been teaching Finance courses at the college level for over 20 years and I believe it can help me explain some of the complexities of our industry in a more understandable fashion.

What does the world need now more than anything?

To understand that there are many very good people that can have different viewpoints than you might; but, they are still very good people.

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