PROFESSIONAL ACCOMPLISHMENTS
AWARDS
Five Star Wealth Manager award winner 2023, 2024
Chartered Financial Analyst (CFA)
Chartered Alternative Investment Analyst (CAIA)
Mr. Herzog has been deeply entrenched in the wealth, investment, risk, and technology management industries for over 15 years. Mr. Herzog has earned the Chartered Financial Analyst (CFA) and Chartered Alternative Investment Analyst (CAIA) designations. He has a bachelor’s degree in finance from Texas Christian University (earned in 2 years) and is a graduate of the South West Graduate School of Banking Program at Southern Methodist University where he earned first place in the BankCEO competition. He also holds the Series 7 and Series 63 licenses.
Mr. Herzog served as an investment research analyst and technology solutions architect at a large Registered Investment Advisor in Dallas, Texas (a $1 billion AUM) from 2006-2014 where he was responsible for investment policies, investment manager due diligence, portfolio management, and capital market return projections. Additionally, he was the architect and manager of the firm’s fully integrated SaaS solution of comprehensive performance reporting, portfolio rebalancing and trading, and customer relationship management systems.
Mr. Herzog served as a senior enterprise risk analyst with a focus on Model Risk Management at a large financial services holding company in Dallas, Texas ($13 billion AUM) from 2014-2016 where he worked to ensure that models were developed consistent with Model Risk Policy which included model development, testing, implementation, use, documentation and validation. These models included but were not limited to lending scoring models, interest rate risk shock models, and mortgage mark to market models.
Mr. Herzog served as the Chief Investment Officer of a Registered Investment Advisor in Dallas, Texas ($300 million AUM) from 2018-2020 where he managed the investment research team, trading desk, asset allocation and security models, and investment management technology platforms.