Joe Griffin

I was promoted to CEO to create and oversee TrueNorth Wealth and two other DBA companies of Association Financial Services. My efforts included expanding the business, increasing profitability, attracting and retaining leadership talent, and directing marketing efforts. To bolster risk mitigation, I began serving in the additional capacity of Chief Compliance Officer by registering with the SEC in 2017. I developed and led 19 employees and reported to the company’s Founding Partner. Select achievements: ♦ Increased new monthly AUM from $916K in 2010 to ~$12.5M in 2021 by implementing effective marketing strategies. Generated $150M+ new AUM in 2021 and on pace to achieve another $150M in new AUM in 2022. ♦ Ensured more prospective clients showed up for initial meetings with firm by conducting at least 75% of all prospective client calls, representing ~1,000 calls across ten years. Secured three new clients per month on average on 2010 and have consistently brought on 25+ new clients per month on average for past two years. ♦ Achieved 95% YOY client retention—25% higher than industry average—by providing world-class customer service. ♦ Negotiated proposed SEI trust custodian fee down more than 50%, resulting in six-figure savings for past three years. ♦ Oversaw solicitor agreements with multiple outside companies; ensured compliance and adherence to SEC regulations. ♦ Negotiated buy / sell agreements for advisors, non-compete agreements, and real estate contracts. ♦ Developed distinct websites for each of three DBAs by hiring firm to execute on marketing and branding vision. ♦ Cultivated network referral base that entire firm leverages including related service providers clients might require. ♦ Negotiated higher TI allowance and more flexibility with landlord when renewing building lease and remodeling. ♦ Ensured compliance by obtaining, managing, and negotiating corporate insurance policies, state and federal requirements, and permits and licenses.

After demonstrating success as a Director in my prior role, I was promoted to President in 2012. I prioritized delivering exceptional customer service, developing and managing corporate documents, overseeing bank accounts, finding capital to leverage, and executing more than five client events annually that draw up to 150 attendees per event. I also managed all internal client paperwork including new accounts, transfers, trades placed, allocations, RMDs, in-kind donations, and collection of fees for 900+ accounts. Led nine employees.

In my first role at TrueNorth, I oversaw client paperwork, scheduling, and RMDs; executed in-kind donations, step-up in basis paperwork, and trades; and managed the company fee schedule, building out custom models within aligned custodian.

I was initially hired as a sales executive for a home security business during college and became one of the top sales reps in the company. Tapped for a management role after one year of employment, I focused on recruiting, training, and leading up to 25 sales reps while concurrently selling. I also contributed to the office achieving recognition for being in the top 20% of all offices in the company. Select achievements: ♦ Increased sales revenue by recruiting and training high performing sales executives to sell in affluent areas. ♦ Recognized by leadership for ethical sales and management that eliminated customer complaints. ♦ Helped sales reps achieve promotions to management roles by providing support, mentoring, and training.