Peter Flores

Investment Management Leader | $12.5B+ Portfolio Strategist | Financial Analyst | Client Retention Expert | Champion of Compliance & Operational Efficiency

Summary

Results-driven portfolio manager with 10+ years of experience managing multi-asset class portfolios for institutional and high-net-worth clients. Proven expertise in developing strategic investment solutions, managing risk, and fostering strong client relationships. Skilled in regulatory compliance, financial analysis, and mentoring teams to drive performance. Adept at delivering exceptional service with integrity, care, and excellence.

Experience

Wealth Investment Portfolio Manager

Wells Fargo

Oct 2018 - Present (6 years 5 months)

Manage $12.5 billion in assets across multi-asset portfolios, developing tailored investment strategies aligned with client objectives and market trends.

• Lead portfolio construction and implementation to maximize returns while managing risk.
• Maintain a 98% client retention rate by delivering high-touch service and customized solutions.
• Mentor junior staff and collaborate with cross-functional teams to enhance operational efficiency and compliance.
• Delivered an average 10% annual growth in assets under management (AUM) over the past five years.
• Spearheaded the development of new asset allocation models, resulting in improved portfolio performance and client satisfaction.
• Led quarterly reviews of portfolio performance, providing clients with in-depth analysis and proactive adjustments to meet evolving objectives.
• Partnered with regional firms, securing 25 new institutional clients, and expanding AUM by $500M in the past year.
• Ensured 100% accuracy in regulatory submissions, collaborating with compliance teams to mitigate risk and avoid penalties.

Senior ERISA Regulatory Compliance Analyst

Charles Schwab

Dec 2013 - Sep 2018 (4 years 10 months)

• Managed regulatory compliance for corporate portfolios, reducing operational risk and enhancing client trust.
• Developed comprehensive compliance frameworks and led audit preparations, ensuring adherence to complex fiduciary standards.
• Increased client retention by 95% through clear communication of regulatory updates and prompt resolution of compliance issues.
• Reduced audit timelines by 25% through cross-platform reconciliation and process improvements.
• Mentored a six-member team, enhancing internal collaboration and ensuring zero regulatory penalties during tenure.

Strengthened relationships with corporate clients, advising on regulatory compliance and financial strategies to protect their portfolios.

Qualified Retirement Plan Representative Team Lead

Charles Schwab

May 2011 - Dec 2013 (2 years 8 months)

Led a team responsible for managing retirement portfolios, ensuring client satisfaction and compliance with regulatory requirements. Developed and coached a team of phone representatives, fostering career development and client-centered service.

• Retained 45% of retirement assets through personalized client strategies, maintaining high clientsatisfaction.
• Achieved a 70% promotion rate for team members through focused training and professional developmen.
• Launched a digital initiative that reduced operational costs by 20% while improving client experience.

Skills

Portfolio Management & Asset Allocation • Multi-Asset Class Strategies • Client Relationship Management

• Risk Mitigation & Regulatory Compliance • Investment Strategy Implementation • Leadership & Team

Development • Financial Analysis & Reporting • Tax Loss Harvesting • Bloomberg • FactSet

Education

University of Texas at San Antonio

Bachelor, Business Administration: Finance

Licenses & Certifications

Bloomberg: Station Commands & Market Concepts (BMC) - Bloomberg

FactSet: Core Products, Portfolio Analysis, Universal Screening - FactSet

Series 7

Series 66

QKA

QPA