Regional Director (Wholesaler)

Company Our client is a nationally recognized, independent boutique asset manager and RIA with nearly 40 years in business and over $2 billion in AUM. Poised for significant growth, the firm has built the infrastructure, investment track record, and institutional relationships to compete — and win — at a much larger scale. With a senior team carrying institutional pedigree from some of the largest names in financial services, the firm has built a reputation as a best-in-class specialist in convertible bonds and alternative investments, and has been repeatedly recognized by Barron's, Forbes, Shook Research, and Pensions & Investments as a top RIA firm. They consistently outperform larger competitors while maintaining the agility, culture, and entrepreneurial energy of a true boutique — profitable, growing, and fully independent with no plans to be acquired. Position Our client is seeking a seasoned Regional Director (External Wholesaler) to establish and grow coverage across the western territory — west of the Mississippi — with priority markets in Dallas, Austin, and Chicago. This is a greenfield opportunity at a firm whose investment performance speaks for itself but whose brand presence in this region remains underpenetrated, creating significant upside for the right candidate. The ideal candidate is a proven external wholesaler — someone who has been in the seat, knows how to build from scratch, and has the hunger and entrepreneurial drive to run a territory like their own business. The firm does not micromanage on call counts or meeting quotas; they set clear production expectations and get out of the way. In return, they offer a compensation structure with meaningful base, competitive commission rates, and accelerator bonuses for top performance. Responsibilities Drive new asset flows across the western territory with priority focus on Dallas, Austin, and Chicago; secondary markets include LA and Las Vegas Build and cultivate relationships with wirehouse financial advisors, independent RIAs, family offices, and institutional allocators such as Endowments & Foundations Articulate convertible bond and alternative investment strategies with depth, conviction, and credibility Develop and execute a territory business plan — own your book end-to-end Partner with an internal wholesaler for coverage and follow-up support Represent the firm at conferences, industry events, and client meetings to grow brand presence in underserved markets Collaborate directly with portfolio managers and senior leadership to bring the investment story to market Sell across multiple product wrappers including ETFs, mutual funds, SMAs, and hedge funds Qualifications 8+ years of external wholesaling experience in asset management Convertible bond experience; fixed income background required at minimum Experience selling convertible strategies, hybrid securities, or alternative investments to advisors or institutions strongly preferred Deep existing relationships with RIAs, wirehouse advisors and/or IDB channels west of the Mississippi Series 7 and 63 (or 66) required Clean U-4 Located in or near a priority market: Dallas, Austin, or Chicago preferred; however, open to other or new territories for the right candidate Personal Skills & Attributes Entrepreneurial and self-directed — thrives without micromanagement and treats the territory like their own business Hungry and driven despite experience — not coasting, still competing Relationship-first mindset with the ability to open doors and build trust from scratch Strong communicator who can translate complex investment strategies into compelling conversations Collaborative and low-ego — comfortable working closely with a small, tight-knit senior team High integrity and long-term oriented — this firm values relationships over transactions Comfortable in a boutique environment where visibility is high and impact is direct