Meet Michael F. Fleming

 

• Handles investment management, estate and financial planning, and insurance needs of individuals and small companies.  By using individual securities and bond, craft personal portfolios for individuals.  Analyze publicly traded companies equity and bond offerings for inclusion in portfolios.  Work in conjunction with attorneys and accountants to formulate client's Estate plans. Design effective detailed plans to be implemented and followed by clients.    

• Responsible for the investment management of over 80 accounts valued at over $90 million. Accounts consist of Trusts, Individual and IRAs.  Research and analyze stocks and bonds for inclusion in client portfolios. Determined risk tolerance and investment objectives for clients through detailed client conversations. Developed and implemented strategic investment decisions that reach individual's short and long term financial goals.
• Served as company's fiduciary specialist; tasked with identifying Trust and Estate issues when reviewing Trust agreements and Wills.  As intermediary, drove Estate planning and Will drafting to meet client objectives, while ensuring drafting attorneys comply with client's desires and intent. Nominated to serve as Executor/Trustee for several clients.  On behalf of client, I directed litigation against corporate Trustees for breaches of fiduciary duty resulting in $368,000 award.
• Acted as company's Chief Compliance Officer where responsibilities included updating annual ADV with SEC, crafting and implementing firm's policy and procedures and filing the corporation's 13F report; created and modified company's website in compliance with SEC guidelines and regulations.
• Drove new business efforts for the firm through networking with clients, attorneys and accountants.  Efforts resulted in $35 million in new assets to the firm between 2005 to 2009.

• Managed The Hamilton Group, which consisted of 8 Trust officers, 2 administrative assistants, an investment specialist and a Trust settlement officer.  Group handled Trust administration and investment management for over 2000 inter vivo and testamentary Trust accounts valued at over $800 million for which BNY serves as corporate Trustee.  
• Managed Trusts through the use of BNY Hamilton mutual funds and individual stocks within the portfolio guidelines established for each Trust through conversations with beneficiaries and co-Trustees.  
• Tasked with managing the group's annual Trust Investment and Administrative review as well as heading the group's discretionary payment committee and overseeing Trust settlements. 
• Spearhead implementation of Electronic Document Management System for the Private Client Services sector and develop systematic rebalancing of Trust accounts on the Bank's Order Management System.

• Responsible for administrative and investment functions on over 240 inter vivo and testamentary Trust accounts valued at over $144 million in which U.S. Trust served as corporate Trustee.  Managed the accounts through the use of common Trust funds and individual stocks within portfolio guidelines established for the Trusts through conversations with beneficiaries and co-Trustees.
• Extensive client and professional contact relating to Trust document reviews, investments, discretionary payment requests and general financial planning.
• Automated checklist for recently enacted Principal and Income Act in New York and responsible for overseeing the updating and mailing of annual common Trust investment fund. 

• Managed daily maintenance of more than 370 diversified self-directed personal, corporate, Trust, Estate and IRA accounts valued over $1.0 billion. 
• Interacted with a variety of clients particularly, high net worth individuals, corporate officers, attorneys, and accountants.  Conducted a full range of client services including: cross-selling products, presentations, marketing, executing trades, payment of taxes and invoices. 
• Acted as liaison between US Trust and Advent software for all interface problems and new account requests for company. 

• Responsible for cash management, trading, performance reporting and ad hoc requests for four portfolio managers.  Accurately and effectively coordinated client quarterly performance booklets.  Compiled, evaluated and produced semi-annual broker commission report. 

• Managed a 12-Engineman division responsible for maintaining ship's auxiliary engineering equipment including four diesel engines.  Received Navy Achievement Medal in 1995.

PACE UNIVERSITY SCHOOL OF LAW, White Plains, NY

• J.D. May 2002 
• Pace University Dean's Scholar (1998), Pace University Dean's List (1997-1998)

• B.A. in Economics, May 1993
• Naval ROTC Scholarship (1989-1993)
• Omnicron Epsilon Delta, International Economics Honor Society

• Admitted in New York and Connecticut.