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 AM – 8:45 AM Breakfast – Registration – Meet & Greet
8:45 AM – 11:45 AM Speakers
11:45 AM – 12:30 PM Lunch
12:30 PM – 2:30 PM Breakout Sessions
2:30 PM – 3:00 PM Break
3:00 PM – 4:30PM Speakers
4:30 PM – 6:00 PM Networking Cocktails
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.
ROBERT MATTHEWS, PRESIDENT AND CHIEF EXECUTIVE OFFICER
Since joining Fieldpoint Private in 2010, Mr. Matthews has led the firm to revenue growth of nearly 400% and status as one of the most-watched new players in wealth management. Matthews has over 30 years of experience in the wealth management industry. Prior to joining Fieldpoint Private, he led Citigroup’s Global Wealth Advisory Services, where he was responsible for a $120 billion balance sheet and served as a member of the firm’s Executive Committee. There, he oversaw a global team of thousands of professionals on four continents charged with building the firm’s wealth management services offering and leading the transition of the firm’s advisors toward a financial planning-based operating model that emphasized an integrated strategic thought process on the client’s entire financial picture, over purely transactional brokerage and banking.
His operating responsibilities included Global Lending, Global Wealth Planning, Financial Planning Services, Executive Financial Services, Domestic and International Trust and Middle Market Investment Banking. He introduced Citi Family Office, the firm’s innovative offering for ultra-high-net-worth clients, and under his leadership it grew to be one of the world’s largest ultra-high-net-worth organizations. During Mr. Matthews’ tenure, Citigroup’s wealth management offering was judged by Institutional Investor’s wealth management journal to be the most outstanding in the industry five times. Prior to his Global Wealth Advisory Services role, Mr. Matthews served in a series of positions for Smith Barney, including Divisional Manager for the Northeast Division, Regional Director for New England, and Branch Office Manager. He began his career as a Financial Advisor in 1981.
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
CLOUSE DUNN, LLP
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 inAmerica 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.
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.
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.
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.
JEFF GONYO, DIVISIONAL PRESIDENT
STEWARD PARTNERS GLOVAL ADVISORY
Jeffrey C. Gonyo serves as Divisional President, a Wealth Manager, and is a Founding Partner at Steward Partners Global Advisory. He has been a partner at Steward for over 5 years and has more than 25 years of experience in the financial services industry. Prior to Steward Partners, Jeff held the role of Senior Vice President of Wealth Management and Branch Manager for Morgan Stanley.
He began his career with Merrill Lynch in 1993 as a Financial Advisor in Albany, NY. In 2003, Jeff was promoted into management, with Smith Barney in Albany, NY. In 2007, he was promoted once again to the role of Branch Manager in the Greater DC Metro area.
Jeff, has managed and built several branch office locations during his tenure as a Branch Manager and Divisional President. In this time, he has been recognized for various accomplishments in the areas of Business Development, Diversity and Inclusion, Banking and Lending and Community Service.
Jeff currently serves on the Board for Montgomery County Public Schools Educational Foundation and has served in various community volunteer programs over the years with his 3 boys, Michael, Nicholas and Jeffrey II.
He attended Siena College, where he played ice hockey and received a Bachelor’s of Science in Finance with a concentration in Accounting. Jeff lives and spends his time between the metro DC area and Tampa, Fl.
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.
DAVID GEHN, PARTNER
ELLENOFF, GROSSMAN & SCHOLE LLP
Since 1992, Mr. Gehn has concentrated his law practice in the financial services industry. Early in his career, Mr. Gehn filed over 10 cases against the self-professed Wolf of Wall Street, Jordan Belfort, and Stratton Oakmont, which settled for in the aggregate millions of dollars. Mr. Gehn also filed other well publicized cases in the 1990’s, including a civil action against Marion “Suge” Knight, former owner of Death Row Records, based upon an assault at a Death Row Christmas party. In December 2009, he was one of three attorneys that filed a federal class action against, Fairfield Greenwich Limited, et al., the largest Bernard L. Madoff Investment Securities “feeder fund”, which settled for an amount in excess of $250 million. From 2014-2016, Mr. Gehn was a litigation partner at Gusrae Kaplan Nusbaum, PLLC, which was recognized by BTI Consulting Group as an “honor roll” member on its list of the nation’s 50 “most feared” litigation law firms.
Overall, Mr. Gehn has over 85 reported FINRA arbitration awards, which include 7 matters in which he has obtained an expungement. He also litigates in federal and state courts including the recent federal case filed in the Eastern District of Michigan styled, Morgan Stanley v. O’Neill, et. al., where Morgan Stanley withdrew its application for a preliminary injunction. He has also represented financial professionals in multiple SEC, FINRA, and CFP investigations and enforcement proceedings.
Mr. Gehn also advised hundreds of teams of financial professionals concerning the transition of their financial practice, as well as with U4/U5 licensing issues, non-solicit/non-compete issues, Protocol compliance, and FINRA and State inquiries. He is familiar with the traditional, independent, RIA, and bank brokerage models.
Mr. Gehn also has an active practice representing professional athletes. His clients include players drafted in the 2018 NFL Draft (including a top 50 overall selection), 2017 NFL Draft (including a top 15 selection), and the 2016 NFL Draft (including a top 10 selection), as well as a top 5 selection in the 2010 NBA Draft, as well as several other active and retired players.