THIS SUMMIT FOR FINANCIAL ADVISORS
will address the most talked-about issues affecting advisors’ books of business, including Broker Protocol developments, the impending SEC Best-Interest rules, and setting your business and clients up for success. We will look at how technology is fueling the rapid growth of the independent movement and of robo-like competition. We will address universal issues, such as advising clients in turbulent times, analyzing best practices for managing your team, growing through acquisition and extracting equity from your practice as you approach retirement.
|8:00-8:30||Breakfast – Registration – Meet & Greet|
|8:35-8:40||Mindy Diamond, Founder, President and CEO at Diamond Consultants|
|8:40-9:05||Welcome and opening remarks by Tony Sirianni, Publisher & CEO of AdvisorHub|
|9:05-9:35||Elizabeth Koehler, Managing Director at BlackRock, Advisor Insights|
|9:35-10:05||David Canter, EVP Fidelity Clearing & Custody Solutions|
|10:05-10:35||Dani Fava, Director of Innovation, TD Ameritrade Institutional|
|10:35-11:05||Mason Braswell, AdvisorHub Managing Editor interviews Manish Dave, SVP Business Development, Ameriprise Financial|
|11:05-11:15||Jordan Schneider, VP and Regional Director, Envestnet|
|12:15-1:15||Breakout Session #1: Transition / Succession Planning, Valuation & Acquisition|
|1:15-2:15||Breakout Session #2: Succession Planning, Valuation & Acquisition / Transition|
|2:15-2:30||Break & Refreshments|
|2:30-3:00||Richard Whitworth, Head of Business Consulting, Cetera Financial Group|
|3:00-3:15||Paul Dietrich, CEO Fairfax Global Markets LLC|
|3:15-3:45||Rogge Dunn, Managing Partner – Rogge Dunn Group|
|3:45-4:30||Tony Sirianni – Publisher & CEO of AdvisorHub, Shirl Penney – President & CEO, Dynasty Financial Partners & Brian Hamburger – Founder, MarketCounsel & Hamburger Law Firm|
SHIRL PENNEY, PRESIDENT AND CHIEF EXECUTIVE OFFICER
DYNASTY FINANCIAL PARTNERS
Shirl Penney is the founder of Dynasty Financial Partners. He currently serves as President and CEO of Dynasty and is a member of the Board of Directors. Dynasty is a leading integrated platform services company for independent wealth management advisory firms. Dynasty has received many industry awards and recognition for its impact on the wealth management industry since its launch in 2010. Shirl is a frequent speaker at industry events, often quoted in various financial publications, and was named to Investment News’ 2015 list of 40 most influential people in wealth management under the age of 40. Shirl was also named to the 2016 inaugural list of Icons and Innovators in wealth management by Investment News.
Prior to Dynasty, Shirl worked at Citi Smith Barney in various leadership roles including director of private wealth management and head of executive financial services.
He is from Eastport, Maine, a graduate of Bates College in Lewiston, Maine, and currently lives in Saratoga Springs, New York with his wife Mary Ann and his two daughters. Shirl and his wife are active in various charitable causes with a focus on education, poverty, ALS, and veteran services.
Shirl is a Fellow of the inaugural class of the Finance Leaders Fellowship and a member of the Aspen Global Leadership Network.
BRIAN HAMBURGER, FOUNDER
MARKET COUNSEL | HAMBURGER LAW FIRM
Brian is the Founder, President and CEO of MarketCounsel, the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial independent investment advisers. He is also the Founder and Managing Member of the Hamburger Law Firm, whose expertise extends to virtually all areas of the investment and securities industry as well as entrepreneurial, firm structure and governance and employment matters. Together, MarketCounsel and Hamburger Law Firm represent an unparalleled combination of exceptionally incisive counsel and uncompromising service.
Brian is the architect behind many of the industry’s largest and most successful transitions to independence as well as a staunch and influential advocate for the independent investment adviser community. For the past 19 years, he has served at the helm of both MarketCounsel and the Hamburger Law Firm. Accordingly, Wealth Management magazine has named Brian as one of the top thought leaders in the sector, noting that “Over the past decade, Hamburger has been the architect behind almost all of the highest-profile breakaway deals in the industry, helping advisors navigate the legal thicket of transitioning away from brokerages and into independent business models. As such he’s been a central, but often unheralded, force in the evolution of the RIA industry.” Previously, REP. Magazine featured Brian on its cover as “The Engineer” of the RIA evolution.
Brian is regularly called upon to speak at national conferences, not to mention MarketCounsel’s annual Summit, a gathering of the industry’s top advisers and thought leaders. As an advocate for the investment adviser community, he has delivered keynote addresses to the country’s state securities regulators and met with SEC Commissioners and members of Congress to influence proposed regulation and legislation. In addition to being a highly sought after expert speaker for myriad industry events, he has also been a regular contributor to CNBC as well as featured in and quoted by the Wall Street Journal, the New York Times, Bloomberg BusinessWeek, Dow Jones, Reuters and every major wealth management publication.
ROGGE DUNN, MANAGING PARTNER
ROGGE DUNN GROUP
Rogge Dunn represents wirehouses, FAs, RIAs and entrepreneurs in financial industry and private equity matters. He handles regulatory issues, wrongful discharge, moving teams, non-competes, partnership dissolutions and prom note defense. Dunn is Board Certified in Civil Trial Law and has taken cases all the way to jury verdicts and arbitration awards in seven states and eight Texas cities. Dunn has won more than $2 billion in judgments and settlements for his clients, including million dollar jury verdicts or arbitration awards in California, Texas, Louisiana and Arkansas. In 2018 he was honored as one of the top 100 attorneys in Texas by Thomson Reuters. He has been recognized multiple times in The Best Lawyers in America by Woodward White. Dunn’s legal opinions and cases have been reported on the CBS Evening News, The Wall Street Journal, The New York Times, Anderson Cooper 360, Bloomberg, U.S. News, World Report, the Today Show, CNN, CBS This Morning and USA Today.
MANISH DAVE, SENIOR VP BUSINESS DEVELOPMENT, EXPERIENCED ADVISOR RECRUITING
Manish leads Experienced Advisor Recruiting at Ameriprise Financial in its mission to become the destination of choice for talented experienced advisors. Since joining Ameriprise in late 2006, Manish has spearheaded several improvements in the firm’s overall platform, resulting in increased levels of retention and productivity, and significant growth in experienced advisor and practice acquisition activities.
Previously, Manish was senior vice president at Bank of America Investment Services, where he also served as vice president of strategic planning. He played a major role in helping to expand the company’s advisor force from 750 to nearly 2,000 over three years, contributing to an increase of $20 billion in fee-based assets under management. Manish also played a major role in hiring new managers and senior-level field leaders.
A native of Youngstown, Ohio, and Greenville, S.C., Manish holds a bachelor’s degree in Business Administration with a concentration in Finance, and a Political Science degree from Emory University.
DAVID CANTER, EXECUTIVE VICE PRESIDENT AND HEAD OF RIA SEGMENT
FIDELITY CLEARING & CUSTODY SOLUTIONS
David Canter is executive vice president and head of the registered investment advisor (RIA) segment for Fidelity Clearing & Custody Solutions, the business that offers a comprehensive clearing and custody platform, trading capabilities and business process and operations consulting to banks, broker-dealers, registered investment advisors, professional asset managers, strategic acquirers and retirement advisors and recordkeepers. Fidelity Investments is a diversified financial services firm that makes financial expertise broadly accessible to people investing their life savings, businesses managing their employee benefits and advisors investing their clients’ money. Since 1946, Fidelity has been helping people live the lives they want through its customer centered approach, innovative technology and investment solutions.
Prior to his current role, Mr. Canter served as executive vice president of Practice Management and Consulting for Fidelity Clearing & Custody Solutions. He assumed this position in August 2010 and was responsible for leading the development of a comprehensive Practice Management program structured around helping advisors accelerate growth, streamline their operations and manage risk.
Previously with Fidelity, Mr. Canter served as executive vice president and chief operating officer for Fidelity Institutional Wealth Services (IWS) beginning in September 2009. In this role, he was responsible for the oversight, efficiency and effectiveness of client-related operational processes. He was also the business lead coordinating legal, risk and compliance activities.
Prior to joining Fidelity in 2009, Mr. Canter managed certain operational functions and vendor relationships and served as chief legal and compliance officer for Post Advisory Group, an institutional investment advisor in the high yield realm. During an eight year tenure with Charles Schwab & Co. beginning in 2000, Mr. Canter held various management positions of increasing responsibility within the firm’s RIA business, including a corporate counsel role; vice president, Schwab Institutional Trading & Operations (SITO); and head counsel to the Schwab Institutional business. Previously, he held positions with the Quellos Group, an investment adviser focused on the fund-of-funds business, and the New York Stock Exchange Division of Enforcement.
Mr. Canter received his bachelor of arts degree in political science from the University of Wisconsin in 1990 and his juris doctorate from the University of Baltimore School of Law in 1993. He currently holds his FINRA Series 24 license and is a member of the State Bar of California.
RICHARD WHITWORTH, AIF®, HEAD OF BUSINESS CONSULTING
CETERA FINANCIAL GROUP
As Head of Cetera Financial Group’s Business Consulting organization, Mr. Whitworth manages a team of business consultants and subject matter experts, providing the strategic and tactical framework to assist the team in reaching its goal of helping Cetera’s financial advisors with their advice‐centric growth and productivity objectives through the industry award‐winning1 Pentameter® process.
Most recently, Mr. Whitworth had primary responsibility for the strategy and execution of TD Ameritrade Institutional’s Practice Management offering. Together with his team, Mr. Whitworth directed the development of tools and resources for independent financial advisors and registered investment advisers. Consulting on such diverse topics as marketing and business development, operations, technology, client service, risk management, succession planning and human capital management, Mr. Whitworth provided innovative solutions for advisors to help create long‐term sustainable business value.
Prior to joining TD Ameritrade Institutional, Mr. Whitworth held numerous positions with LPL Financial in their Advisory Consulting Services and Business Consulting groups, where he worked with independent financial advisors nationwide to build better advisory practices. He began his career in New York City performing international equity research at I/B/E/S International (now Thomson Reuters) and conducting asset allocation research with Morgan Stanley’s Private Wealth Management group.
Mr. Whitworth is frequently quoted in industry publications and speaks regularly at industry conferences. He received his Bachelor of Science in Finance from the University of Delaware with minors in Spanish, Economics and International Business, and holds an International MBA with Honors from IE Business School in Madrid, Spain. Mr. Whitworth is also a Cum Laude graduate of The Peddie School in Hightstown, NJ. Recently, he obtained the Accredited Investment Fiduciary (AIF®) designation from fi360. In addition, he sits on the Advisory Board of the San Diego Financial Literacy Center, a non‐profit dedicated to providing financial education to local students, low income and military families in the San Diego area.
1 Pentameter won Wealthmanagement.com’s practice management platform of the year for 2015, and the 2016 Bank Insurance & Securities Association (BISA) Technology Innovation Award.
TONY SIRIANNI, PUBLISHER AND CEO
Tony Sirianni is a twenty five year financial services industry veteran and the Publisher/Owner of AdvisorHub, one of the nation’s leading Financial Services news websites.
He is the former Managing Partner of Sirianni Strategy Group, President of Steward Partners Consulting Solutions and founding partner of Steward Partners Holdings (SPH), and the Founder/former CEO of Washington Wealth Management (WWM), two of the fastest growing RIAs in history.
He has been roundly acknowledged by the financial press as an innovator and thought leader in the emerging post-wirehouse advisor world. Tony helped launch the game changing SPH, and built WWM from business proposal to 7 branches and a billion dollars in recruited assets, in under two years. He is still a major shareholder in both organizations.
He was an Executive Director and Complex Manager at Morgan Stanley, Smith Barney, and Legg Mason, where he managed some of the largest producers in the United States, was always among the top recruiters in each firm, and drove top line growth through his individualized Advisor Business Planning model. He was a presenter and speaker at each firms Advisor Conferences, and at hundreds of client and Advisor gatherings across the Country.
He ran a bank brokerage program at Crestar bank in its Richmond headquarters, was Director of Annuities for Mass Mutual Insurance in Va., ran an internal wholesaling team for Oppenheimer Funds at the World Trade Center, and was a broker at Merrill Lynch on 5th ave. in Manhattan.
Tony has done extensive business planning with hundreds of Advisor teams and institutions. He has won numerous awards for production and sales management. He has been a consultant to some of the largest and best thought of firms in the brokerage industry. He is a frequent contributor to the press, where his opinion is sought on multiple financial topics, and writes many articles for publication on Advisor issues. He has JD, MA, and BS degrees.
JORDAN SCHNEIDER, VICE PRESIDENT AND REGIONAL MANAGER
Jordan Schneider, CIMA® is a VP and Regional Director with Envestnet. Jordan has been with Envestnet since 2017, and has been in the financial services industry for over 10 years working with advisors. In his role, Jordan is the lead Envestnet relationship manager for independent financial advisors and coordinates Envestnet resources to provide clients with a thorough understanding of the capabilities of the platform. His areas of expertise include:
- Maintaining and scaling a fee-based practice
- Leveraging robust platform tools including research, overlay services, and reporting
- Providing investment management consultations for product and manager insight
MINDY DIAMOND, FOUNDER, PRESIDENT & CEO
Mindy started Diamond Consultants in 1998 with nothing more than a pad, pen and phone, working from the bedroom floor in her home. The business became a “third child” that she nurtured and developed into one of the leading consulting and recruiting firms for financial advisors in the country.
Drawing from her own entrepreneurial experience, Mindy developed an organization that employs a unique relationship-driven approach that helps individuals and organizations achieve what she calls their “Best Business Life.” By counseling advisors on how to ask the right questions and “dig deep,” she helps them look at all of the opportunities available to find the one that allows them to reach their full potential. That is, to best serve their clients and live a life that is in sync with their own beliefs and values.
Knowing full well that no single solution works for every advisor or every team, her personal, consultative style has been described as “selfless and objective,” and has transformed many careers in the advisory world. So when the industry’s most sophisticated advisors and teams are surveying the landscape, they call upon Mindy, who has guided some of the biggest and brightest to new levels of success. And when multi-generational teams with complex businesses are ready to outline the best path for the next phase of their business, they rely upon Mindy’s vast experience and understanding of how to manage the often disparate sensibilities of all parties involved.
Considered by the industry as one of the top thought-leaders, she is regularly quoted by national media outlets such as the Wall Street Journal, New York Times and CNBC, as well as industry publications including On Wall Street, Financial Advisor magazine, Investment News, and RIABiz. In addition to her weekly blog posts for financial advisors and active social media presence, she has shared her expertise on recruiting and career trends since 2004 in a monthly column for WealthManagement.com. Her appearance schedule includes webinars and keynotes at many of the industry’s top events, such as RIA Institute Forums, Pershing’s INSITE, Fidelity Executive Forum, InvestmentNews Roundtable, Fidelity Investments Practice Management and Recruiters Summit, MarketCounsel Summit, InvestinWomen, and Women Advisors Forum.
Mindy recently released an educational podcast series for financial advisors considering the independent model. “Mindy Diamond on Independence” is available on this website, as well as iTunes, Google Play and other media outlets.
Among her accolades, she was named by NJBIZ magazine as one of New Jersey’s Best 50 Women in Business.
The 1984 graduate from the George Washington University holds a Bachelor of Accountancy degree.
Mindy strives to “unplug” from Diamond Consultants when she can (“this is the one thing I really need to work on”) and live her own Best Business Life, which includes spending quality time with her family, travel, golf, reading and exercise. A lifelong learner, Mindy’s passion for excellence and desire to help others are qualities that many say are not learned, just part of her DNA.
She shares more of her thoughts on living a life dedicated to personal growth and congruence in her Best Business Life blog, as well as on Twitter and Facebook.
DANI FAVA, DIRECTOR OF INNOVATION
TD AMERITRADE INSTITUTIONAL
In her role as the Director of Innovation at TD Ameritrade Institutional, Dani oversees the development of advanced investment management and technology tools designed to help independent registered investment advisors compete and thrive in a world of accelerating change. Having managed the launch of TD Ameritrade’s award winning iRebal on Veo1 portfolio rebalancing technology, Dani rolled out the award-winning2 Model Market Center, TD Ameritrade Institutional’ s innovative approach to bringing outsourced investment management capabilities to RIAs.
Dani is also responsible for implementing voice-first capabilities at TD Ameritrade, which will employ conversational AI that can communicate with advisors. Dani joined TD Ameritrade in 2012 and puts more than 15 years of wealth management knowledge to work. Dani was recently named one of the top 16 Women in Wealthtech, and one of the top influencers in Fintech and AI4. She loves to talk about big data, finserv start-ups, artificial intelligence, CrossFit and basketball. Follow Dani on Twitter @DaniFava_TDA, for the latest in wealth tech.
1 Winner of WealthManagement.com 2015 Industry Award for Rebalancing. iRebal products and services are property of ThinkTech, Inc., an affiliate of TD Ameritrade, Inc.
2 Winner of WealthManagement.com 2018 Industry Award for Model Marketplaces. iRebal products and services are property of ThinkTech, Inc., an affiliate of TD Ameritrade, Inc.
3 Named 1 of 16 Top Women in Wealthtech by ThinkAdvisor
3 Named 1 of top influencers in Fintech by ThinkAdvisor
PAUL DIETRICH, CEO AND CHIEF INVESTMENT OFFICER
FAIRFAX GLOBAL MARKETS
Paul Dietrich is CEO and Chief Investment Officer of Fairfax Global Markets LLC (Fairfax).
Paul Dietrich was previously CEO and Chief Investment Officer of FOXHALL CAPITAL MANAGEMENT INC. from 1999 to 2012.
FAIRFAX currently manages investments for private investors, retirement funds and private institutions throughout the United States.
He is an international corporate attorney and was formerly associated with two Washington, DC law firms, SQUIRE, SANDERS & DEMPSEY (now SQUIRE PATTON BOGGS), and JONES DAY. As an attorney, he has been an advisor on privatization and economic development issues to the World Bank, as well as several governments in Asia, Eastern Europe and the former Soviet Union.
Before entering the practice of law, he served as Publisher and Editor in Chief of SATURDAY REVIEW, one of the United States’ oldest cultural magazines. He also served for four years as an elected State Representative (Republican from St. Louis County) in the Missouri General Assembly.
Mr. Dietrich has been a frequent on-air commentator for CNBC, Fox Business News, CNN and Bloomberg TV. He has also been a frequent contributor to the editorial pages of the WALL STREET JOURNAL, the WASHINGTON POST, the LONDON TIMES, the INTERNATIONAL HERALD TRIBUNE, the SINGAPORE TIMES and the SOUTH CHINA MORNING POST. From 1994 to 1997, he was editor of both the REUTERS EMERGING MARKETS GUIDE and the REUTERS ASIAN STOCK SOURCEBOOK.
He is also President of the INSTITUTE FOR INTERNATIONAL HEALTH AND DEVELOPMENT (founded in 1982 by Nobel Peace Prize Laureate, David Morse). He has served as a member of the Board of Trustees of the CATHOLIC UNIVERSITY OF AMERICA in Washington, DC, was a member of the NATIONAL ADVISORY BOARD OF HARVARD UNIVERSITY’S SCHOOL OF PUBLIC HEALTH’S AIDS INSTITUTE and a member of the ADVISORY GROUP ON INTERNATIONAL HEALTH SYSTEMS ASSESSMENT of the NEW YORK ACADEMY OF SCIENCES. He has been a member of the Advisory Board of the JOHN TEMPLETON FOUNDATION. He has also served as a member of the Development Committee of the PAN AMERICAN HEALTH ORGANIZATION (PAHO), and as a member of the Board of Directors of the U.S. CONGRESSIONAL HUMAN RIGHTS FOUNDATION and the AMERICAN-EUROPEAN COMMUNITY ASSOCIATION. He is also the Editor of the award winning book, A GUIDE TO AMERICAN FOREIGN POLICY (1982) and the author of the forthcoming book, THE ULTIMATE BABY BOOMER’S GUIDE TO RETIREMENT INVESTING (TO BE PUBLISHED IN LATE 2019).
ELIZABETH KOEHLER, CFA, MANAGING DIRECTOR
BLACKROCK US WEALTH ADVISORY ADVISOR PRACTICE MANAGEMENT TEAM
Elizabeth Koehler, CFA, Managing Director, is Head of BlackRock’s US Wealth Advisory (USWA) Advisor Practice Management Team. She and her team partner with financial advisors to help them grow their businesses and build more durable client relationships. Her team develops and delivers educational programs for advisors and investors, focused on practice management, portfolio construction and capital market insights.
Prior to her current role, Elizabeth led Multi-Asset Solutions product strategy for USWA, within the Investment and Portfolio Solutions Group. She was responsible for product management, business development and strategy for BlackRock’s Multi-Asset Solutions, including mutual funds and model portfolios. She joined BlackRock in 2003.
Elizabeth graduated from the McIntire School of Commerce at the University of Virginia with a B.S. in Business. She became a CFA charter holder in 2008. Elizabeth lives in Robbinsville NJ with her husband and two sons, and serves on the board of non-profit organization Arm in Arm which provides families in Mercer County NJ with food and financial support.
ROB BARTENSTEIN, CEO
KESTRA PRIVATE WEALTH SERVICES
As the chief executive officer of Kestra Private Wealth Services, Rob is dedicated to providing experienced advisors with the services and support they need to start their own successful, independent businesses.
He began his career in financial services as a private banker and acted in that capacity for three firms, Donaldson, Lufkin & Jenrette, its successor Credit Suisse First Boston, and Merrill Lynch, establishing private banking offices for Credit Suisse and Merrill Lynch in the Washington, D.C. market. In 2008, he joined Morgan Stanley in an executive role to lead business development in California, Hawaii, and Nevada. In 2011, he left Morgan Stanley to help establish Washington Wealth Management, which rebranded as Kestra Private Wealth Services in 2016. Rob is a regular contributor to CNBC, Fox Business, and Bloomberg, as well as numerous industry publications.
A U.S. Army veteran, Rob graduated from Mary Washington College, magna cum laude. He holds a Juris Doctor from George Mason University School of Law.
CRAIG PIRTLE, MANAGING DIRECTOR
B. RILEY WEALTH MANAGEMENT
Craig Pirtle is a 25-year industry veteran who currently serves as Managing Director of B. Riley Wealth Management.
Prior to assuming his current role, Mr. Pirtle was the Founder and President of Nearside Asset Management, where he provided strategic consulting and business development services to top asset managers and financial firms from 2010-2018. Earlier in his career, Mr. Pirtle was part of Morgan Stanley’s wealth management group and served as First Vice President at Wells Fargo. He also served as President of Orbitex Financial Services from 1998-2003.
Mr. Pirtle is a veteran of the U.S. Army where he served active duty in the 2nd Infantry Division. Since 2004, Mr. Pirtle has served on the Board of Directors as a founding member of Wounded Warriors Family Support, which builds national programs to assist the needs of combat-wounded veterans and their families. Mr. Pirtle studied political science and international relations at both the University of Southern Maine and Kingston University-London.
FRANK LAROSA, CEO
ELITE CONSULTING PARTNERS
Frank LaRosa has achieved a position of prominence educating, guiding, and advising financial services professionals as a transition consultant and recruitment specialist. Informed by more than 20 years of financial services industry expertise, Frank offers a client-first approach to transition, putting into practice his extensive corporate and advisory wealth management business acumen. His insight and depth of resources give Elite Consulting Partners clients a decided advantage, insuring an optimally negotiated move that aligns with long-term business goals.
As one of the Nation’s top transition consultants, Frank knows first-hand how to guide you on your move, what challenges you may face, and how to ensure the best possible success at your new firm. He has worked with some of the nation’s most sophisticated advisors, and has earned a reputation for fighting hard for his clients to get them the best result possible. Each client’s personal success and fulfillment is of foremost important to Frank and he proudly puts his expertise, knowledge, and skillful judgment to work to exceed their expectations and achieve the transition they not only want but deserve.
CHRISTOPHER MONE, EVP – HEAD OF WEALTH MANAGEMENT
Christopher Mone is an Executive Vice President of Wedbush Securities. He serves as the head of the Wealth Management Division, member of the Presidents’ Executive Committee and the Management Committee of the firm. Wedbush Securities is one of the largest securities firms and investment banks with headquarters on the West Coast. Founded in 1955 and built on a culture of entrepreneurship and innovation, Wedbush remains an independent, family and employee owned fully diversified self-clearing financial services firm and true American success story. With over 25 years of experience in various leadership roles in the financial services industry, Chris joined the leadership team at Wedbush in 2019 to embark on a new chapter of growth.
In his role, Chris has overall leadership responsibility for the firm’s national network of Private Wealth Management branch offices, the Independent Franchise Owners network, the Asset Management and the Registered Investment Advisor divisions of the firm. Chris Lives in Southern California with his wife and four children is an active member of St. John Fisher Parish and several youth education organizations.
JIM GOLD, CEO
STEWARD PARTNERS GLOBAL ADVISORY
Jim Gold serves as CEO, is a Founding Partner, a Board Member, and a member of the Executive leadership team at Steward Partners Global Advisory. He has extensive experience in the financial services industry, having held several senior-level roles, most recently as Executive Director at Morgan Stanley. Prior to assuming his current role, Mr. Gold ran the Southern Connecticut Complex, headquartered in Greenwich CT. Mr. Gold spent 18 years with Smith Barney, beginning in 1995 as a Financial Advisor. He went on to hold numerous management positions at the firm, including National Training Officer, Assistant Branch Manager, Branch Manager, and Complex Manager. Mr. Gold received numerous accolades from the firm during his tenure, most recently he was recognized for his accomplishments in Diversity.
Mr. Gold supports numerous charitable organizations including: The American Heart Association, St. Jude’s Children’s Hospital, The Pan Mass Challenge, The Wounded Warrior Project, Wreaths Across America, The ASPCA, and The World Wildlife Fund
Mr. Gold attended Stonehill College. He currently lives in Northport, NY with his wife Elizabeth and their children Will, Conor, Kiera and Braedon.
RICHARD FRICK, MANAGING PARTNER/CEO
GLADSTONE WEALTH GROUP
Gladstone is a leading independent firm in the wealth management space built by advisors for advisors.
Prior to Gladstone, Richard was a Managing Director at Morgan Stanley working in various leadership roles including Regional Manager for Private Wealth Management in the Mid-Atlantic Region and in Complex Management running one of the largest businesses for the firm. He also spent ten years in senior leadership at Wells Fargo and its predecessor firms leading the NYC market. Prior to his leadership roles he began his carrier as a Financial Advisor at Salomon Smith Barney in Philadelphia.
RICHARD CALHOUN, CEO
LAIDLAW WEALTH MANAGEMENT
Mr. Calhoun is the Chief Executive Offer of Laidlaw Wealth Management – a wholly subsidiary of Laidlaw & Co. Laidlaw & Co. has a 177 year legacy of independent investment banking, securities brokerage, wealth and asset management focused on the needs of domestic and international companies, corporate entrepreneurs, institutions and private clients worldwide.
Previously Mr. Calhoun was the President of a Private Investment Boutique firm in MD/DC Metro market and prior to that was a Managing Director with Well Fargo Advisors Financial Network (FiNet), the Independent Advisor Channel of Wells Fargo Advisors. Mr. Calhoun has also held leadership roles with Smith Barney, Legg Mason. He began his career as a Financial Advisor with Merrill Lynch.
Mr. Calhoun at different times in his career has had responsibility for Practice Management, Business Development, Recruiting, Products & Services and M&A. In addition, he has been a Financial Advisor, Branch Manager, Regional Director and most recently President and equity partner of a private investment management company.
KIP R. CAFFEY, CEO
RESURGENT FINANCIAL ADVISORS
Kip Caffey is chief executive officer of Resurgent Financial Advisors. He is responsible for crafting and executing the firm’s strategy. Prior to founding Resurgent, Mr. Caffey was chief executive of Cary Street Partners, a financial advisory and investment banking firm. While chief executive, he implemented a strategy that increased financial advisory revenues at a compound annual growth rate over 25%. From 2004 to 2009, Mr. Caffey ran Cary Street’s investment banking practice.
From 1999 to 2004, Mr. Caffey was Senior Managing Director at SunTrust Robinson Humphrey and its predecessor, The Robinson-Humphrey Company, where he was co-head of the Corporate Finance Department. From 1981 to 1999, Mr. Caffey worked at J. C. Bradford & Co. in the Corporate Finance Department. He became a partner there in 1990.
Mr. Caffey served as a director of Caribou Coffee Company, Inc. from 2005 to 2013, its entire life as a public company, chairing both the compensation committee and the audit committee during his tenure.
Mr. Caffey holds degrees from the University of Virginia and the Harvard Business School.
MATT BAUM, PARTNER
ELLENOFF, GROSSMAN & SCHOLE LLP
Matthew B. Baum, Esq. is a Partner at Ellenoff Grossman & Schole LLP and focuses on securities and commercial litigation. Matt primarily represents financial industry participants, including broker-dealers, advisors, and investment advisory firms. In 2017, 2018, and 2019, Super Lawyers® selected Matt as a Rising Star.
Matt represents clients in customer and industry disputes, FINRA and SEC Enforcement proceedings and investigations, securities licensing issues, employment matters, transitions, arbitrations, and court actions. He has represented clients in over 100 FINRA arbitrations. Matt has litigated claims involving contracts, fiduciary duties, suitability, supervision, raiding, trade secrets, fraud, non-competition and non-solicitation restrictions, business torts, defamation, expungement, wrongful termination, negligence, and RICO.
He is also the host of RIAcast (WWW.RIACAST.COM), a podcast focused on the investment advisory community in which he has recorded episodes with top leaders and influencers in the RIA space.
Ellenoff Grossman & Schole LLP is a Manhattan based law firm of approximately 100 attorneys that is well-known for its corporate and securities practices. Since 2008, the firm has been one of the leading U.S. law firms involved in each of IPOs, SPACs, and Registered Directs/PIPEs.
KIMBERLY SANDERS, SENIOR VICE PRESIDENT, BUSINESS DEVELOPMENT
Kimberly, Senior Vice President, Business Development at LPL Financial, leads efforts to deliver a robust offering serving the unique needs of complex wirehouse advisors looking for a supported path to independence.
Prior to LPL, Kimberly served RIA clients and prospects at Schwab Advisor Services, providing business consulting guidance to support the custodian’s existing and potential clients. In her role, she spearheaded Schwab’s entree into consulting to the startup market, collaborating with C-suite clients to guide the development of profitability programs, strategies, and succession plans. As the Managing Director of Business Startup Consulting, Kimberly advised hundreds of financial advisors on making the transition to become independent advisors. Before that, Kimberly served as Business Development Manager for Agilent Technologies. As an internal expert on company-wide merger and acquisition strategies, she conducted analyses and due diligence to create valuation models and to define negotiation strategies.
Kimberly holds a Master of Business Administration in Finance from the W.P. Carey School of Business at Arizona State University and a Bachelor of Science in Business Administration and Finance from the University of Arizona.
GARY BENDER, VICE PRESIDENT, NATIONAL DIRECTOR OF RECRUITING
Gary joined Securities America in November of 2014 as Vice President, National Director of Recruiting. He is responsible for the daily management of the recruiting department and assisting the firm’s OSJs grow their businesses. Prior to Securities America, Gary was Senior Vice President of Acquisition and Retention for Woodbury Financial Services, part of the AIG’s Advisor Group network of broker dealers. Gary was also the Senior Vice President of Recruiting for Royal Alliance Associates and has over thirty five years of industry experience. He holds the Series 7, 63, and 24 licenses.
MICHAEL MAURER, MANAGING PARTNER
ARTEMIS PRIVATE CAPITAL PARTNERS
Michael is a 28-year industry veteran, and the managing partner of Artemis Private Capital Partners. He is a founder and creator of Steward Partners Global Advisors, which has recruited over $20b AUM/$120mm in Rev./120+ Advisors, and has 200 employees spanning 21 offices in just 5 years. He is a former Managing Director at Smith Barney and Morgan Stanley, and has managed branches for Merrill Lynch. At Artemis, Michael brings his experience creating Business Plans, Proformas/Economic Modeling, Company Names, Logos, Branding, Tag Lines, Operating Agreements, Corporate Structure, and Funding/Capital Structure creation to bear for clients interested in starting their own RIAs. He shows firms and C-suite leadership how to develop a “culture of caring”. His expertise in designing and executing upon disruptive models extends beyond SPGA and his Artemis clientele. In fact, the ground breaking platform he created for SPGA was later launched by Raymond James as The Enterprise Platform. Michael is a highly regarded industry thought leader, who is actively sought by CEOs and their Leadership Teams in Financial Services and Fintech, to advise on industry challenges.