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Brokerage Operations Manager

Every transfer accounted for, from request to reconciled.

10+ years in operations across wealth management, insurance technology and benefits. At Evergreen.ai I run brokerage operations end to end and design the processes, controls and AI-assisted tools that keep every account right.

700+transfers managed end to end, 550+ completed

$35Mmoved onto the platform across 400+ completed incoming transfers

4 daysmedian business days to complete an ACAT

Start here: follow one transfer

Strengths

What I bring to a fintech operations team

Owns the process end to end

From client request to funded account to fee credit, with no handoffs dropped in between.

Submitted within 1 business day

Builds the tools and processes the team needs

Designs the process from the operations side, then builds the tools to run it with AI coding tools and keeps them running.

Wind-down automation built in a day

Reconciles until every dollar is accounted for

Reconciles systems against each other until the gaps show up, then closes them.

60+ missed reimbursements found

Gets ahead of the client

Knows the fee before it's charged and the follow-up before the client has to ask.

Fees reimbursed before clients asked

Writes the playbook and teaches it

Policies, firm playbooks and scripts, then training so the team can run them without me.

29 playbooks · targeted team trainings

Steady under audit and regulatory change

Custody exams, bank product sunsets and a firm closing, run with compliance at every step.

Surprise custody exam: no deficiencies

Experience

10+ years in operations

Open a role for the detail.

Jun 2025 – Present Evergreen.aiRIA, custodied at Apex Clearing

Brokerage Operations Manager

Transfers. Managed 700+ account transfers on my own (550+ completed), full and partial, both manual and through ACAT, the industry's automated account-transfer network. Completed 400+ incoming transfers that moved $35M onto the platform. Submitted ACATs to Apex within 1 business day of the client's request and completed them in a median of 4 business days.
Operations. Led brokerage operations end to end: transfers, wires and ACH, IRA processing, cost basis, margin and beneficiaries. Escalation point for custodial issues across Ops and Client Service. Ran monthly advisory billing with the Controller and Apex, and reconciled ~700 past fee reimbursement credits, finding 60+ missed reimbursements, then built the fee library so fees are tracked and reimbursed in real time.
Built the tools. Designed the transfer tracker in mid-2025; after it moved into a custom app built on that design, I shipped 100+ merged pull requests myself with AI coding tools across the tracker and the firm's operating system. Built the client form library (8 forms), the wind-down automation (runs every 30 minutes; 15 approved tasks in its first two days) and a reconciliation prototype that surfaced $300K+ in client funding with no matching CRM deal. Set the product rules for the operating system's transfer workflows.
Playbooks & training. Built the outside-firm library: 29 transfer playbooks and 45+ fee rules, with turnaround data from 250+ completed transfers. Wrote the ACAT rejection policy, 30+ SOPs and an AI-built knowledge library from 800 support tickets. Ran targeted trainings for my backup, Client Service and Operations.
Compliance. Ran the 2026 surprise custody exam under SEC Rule 206(4)-2, which closed with no deficiencies. Raised the client confirmation response rate to ~90%, up from ~20% on the prior exam.
Firm wind-down. Working with leadership on the client transition through the firm's closing: transfer-out tracker, cohort communications, compliance-approved messaging, internal and client FAQs, and weekly progress reporting.
Migrations & sunsets. Migrated 100+ companion accounts ($3.8M) to Apex, and moved DriveWealth accounts to Apex through 30+ ACATs (~$3.9M). Co-led the sunset of the high-yield savings and checking program with partner bank Coastal Community Bank: notified ~400 clients holding ~$32M and closed 550+ checking accounts.

Apr 2021 – Apr 2025 RipplingHR, payroll & benefits platform

Insurance Operations Supervisor Dec 2023 – Apr 2025

Team building. Built and led a 10-person insurance operations team from scratch, including recruiting, training and management. Promoted from Analyst.
Escalations & change. Primary escalation contact; led process and change-management improvements that removed operational roadblocks.

Insurance Operations Analyst Apr 2021 – Dec 2023

EDI. Founded the in-house EDI team, moving carrier integrations off an outside vendor, and partnered with Product and Engineering on EDI/API issues.
Vendor consolidation. Led a migration that cut the carrier-integration vendors from three to two.
Integrations. Led Ideon and Noyo integrations supporting 8,000+ companies; started a OneKonnect partnership that added 750+ groups.

Mar 2015 – Mar 2021 ZenefitsHR & benefits software

Enablement Manager Jul 2020 – Mar 2021

Enablement. Completed 100+ customer enablements supporting $1.5M in annual recurring revenue, with a 4.85/5 customer satisfaction score.

Partner Success Manager Dec 2018 – Jul 2020

Partners. Managed partner relationships and Certified Broker Partner onboarding: training, product updates, performance reviews and automated business reports.

Senior Specialist, Benefits Platform Operations Apr 2018 – Dec 2018

Senior Specialist, Benefits Product Operations Feb 2017 – Apr 2018

Project Manager, Broker Services Operations Jun 2016 – Feb 2017

Carrier Operations Specialist Mar 2015 – Jun 2016

Carrier data. Improved data quality for the live quoting platform, supporting 12K+ plan mappings behind the self-service model.

Education

University of North Texas

BBA, Business Administration and Management

Toolkit

Tools & domains

Automation & AI

Claude CodeChatGPT / CodexCursorn8nZapierPipedreamDifyApps Script

Data & software

SQL (Metabase, Hex)ModeExcelGitHubLinearJiraRetool

Brokerage & CRM

Apex ClearingDriveWealthSalesforcePractifiZendeskDocuSign

Insurance & benefits

EDI / API carrier integrationsBenefits platform opsHIPAABroker partnerships

Tools & impact

See the tools I designed, how they fit the transfer process, and what they changed.

Tools & impact

The tools behind 700+ transfers.

I manage transfers at Evergreen.ai from client request to reconciled account, and I design the tools that let that work scale, building many of them myself. Each one replaced slow, error-prone manual work with something the team could rely on every day. Read how each one came together below, then try them on sample data.

Start here: follow one transfer →

A guided run on sample data: fix a stuck transfer, submit it, close out a funded one and sync its CRM deal. Every other demo is below.

<60 secstatement analysis per client, down from 30–45 minutes of manual work

$300K+in client funding with no matching CRM deal, surfaced by my reconciliation prototype

60+missed fee reimbursements found across ~700 credits

29outside-firm playbooks behind the pre-submission checks

Featured work

Three tools that changed how the work got done

Every tool here started as manual work I was doing myself: spreadsheets upon spreadsheets, the same client details retyped from system to system, statements read line by line, and transfer status chased across email, the custodian and the CRM. So I started turning that work into tools. Each one has a short demo, rebuilt for this page with sample data and no firm code or client data.

My role: Designed; co-built the appStatus: Used in production

ACAT Transfer Tracker & Recon App

One record for every transfer, from client request to reconciled account, with each outside firm's rules and fees built in.

700+ transfers managed; ACATs completed in a median of 4 business days

Open the full transfer demo →

My role: Designed and builtStatus: Used in production

Wind-down Transfer Automation

An AI-agent workflow that handled the task side of the firm's closing transfers.

15 approved CRM tasks in its first two days

Open the agent walkthrough →

My role: Designed the rules; co-builtStatus: Used in production

Asset Mapping & Funding Plan Tool

Reads a prospect's statement and turns it into a transfer plan, holding by holding.

Statement analysis cut from 30–45 minutes to under 60 seconds

Open the full Asset Mapper →

More work

My role: Designed and builtStatus: Prototype · read-only

Client Funding & Deals Review

Keeps CRM deals in line with the money that actually arrives.

$300K+ in client funding with no matching CRM deal

My role: Scoped and testedStatus: Redesign approved September 2026

Transfer & Decision Workflows for the firm's client-service platform

The product rules for how client requests move through the firm's operating system, starting with transfers.

About 25 product decisions over a month of scoping

Try the transfer board →

My role: Designed and builtStatus: Released firm-wide

Client Form Library

The forms clients need after they've moved in, filled in from their record.

8 client forms built in nine days

Try the form library →

My role: Wrote and taughtStatus: In use since March 2026

ACAT Rejection Playbook & Team Training

An owner, a deadline and a script for every rejected transfer.

Common rejection causes caught before submission

Try the rejection triage →

My role: Designed and builtStatus: Internal tool

Advisor Book Transition Planner

Which households follow a departing advisor, and what that means for revenue.

Built in a day

The library behind the tools

Every outside firm, documented and measured

Every tool on this page draws on the same library I built: how each outside firm transfers, what it charges, and how long it really takes. The watch-outs come from the data, not from memory.

34 firms on file · 30 with fee rules · 29 with full playbooks

34outside firms on file, from wirehouses to single-fund companies

45+fee rules across 30 firms, each tied to the firm's published schedule

29transfer playbooks: 19 by ACAT, 8 paperwork-only, 2 mixed

250+completed transfers timed, so turnaround is measured, not guessed

What the data turned into watch-outs

Speed varies 25 times over. The fastest firms finished in about 3 business days on average; the slowest fund company averaged 76. Clients at slow firms hear that on day one.
From catching missed fees to reimbursing them up front. Reconciling ~700 past reimbursement credits turned up 60+ missed reimbursements. So I gathered each firm's published fee schedule and built it into the system: 45+ rules across 30 firms, from $0 to $195, matched by account type and full or partial transfer. From then on, fees were tracked in real time and reimbursed without the client having to ask.
8 firms aren't on ACAT at all. Their playbooks spell out the paperwork, signatures and letters of acceptance, which is what the pre-submission checks enforce.
26 of 29 playbooks carry firm-specific watch-outs, from house funds a firm won't release to medallion thresholds, and they feed the asset mapping and form rules directly.

The work, step by step

An incoming transfer, from request to reconciled, and the care after

I owned every step of this process at Evergreen.ai, and built tooling for most of them. Select a step to see what I did there.

Resume

Experience across brokerage operations, insurance and benefits.