THOMAS RIGATTI Sales Professional

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Managing Director

TJR Financial Consultants

Apr 2012 - Jan 2024 (11 years 10 months)

• Independent contractor raising capital for various industries including Financial Services, Real Estate, Private Equity, Alternative Investments, Social Networking and Hospitality companies using a consultative and solutions-based process. Client base includes IBD, RIA, Family Offices and Institutional, High Net Worth and Ultra High Net Worth clients. • Raised over $25 million for Landsmith, LLC, a private equity fund based in San Francisco that invests in single family distressed housing. Clients included high net worth individuals, RIA's, pension funds, endowments and other institutional clients. • Raised over $10 million for Diverse Financial, LLC, a private equity fund based in Newport Beach that invests in single family homes and m

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Regional Sales Director

ADVISORS ASSET MANAGEMENT

Sep 2011 - Apr 2012 (8 months)

• Regional Sales Director for the Advisors Asset Management suite of products including unit investment trusts, mutual funds, alternative investments and SMA products • Products included AAM UIT's and mutual funds, Hatteras Alpha Hedge Strategies Fund, and SMA products from Bahl and Gaynor Investment Counsel and Chartwell Investment Partners • Sold across all channels with a focus on Merrill Lynch, Wells Fargo, UBS, Morgan Stanley, IBD's and RIA's • Increased sales from less than $1 million per month to over $5 million per month in 6 months

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Regional Sales Director

FRANKLIN SQUARE CAPITAL PARTNERS, LLC

Oct 2008 - Jul 2010 (1 year 10 months)

• Responsible for marketing alternative investment solutions including private equity and private debt vehicles to the independent broker-dealer community in the northern California and Pacific Northwest territory • Relationships included LPL, ING Advisor Network, VSR, NFP, Capwest Securities, Berthel Fisher, H. Beck, AIG, National Planning and Investors Capital • Proactively developed and sourced new client relationships for further penetration in the broker-dealer community

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Regional Sales Director

Highland Capital Management

Nov 2004 - Oct 2008 (4 years)

• Regional Sales Director for the Highland Capital Management suite of products including mutual funds, hedge funds, closed-end funds, and alternative strategies • Strategies include Highland Credit Strategies Fund, Highland Distressed Opportunities Fund, Highland Senior Secured Bank Loan Funds, Highland Long/Short Fund, Highland Long/Short Healthcare Fund and Highland Private Equity Funds Limited • Territory includes wire house, regional, independent,RIA and bank divisions in northern California, northern Nevada and Utah • Developed relationships with producers and high net worth clients resulting in new assets positioned in Highland Capital Funds • Key contributor to development of Highland Fund sales literature • 2007 - Sales totale

Vice President of Sales

New York Life Investment Management

May 2002 - Nov 2004 (2 years 7 months)

• Wholesaler for the NYLIM brand of investment products including MainStay mutual funds, MacKay Shields SMA, and College Sense 529 plans • Territory included wires, regional, banks, and independents for northern California, northern Nevada, and Hawaii • Increased sales by over 150% • Introduced separately managed account program into northern California territory • Developed marketing ideas that were incorporated into MainStay sales literature

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Sales

NEW YORK LIFE INVESTMENTS, ADVISORS ASSET MANAGEMENT, Highland Capital Management, TJR Financial Consultants

Apr 2002 - Current (24 years 4 months)

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First Vice President, Marketing Director for Mutual Funds & Alternative Investments

SUTRO & COMPANY

May 1995 - Mar 2002 (6 years 11 months)

• Mutual Funds and Alternative Investments • Created alternative investment platform to help brokers attend to needs of high net-worth clients across Hedge Funds, Exchange Funds, Private Equity and Real Estate • Performed annual due diligence on mutual funds and alternative investment firms to determine appropriate products for distribution • Conducted client presentations, product road shows, client seminars, and sales seminars geared toward increasing broker production • Increased annual mutual fund sales by over 350% and mutual fund product revenue from 8% to 20% of firm revenue • Developed electronic marketing for Sutro & Co. mutual fund intranet site • Negotiated with fund companies for revenue sharing arrangements

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Personal Financial Officer

Apr 1994 - Feb 1995 (11 months)

• Transferred to Wells Fargo Investment Management Group • Accountable for the commercial sales of institutional investment products • Directed commission-based retail sales of mutual funds, trust services, annuities, and treasuries • Expanded investment clientele by prospecting non Wells Fargo Bank customers

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Associate Wholesaler-Overland

Express Funds

Apr 1991 - Apr 1994 (3 years 1 month)

• Associate Wholesaler responsible for institutional and retail sales in Southeast United States • Strengthened and maintained relationships in broker-dealer firms and researched methods to improve and promote services through the design of new sales tools and marketing pieces • Generated $100 million in annual sales • Recognized as "Associate Wholesaler of the Year" • Promoted into New Business Development role as a result of success as Associate Wholesaler • Offered External Wholesaler role as a result of impact in New Business Development position

THOMAS RIGATTI

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