Tristan Cheal: Vice President - Finance in San Diego, CA

SEC-regulated Registered Investment Advisor managing $15bn in high-grade fixed-income portfolios for HNW and ultra-HNW individuals and families. As Vice-President of Finance and Controller I was hired to architect the financial reporting and control environment, select and install a new ERP system, convert the financial reporting systems from cash-basis to accrual basis, and take the firm through its first GAAP audit in preparation for a liquidity event. I am responsible for financial and operational oversight, including asset protection, insurance, budgeting, financial reporting and establishing, monitoring and enforcing policies, procedures, and internal controls. Key responsibilities and achievements: • Finance lead on the firm's integration with new parent company - PIMCO. • Member of the due diligence team analyzing the transaction for the 100% equity sale to PIMCO. • Researched, selected, and implemented an upgraded ERP system (Intacct(TM)) - transitioning the financial records from Quickbooks(TM) including a completely new chart of accounts and comprehensive financial procedures manual. • Manage a collaborative annual budget process across the firm's decision-makers. • Designed and constructed an automated monthly management and board reporting package including US GAAP and tax-basis financial performance reporting for the Managing Partners and functional leaders. • Designed and constructed quarterly management reporting including profitability forecasting, budget variance, and key business statistics for Managing Partners. • Designed and constructed digital dashboards for the general partners to keep a real-time finger on the pulse of the business. • Managed the firm's $15m D&O, E&O, Worker's Compensation, Cyber, Fraud, and Property Insurance policy renewals .and coverage. • Supervise the billing, accounts receivable, and accounts payable functions. • Supervise payroll for 70 staff across 10 US states. • Supervise the firm's 401k (retirement plan) program as co-fiduciary with the plan sponsor.

Leading independent financial advisory firm focused on wind, geothermal, solar, and other clean energy markets. As Controller I was responsible for full operation of the accounting and general finance function of the firm including its FINRA-registered broker dealer in the United States and Registered Exempt Market Dealer in Canada. Key responsibilities and achievements: • Responsible for the accounting and reporting - including consolidation and financial statement preparation for the firm's five consolidating entities. • Managed the firm's annual financial audit and tax return preparation. • Worked with external accountants to ensure tax compliance and filings in California, Illinois, and New York. • Assisted with the firm's first external debt financing - raising $2.5m to recapitalize the business. • Debt covenant reporting across the consolidated group. • Equity accounting for the group's investments in utility-scale solar projects in Indiana and California • Assistant Secretary for Marathon Capital Markets, LLC - the firm's broker-dealer and exempt market dealer. • Supervised and approved monthly regulatory net capital filings prepared by 3rd party FINOP. • Implemented Expensify(TM) to electronically manage expense reporting and reimbursement for the firm's 20+ travelling bankers.

Apex Clearing is a full-service clearing firm providing clearing and execution services for brokerage firms and independent broker dealers, with a focus on the Fintech space. Apex is part of the PEAK6 group of companies. After working for the groups Online Brokerage firm OptionsHouse - I was recruited to the clearing firm post-acquisition to help structure and develop the finance teams in Dallas and New York, and develop the reporting and control environment for the firm. Key responsibilities and achievements: • Member of the due diligence team for the formation of Apex Clearing Corporation. • General ledger responsibility for the firm's $3.5bn balance sheet. • Oversaw payroll, 401k, and employee benefits for 160 staff across 6 states • Managed a team of 5: payroll, accounts payable, and general ledger staff across 2 offices including performance reviews and goal setting. • Accounts receivable management across 80 correspondents and >500,000 customer accounts.