Catherine Chen

Catherine Chen

Managing Director and Financial Advisor, SRI Wealth Management Group, RBC Wealth Management

Catherine has significant corporate finance and institutional advisory experience and has been in the investment field since 1993. Before joining RBC, she was part of the SRI Wealth Management Group at Piper Jaffray for five years where she advised foundations, non-profit organizations and high net worth individuals on ESG investments. Prior to Piper Jaffray, Catherine worked with J.P. Morgan for almost seven years as an investment banker covering the healthcare, natural resources and technology sectors. During her tenure at J.P. Morgan, Catherine advised clients on over $5 billion of M&A, project finance and equity and fixed income underwriting transactions. She was based in the New York, San Francisco, and Hong Kong offices, and has expertise in advising multi-national companies. Prior to that, she was an analyst in the International Banking Department of Chinatrust Commercial Bank in Taiwan, part of one of the largest conglomerates in Taiwan. She performed investment analysis for a variety of project finance transactions and assisted in establishing its Hong Kong office.

 

Catherine is a Board Member of the East Bay Community Foundation, former Advisory Board member of the Women’s Funding Network, and former Board member of the Children’s Council of San Francisco. She is a graduate of U.C. Berkeley and has a BA in both Economics and History where she is a Cal Alumni Scholar. She is also a Certified Investment Management Analyst (CIMA®), a designation she earned from the Wharton School at the University of Pennsylvania and is a member of IMCA (Investment Management Consultants Association). She has passed the Series 7 and Series 66 exams, and holds a California insurance license. Catherine was recognized as a 2019 Financial Times Top 400 Financial Advisor and as a 2020 and 2021 Forbes/SHOOK Best in State Wealth Advisor.   She also won the Forbes/SHOOK Working Mothers Award in 2019 and 2020.   Catherine is a member of the Social Investment Forum. She has sat on the firm’s Investment Advisory Group Council, is a member of the firm’s Senior Consulting Group, and is part of the Chairman’s Council in the firm (which is a distinction bestowed on high producing advisors in the firm). She is also a proud parent to two kids with her husband.[1]

 

[1] The Forbes ranking of America’s Top Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of seven years of experience and weighing factors like revenue trends, assets under management, compliance records, industry experience and best practices learned through telephone and in-person interviews. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.

Source: Forbes.com (January 2021). Forbes Best-in-State Wealth Advisors ranking was developed by SHOOK Research and is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes: client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: assets under management and revenue generated for their fi rms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research, LLC and not indicative of future performance or representative of any one client’s experience. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. The financial advisor does not pay a fee to be considered for or to receive this award. This award does not evaluate the quality of services provided to clients. This is not indicative of this financial advisor’s future performance. For more information: www.SHOOKresearch.com.

 

[1] The Forbes ranking of America’s Top Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of seven years of experience and weighing factors like revenue trends, assets under management, compliance records, industry experience and best practices learned through telephone and in-person interviews. Portfolio performance is not a criteria due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.

Source: Forbes.com (January 2021). Forbes Best-in-State Wealth Advisors ranking was developed by SHOOK Research and is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes: client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: assets under management and revenue generated for their fi rms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research, LLC and not indicative of future performance or representative of any one client’s experience. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. The financial advisor does not pay a fee to be considered for or to receive this award. This award does not evaluate the quality of services provided to clients. This is not indicative of this financial advisor’s future performance. For more information: www.SHOOKresearch.com.

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