David Teufel
Philadelphia
Summary
Transformational executive with over a decade of experience driving operational excellence in high-growth financial platforms. Expertise in architecting scalable infrastructure and developing client-centric service models within Registered Investment Advisor (RIA) and fiduciary environments. Recognized for building elite teams, streamlining back-office functions, and aligning operations with enterprise-level growth strategies to enhance overall performance and client satisfaction. Committed to fostering innovation and continuous improvement to achieve strategic business objectives.
Overview
13
13
years of professional experience
Work History
Head of Financial and Client Services
Financial Independence Planning, LLC
01.2022 - Current
- Facilitated performance review sessions with leadership, using KPI dashboards to report bottlenecks, capacity risks, and retention trends.
- Served as strategic liaison between advisors, operations, and firm leadership to align service model with business growth and advisor engagement.
- Spearheaded operational audits, workflow reviews, and vendor evaluations to drive automation and scalable process improvements.
- Managed a 10+ person service team supporting $700M+ in AUM and 10 financial advisors, with oversight of training, workflow optimization, and quality assurance.
- Led day-to-day operations and client service delivery across onboarding, billing, compliance, and custodial support functions.
Operations Manager – Client Services
Financial Independence Planning, LLC
07.2020 - 12.2021
- Delivered strategic reporting and analytics to executive leadership for segmentation modeling and service expansion.
- Standardized processes and built SOP documentation to improve cross-team execution and reduce service errors.
- Led key operational initiatives to align service delivery with organizational growth plans and advisor support needs.
Senior Client Service Associate
Financial Independence Planning, LLC
10.2018 - 06.2020
- Managed complex client onboarding and portfolio transitions, increasing onboarding efficiency and client satisfaction.
- Championed process consistency and internal quality reviews to support compliance readiness and reduce risk.
Performance Analyst / Corporate Action Analyst
InvestEdge, Inc.
02.2015 - 09.2018
- Oversaw data integrity, trade reconciliation, and reporting accuracy for 50,000+ custodial accounts. Partnered with product teams to improve automation and reporting speed.
Operations Analyst
SEI Private Trust Company
08.2012 - 02.2015
- Reconciled daily HNW account transactions and supported automation initiatives that enhanced audit preparedness and reduced manual risk.
Education
Bachelor of Science - Finance
Bloomsburg University of Pennsylvania
Bloomsburg, PA05-2012
Skills
- Salesforce
- Orion
- Egnyte
- Schwab Advisor Center
- Microsoft Excel
- DocuSign
- Pershing
- AdviceWorks
- Envestnet
CORE COMPETENCIES
- Wealth & Private Client Operations Strategy
- KPI Dashboards & Business Intelligence
- Regulatory Compliance (SEC, FINRA)
- Scalable Workflow Optimization & Automation
- Strategic Planning & Operational Execution
- HNW Client Service Experience
CAREER HIGHLIGHTS
- Successfully completed two strategic transitions between Broker Dealers and RIAs from Voya to Cetera, and then from Cetera to Carson Group while leading data gathering efforts and implementing new operational processes to support seamless integration and enhanced efficiency.
- Scaled operations supporting $700M+ AUM and 10 advisors, improving onboarding speed by 40% and enhancing service delivery across client lifecycle.
- Built firm wide KPI dashboards enabling real-time decision-making, performance tracking, and service optimization.
- Designed and executed a talent development strategy, reducing turnover and boosting team productivity.
- Collaborated with executive leadership to align operational initiatives with strategic growth and retention goals.
Timeline
Head of Financial and Client Services
Financial Independence Planning, LLC
01.2022 - Current
Operations Manager – Client Services
Financial Independence Planning, LLC
07.2020 - 12.2021
Senior Client Service Associate
Financial Independence Planning, LLC
10.2018 - 06.2020
Performance Analyst / Corporate Action Analyst
InvestEdge, Inc.
02.2015 - 09.2018
Operations Analyst
SEI Private Trust Company
08.2012 - 02.2015
Bachelor of Science - Finance
Bloomsburg University of Pennsylvania
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