DDM features the industry's most influential voices on M&A, strategy, leadership and solutions for deal making
Mark Tibergien is the former Chief Executive Officer of Pershing Advisor Solutions, a BNY Mellon company. Pershing Advisor Solutions is one of the country’s leading custodians for registered investment advisors and family offices. Mark now works as a consultant, speaker or board member with other enterprises that are going through dynamic transformation
Cheryl Bicknell serves as a leader bringing more than a decade of experience in the industry to her role as chief operating officer and chief strategy officer for Mariner Wealth Advisors, a privately held, top-ranked* national advisory firm. She supports the CEO by developing, communicating and executing on strategic priorities for the firm. Cheryl works to ensure that decisions made regarding potential opportunities are in alignment with the firm’s enterprise-level goals. As part of that effort, Cheryl is integrally involved in the evaluation of more than 200 acquisition opportunities annually through her leadership of the firm’s Corporate Development and Strategy team. She is a member of the firm's executive committee and is charged with integrating back-office functions across departments to support the wealth advisors across the country who serve clients. Prior to her current role, Cheryl held the positions of chief of staff and chief compliance officer. Cheryl has a bachelor’s degree in finance from Arizona State University and a Juris Doctorate (J.D.) degree from the University of Kansas School of Law. She also has Master of Laws (LL.M) degree in taxation from the University of San Diego.
Claire is a Partner in the Chicago office and the Head of Corporate Development. She is also a member of Cerity Partners’ Executive Committee. Prior to joining Cerity Partners, Claire served as an Executive Committee member and client advisor for two wealth management firms. In these roles, Claire’s responsibilities included strategic planning, client development, and client advisory. Throughout her career, she has focused her leadership on providing wealth management services to affluent individuals, business owners, executives, and nonprofit organizations. Claire has served as a Member of the Henry Viscardi School Board of Trustees, an organization she remains very passionate about, and has been involved with several other philanthropic organizations. Claire received a Bachelors of Arts from Trinity College and a Masters of Business Administration from Stony Brook University. She is a member of Vistage International.
Megan Carpenter is CEO and Co-Founder of FiComm Partners, an award-winning agency for RIA firms and financial advisors. FiComm exists to expand the impact of financial advice by leading human-centered business change through New Skool marketing, PR, and advisor marketing education. Their agile and innovative approach have earned them a seat in ThinkAdvisors Luminaries Class of 2021, recognition for 2021 Digital Campaign of the Year by WealthManagement.com, and the honor of top-4 Industry Disruptor in 2020 by WealthManagement.com. FiComm’s services allow advisors to lead with authenticity, target their focus and drive to commercial success. Included in Investment News 40 Under 40 notable list, Meg’s expertise spans over 15 years of helping RIA firms and advisors connect, communicate, and engage effectively with their target audiences. Her passion to promote the industry is demonstrated through her volunteer involvement with the CFP Board Center for Financial Planning Workforce Development Advisory Group, and the Foundation for Financial Planning. She is also part of the Pledge 1% global movement, having pledged 1% of personal equity, profits, time, and product to these industry non-profits. Megan began her career at John Hancock Financial Network before launching her own business, Caritative Wealth Consulting, at the age of 29. Megan merged her consulting business into her second business venture, FiComm Partners in 2014.
Liz is co-founder and chief commercial officer for F2 Strategy where she leads all brand strategy, digital marketing, advertising, social media, content and PR for the organization. She brings almost 20 years of experience working with some of the most well-known global brands in the HNW and UHNW space such as Wells Fargo Private Bank, Abbott Downing, U.S. Bank and BNP Paribas. Liz is a frequent contributor to wealthmanagement.com, webinar participant around WealthTech digital marketing and Chief member, the only organization specifically designed for senior women leaders to strengthen their leadership journey, cross-pollinate ideas across industries, and effect change from the top down. She is particularly passionate about creating a company culture of well-being and supporting other women in the WealthTech and Fintech industries. Liz is based in Santa Cruz with her husband and two young sons.
Milton Berlinski co-founded Reverence Capital in June 2013 after concluding a 26-year career at Goldman Sachs, which he joined in 1986 and where he served as a founding member of the Financial Institutions Group in Investment Banking, focusing on banks, consumer and commercial finance companies, asset management, insurance and capital markets. He also served as Head of Strategy and Corporate Development in the period after Goldman Sachs’ IPO, assisting the Executive Office and division leaders to create and execute a strategy to build out Goldman Sachs’ global footprint. For the final 10 years of his Goldman Sachs tenure, Mr. Berlinski had global responsibility for coverage of the firm’s financial sponsor and hedge fund clients, overseeing a dramatic increase in revenue from the business and working alongside Goldman Sachs’ Merchant Banking team on co-investment opportunities in transactions involving the firm’s clients.
Susan Theder is the Chief Marketing and Experience Officer at FMG Suite and a member of the company’s Senior Leadership Team. Susan places an emphasis on the importance of customer-focused strategies that leverage data and technology to deliver personalized and customized experiences that WOW. She has a passion for helping financial professionals grow and market their businesses and is an active supporter of women and diversity initiatives.
As Group President, Envestnet Solutions and Co-Chief Investment Officer at Envestnet, Inc. (NYSE: ENV), Dana is responsible for wealth and asset management solutions across Envestnet's ecosystem, including its research, overlay, portfolio management, direct indexing, sustainable investing and retirement services as well as partnerships with exchanges and other wealth solutions providers. Dana is also a chair of Envestnet | PMC’s Investment Committee. Prior to joining Envestnet, Dana was most recently a Managing Director at Symmetry Partners, where she also served as President and a Portfolio Manager of Symmetry Panoramic Mutual Funds, the firm’s multi-factor family of funds.
In her 20+ year career, Stephanie has authored The Power of Practice Management (Bloomberg Press), written columns for Investment News and Financial Planning magazine as well as articles for Kitces.com, FA Magazine and Advisor Perspectives, has been named an Industry Influential, spoken at nearly every major conference and remains a highly sought-after speaker, business strategist and executive coach. She currently writes a monthly column for Investment News. She is also the founder of Limitless Advisor Coaching, now in its fifth successful year. In addition to her coaching work, she is a recognized industry thought leader and consults to various corporations, boards and private equity firms on trends and opportunities in the industry.
Jene Hoosier is Sanctuary Wealth’s Head of Platform Strategy. In this role, Jene continues to focus on building and delivering a fully integrated and connected platform to best serve our Partners and their clients. Her focus is to ensure Sanctuary continues to build and curate a platform where Advisors can access world class technology and solutions to best serve their clients.
Dan Seivert is the CEO and founder of ECHELON Partners – one of the leading investment banks and consulting firms to the wealth and investment management industries. Prior to starting ECHELON, Mr. Seivert was one of the initial principals of Lovell Minnick Partners, where he helped invest over $100MM in venture capital across 15 companies. Before his involvement in private equity, Mr. Seivert was a buy-side analyst at The Capital Group (American Funds) where he valued firms in the asset management and securities brokerage industries. Mr. Seivert’s initial job at Capital was in the capacity of strategic planning and marketing research, where he worked directly for several chairmen of the company as well as the fund boards. Mr. Seivert began his career in the M&A department of Skadden, Arps, Slate, Meagher & Flom.
Jodie Papike is the President of Cross-Search, the first third-party, independent broker-dealer advisor and executive placement firm. Since joining Cross-Search in 1997, Jodie has been consulting with financial advisors transitioning to new independent broker-dealers, RIAs and custodians, guiding them through the entire process of identifying their most appropriate options, negotiating a deal and transitioning clients.
Katie is the President at FiComm and New Skool Advocate who leads with authenticity. She oversees the people and client experiences, providing the strategic oversight and direction for all lines of businesses, including agency business, Advisor Education and AmpliFi. Katie has nearly 20 years of experience in the RIA industry at leading firms including United Capital that was acquired by Goldman Sachs. Most recently she held the role of Vice President of Corporate Communications, for Goldman Sachs Personal Financial Management. Prior to the acquisition, Katie worked alongside industry disruptor and thought leader Joe Duran in various roles including Vice President, Organizational Effectiveness, and Chief of Staff.
Angie has been dedicated to advancing the financial advisory industry for the past 20 years. She is Chief Executive Officer of Hebrers & Company, a management consulting firm who helps financial advisory firms with human capital management, succession planning, operations management, client and digital clients experience, sales, and marketing.
Concentrating on financial services and automotive industry issues, Linda Paullin-Hebden serves as a securities compliance advisor to registered investment advisers and as a counselor to venture capital and private equity funds. Linda handles a variety of matters, including mergers and acquisitions, compliance, fund formation, joint ventures, private investments and other transactions as well as general corporate issues.
Mike Abelson is AssetMark’s EVP – Corporate Development, and is responsible for analyzing acquisition and growth opportunities that support advisor and investor needs. Mike joined the firm in 1994, and has held several key leadership roles during the firm’s history as Centurion Capital, Genworth Financial, and AssetMark, including investments and product development, operations and service, and project management and business development. He earned his MBA from the Marshall School of Business at the University of Southern California and holds the CFA designation.
Mike Wunderli is a Managing Director at ECHELON Partners, where he is integrally involved in all aspects of the firm’s activities and heads ECHELON’s industry-leading TAMP practice. Prior to joining ECHELON, Mr. Wunderli founded Connect Capital Group (CCG) where he advises private, middle-market companies on pre-transaction planning, growth financing options and the development and execution of exit strategies. He also works closely with the private-equity and venture-capital communities to evaluate acquisition & investment targets and source proprietary deal flow.
Before founding CCG, Mr. Wunderli spent 12 years at Lehman Brothers and UBS as an SVP in the Private Wealth Management division, where he pioneered one of the industry’s most successful cross-divisional practices between Wealth Management and Investment Banking. During this time, Mr. Wunderli sourced over $2 billion in investment-banking and private-equity transactions for his firms and his WM clients, and he managed a $400 million+ HNW advisory practice. He also helped institutionalize the cross-divisional model firmwide. Mr. Wunderli earned an MBA from The Wharton School at the University of Pennsylvania and holds Series 7, 66, and 79 FINRA Licenses.
Tricia is an entrepreneurial and change-oriented financial services executive and corporate director who has led data, analytics, research, and software P&Ls from start-up to global scale. In prior roles, she served both retail investors and institutions who were keen to use technology to reduce friction and improve outcomes. As the Chief Product Officer and Co-Head of Global Markets at Morningstar--a leading provider of independent research in 27 countries--she managed a multi-million-dollar P&L supported by global teams of technologists, designers, researchers, product managers, and marketers. In her 26-year career at the firm, she created online investment services for individual investors, and developed and led the firm’s equity research business. From 2017 - 2019, she brought financial and operational discipline to core software, data, and index businesses by containing costs and also driving growth.
Kimberly Papedis has over 20 years of experience –all in the independent advisory space. Immediately after graduating from Colorado State University, she began her career as a Financial Advisor running an independent wealth management firm of her own before joining Raymond James. Here she provided consulting to financial advisors desiring to set up and run their own wealth management practices. From there, she became a Regional Director for Wells Fargo Advisors independent channel, FiNet, where she consulted advisors breaking away from an employee model to set up their own wealth management practices. She was also responsible for organic advisor growth efforts of the Western part of the U.S. She was recruited to HighTower in 2014 to help launch their independent platform quickly developing this into their fastest growing business channel which saw rapid success. Kimberly was a Managing Director/Head of National Sales and Platform Strategy overseeing all of HighTower’s inorganic growth. In this role, she was their media spokesperson and responsible for managing the messaging to the marketplace as HighTower went through the transformation of maturing from a W-2 employee channel to offering middle and back offices solutions to independent business owners looking to leverage the HighTower platform for a fee.
Molly Crane concentrates her practice on corporate and general business matters, including: Mergers, acquisitions, and divestitures, Private equity transactions, General corporate, partnership, and limited liability company matters, Public and private securities matters, Negotiation and preparation of complex commercial agreements, and Corporate governance
Kathy Freeman Godfrey offers to her clients 3 decades of experience attracting, assessing, and recruiting top financial services talent. Since founding her firm in 1992, she has executed hundreds of assignments for C-Suite executives, executive leadership, and high-impact individual contributors. A frequent speaker and thought leader on human capital and diversity topics, Kathy Freeman Godfrey has contributed to articles for FundFire, Ignites, Financial Advisor IQ, Financial Planning, Family Wealth Report and Private Asset Management. Kathy has also spoken at numerous industry conferences including Schwab Impact, IAA, Family Wealth Alliance, MMI Sales & Leadership Summit, and the Deals and Dealmakers Summit. Kathy graduated from California State University, Chico. She lives in San Luis Obispo, CA, with her husband and has two children. In her spare time, she enjoys golfing, hiking, and cycling.
Barnaby Audsley is a Vice President at ECHELON Partners and focuses on a diversity of M&A advisory, investment banking, consulting, and research assignments. Prior to joining ECHELON Partners, Mr. Audsley worked as an Investment Associate for Bel Air Investment Advisors, a $9bn multifamily office based in Los Angeles. During his time with Bel Air, Mr. Audsley focused on private equity and assisted in the sourcing and underwriting of fund and direct transactions. Furthermore, he conducted market research to identify attractive asset classes, industry trends, and investment opportunities. Mr. Audsley has a B.A. in Economics from Occidental College where he was a Director on the student-run investment portfolio. He is currently furthering his education by pursuing his CFA (Level II Candidate). He is a mentor for Play Rugby USA, a non-profit focused on developing youth through rugby. Mr. Audsley grew up in London and now resides in Venice, CA.
Naomi McKean works as Senior Vice President, Deputy General Counsel at AssetMark. In this role Naomi works as a part of the Legal Counsel team within the Legal Department. Before joining AssetMark, Naomi spent over two years working under the CEO and President of Genworth Financial Management, where she oversaw corporate secretary/company administration for several legal entities. Naomi’s experience includes working as an attorney for Morrison Kent where she spent time negotiating and drafting legal and property settlement agreements among other duties.
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, she 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 businesses, they rely upon Mindy’s vast experience and understanding of how to manage the often-disparate sensibilities of all parties involved.
Gavin Spitzner founded Wealth Consulting partners in 2015 after a successful 25-year career in the financial services advisory and WealthTech space consulting to Fortune 500 companies. Before founding Wealth Consulting Partners, he spent two years as the Senior Vice President at Envestnet where he led bank wealth management-centered business development and thought leadership efforts. Gavin also served as the Senior Vice President at Prudential investments. During his tenure with prudential he led institutional business development and corporate development strategy efforts for wealth management platform sales and managed Marketing, Sales, Implementation & Training departments.
Rebecca Alcalay joined Reverence Capital in 2021. Prior to Reverence, Ms. Alcalay was a Vice President at GF Investments, a large single-family office, where she was focused on investing in the financial services industry. Prior to joining GF, Ms. Alcalay was an Associate Director at Temasek and a Business and Financial Services Associate at Oak Hill Capital. Ms. Alcalay started her career at The Blackstone Group as a Restructuring and Reorganizational Analyst. Ms. Alcalay received her BS in Finance and Accounting, summa cum laude, from the Wharton School and her MBA from Harvard Business School.
Brett is a Vice President with ECHELON Partners and spends time across all of the firm's core activities including M&A advisory, strategic consulting, and thought leadership. Prior to joining ECHELON, Brett was a Senior Associate with Deutsche Bank Securities, working in their US investment bank and within the Financial Institutions Group. With Deutsche, Brett advised wealth managers, asset managers, FinTech companies, and financial sponsors on a variety of strategic endeavors including M&A, capital raising, IPOs, SPACs, and leveraged finance. Through that experience, Brett spent significant time cultivating relationships with the private equity firms and platform buyers involved and interested in the wealth management ecosystem. While at San Diego State University, Brett served as Vice President of the student investment council.
Alyssa is co-founder and lead strategist at RDCL, a social science-based market research and branding agency
dedicated exclusively to the financial industry. As lead strategist, Alyssa connects the dots from research insight to
activation with strategic solutions that consistently challenge the status quo. Over the last 10 years she has partnered
with the industry’s leading CEOs and CMOs, helping them build brand equity with marketing strategies that stand out
and speak to people at an emotional level. Alyssa has a modernist’s eye that she applies to both her home and her
work and a self-discipline that she channels into her daily Bikram yoga and Peloton practice. She lives in Southern
California with her husband and four children.
Mark Bruno is currently Managing Director of Wealth Management at Informa. He is responsible for developing strategies that will enhance offerings for the wealth management community – and ultimately advance Informa's position as the leading provider of media, events, and targeted business intelligence for financial advisors.
Abby Salameh serves as CAIS’s Chief Marketing Officer, where she engages in accelerating the company’s business strategy by building on the CAIS brand, value proposition, and growth trajectory. Before joining CAIS, Abby served as Hightower’s Chief Marketing Officer where she headed the firm’s corporate and field marketing teams. Ms. Salameh has worked in the advisory industry for over 20 years: Before joining Hightower in 2019, she was CMO at Private Advisor Group, a $20 billion RIA, where she spent six years creating top-line solutions for independent advisors. Prior to that, Ms. Salameh held leadership positions at Fusion Advisor Network, where she successfully led the company’s sale to NFP, and was Head of Marketing for Institutional Services at TD Ameritrade and TD Waterhouse, where she was responsible for managing all aspects of the company’s marketing, advertising, conference, and practice management initiatives. Ms. Salameh began her career at Sanford C. Bernstein before moving on to become a founding member of the team that launched InvestmentNews.
Timothy D. Welsh, CFP® is President, CEO and founder of Nexus Strategy, LLC, a leading consulting firm to the wealth management industry. Nexus Strategy’s primary focus is working with leading organizations to best market their products, services and technology to the independent advisor community. Prior to founding Nexus Strategy, Tim was Director of Business Consulting Services for Schwab Advisor Services where he led the development and marketing of practice management resources for independent advisors. While at Schwab, Tim also held senior roles in Strategy, Marketing, Advertising, PR and Industry Content development. Prior to joining Schwab, Tim was vice president at Merrill Lynch where he was responsible for marketing, product development and financial advisor training for the financial planning group.
Daniel Needham, CFA, is president of Morningstar’s Wealth Management Solutions, which includes investment management from Morningstar Investment Management, software and aggregation capacities from Morningstar Office and ByAllAccounts, and the individual investor experience across Morningstar.com. Needham expanded his remit from president and chief investment officer since 2015 for Morningstar’s Investment Management group, a unit of Morningstar, Inc., that provides retirement, investment advisory, and portfolio management services for financial institutions, plan sponsors, and advisors through investment management entities around the world. Prior to this role, Needham was global chief investment officer for the Investment Management group, and he also assumed responsibility for Morningstar’s investment management operations in Europe in 2013. Previously, Needham was chief investment officer and managing director for Investment Management in Asia-Pacific, including Ibbotson Associates Australia, where he led the group’s business and investment activities in the region.
DDM Summit offers insight from the industry's top experts on M&A, strategy, leadership and solutions for deal making
David Mainzer is a corporate lawyer with more than 25 years of experience advising investment management firms and funds, both in-house and in private practice. He frequently serves as outside general counsel for his clients, handling an array of domestic and offshore corporate, transactional, and regulatory compliance matters. Earlier in his career, David served as General Counsel and Chief Operating Officer of Amerindo Investment Advisors, Inc., an investment management firm with offices in New York, San Francisco, and London, and $8 billion in assets under management (AUM). There, he was responsible for managing all of the firm’s legal affairs, including risk management, regulatory compliance, outside counsel, and the structuring and legal management of the firm’s hedge funds, mutual funds, and separately managed accounts. David attended law school at the University of New South Wales in Sydney, Australia, where he also completed his undergraduate degree in accounting. He earned his MBA at Columbia Business School in New York, where he graduated first in his class. He is a veteran of the U.S. Army.
Megan Carpenter is CEO and Co-Founder of FiComm Partners, an award-winning agency for RIA firms and financial advisors. FiComm exists to expand the impact of financial advice by leading human-centered business change through New Skool marketing, PR, and advisor marketing education. Their agile and innovative approach have earned them a seat in ThinkAdvisors Luminaries Class of 2021, recognition for 2021 Digital Campaign of the Year by WealthManagement.com, and the honor of top-4 Industry Disruptor in 2020 by WealthManagement.com. FiComm’s services allow advisors to lead with authenticity, target their focus and drive to commercial success. Included in Investment News 40 Under 40 notable list, Meg’s expertise spans over 15 years of helping RIA firms and advisors connect, communicate, and engage effectively with their target audiences. Her passion to promote the industry is demonstrated through her volunteer involvement with the CFP Board Center for Financial Planning Workforce Development Advisory Group, and the Foundation for Financial Planning. She is also part of the Pledge 1% global movement, having pledged 1% of personal equity, profits, time, and product to these industry non-profits. Megan began her career at John Hancock Financial Network before launching her own business, Caritative Wealth Consulting, at the age of 29. Megan merged her consulting business into her second business venture, FiComm Partners in 2014.
Susan Theder is the Chief Marketing and Experience Officer at FMG Suite and a member of the company’s Senior Leadership Team. Susan places an emphasis on the importance of customer-focused strategies that leverage data and technology to deliver personalized and customized experiences that WOW. She has a passion for helping financial professionals grow and market their businesses and is an active supporter of women and diversity initiatives.
In her 20+ year career, Stephanie has authored The Power of Practice Management (Bloomberg Press), written columns for Investment News and Financial Planning magazine as well as articles for Kitces.com, FA Magazine and Advisor Perspectives, has been named an Industry Influential, spoken at nearly every major conference and remains a highly sought-after speaker, business strategist and executive coach. She currently writes a monthly column for Investment News. She is also the founder of Limitless Advisor Coaching, now in its fifth successful year. In addition to her coaching work, she is a recognized industry thought leader and consults to various corporations, boards and private equity firms on trends and opportunities in the industry.
Jodie Papike is the President of Cross-Search, the first third-party, independent broker-dealer advisor and executive placement firm. Since joining Cross-Search in 1997, Jodie has been consulting with financial advisors transitioning to new independent broker-dealers, RIAs and custodians, guiding them through the entire process of identifying their most appropriate options, negotiating a deal and transitioning clients.
Chris Frieden, former co-chair of Alston & Bird’s Financial Services & Products Group, focuses his practice on mergers, acquisitions, joint ventures, and complex corporate finance transactions, including restructurings and reorganizations, in the financial services industry. Chris concentrates on transactions involving wealth management and investment advisory firms, asset managers, depository institutions and mortgage companies. Since 2020, he has advised on 40+ wealth management M&A and investment transactions. Chris also has extensive experience in advising clients on SEC reporting and disclosure requirements, corporate governance issues, and other corporate and securities matters. Chris served as an adjunct professor at the Emory University School of Law from 2001 to 2008, teaching a course on mergers and acquisitions. Chris was recognized by Chambers USA in 2017 and 2018 for excellence in banking and finance. He was also named to the 2014 Georgia “Rising Star” list by Super Lawyers magazine, a peer-nominated award. In 2021, Chris was recognized in The Deal Awards as the “Financial Services Dealmaker of the Year (Middle Market).” He previously appeared on the shortlist in 2018 and 2020.
Katie is the President at FiComm and New Skool Advocate who leads with authenticity. She oversees the people and client experiences, providing the strategic oversight and direction for all lines of businesses, including agency business, Advisor Education and AmpliFi. Katie has nearly 20 years of experience in the RIA industry at leading firms including United Capital that was acquired by Goldman Sachs. Most recently she held the role of Vice President of Corporate Communications, for Goldman Sachs Personal Financial Management. Prior to the acquisition, Katie worked alongside industry disruptor and thought leader Joe Duran in various roles including Vice President, Organizational Effectiveness, and Chief of Staff.
Angie has been dedicated to advancing the financial advisory industry for the past 20 years. She is Chief Executive Officer of Hebrers & Company, a management consulting firm who helps financial advisory firms with human capital management, succession planning, operations management, client and digital clients experience, sales, and marketing.
Kimberly Papedis has over 20 years of experience –all in the independent advisory space. Immediately after graduating from Colorado State University, she began her career as a Financial Advisor running an independent wealth management firm of her own before joining Raymond James. Here she provided consulting to financial advisors desiring to set up and run their own wealth management practices. From there, she became a Regional Director for Wells Fargo Advisors independent channel, FiNet, where she consulted advisors breaking away from an employee model to set up their own wealth management practices. She was also responsible for organic advisor growth efforts of the Western part of the U.S. She was recruited to HighTower in 2014 to help launch their independent platform quickly developing this into their fastest growing business channel which saw rapid success. Kimberly was a Managing Director/Head of National Sales and Platform Strategy overseeing all of HighTower’s inorganic growth. In this role, she was their media spokesperson and responsible for managing the messaging to the marketplace as HighTower went through the transformation of maturing from a W-2 employee channel to offering middle and back offices solutions to independent business owners looking to leverage the HighTower platform for a fee.
Kathy Freeman Godfrey offers to her clients 3 decades of experience attracting, assessing, and recruiting top financial services talent. Since founding her firm in 1992, she has executed hundreds of assignments for C-Suite executives, executive leadership, and high-impact individual contributors. A frequent speaker and thought leader on human capital and diversity topics, Kathy Freeman Godfrey has contributed to articles for FundFire, Ignites, Financial Advisor IQ, Financial Planning, Family Wealth Report and Private Asset Management. Kathy has also spoken at numerous industry conferences including Schwab Impact, IAA, Family Wealth Alliance, MMI Sales & Leadership Summit, and the Deals and Dealmakers Summit. Kathy graduated from California State University, Chico. She lives in San Luis Obispo, CA, with her husband and has two children. In her spare time, she enjoys golfing, hiking, and cycling.
Ben Harrison is a Managing Director and member of the Executive Committee for BNY Mellon | Pershing. He is Co-Head of our Wealth Solutions segment, which serves wealth-oriented broker-dealers, registered investment advisors (RIAs) and trust companies, and the evolving and converging needs of these clients. Prior to this role, Ben led our RIA custody business and before that, both business development and relationship management for the advisory marketplace. Prior to joining Pershing in 2006, Ben served as vice president of regional sales for TD Ameritrade Institutional. He started his career with TD Waterhouse Institutional and has spent over 20 years serving registered investment advisors. Ben was a 2010 Chairman’s Circle Honoree recognizing outstanding performance within BNY Mellon. He currently serves as a Trustee for the Foundation for Financial Planning and is also a current Board member for The Woodstock Academy Foundation. Ben earned a Bachelor of Arts degree in Economics Management from Ohio Wesleyan University. He has also completed the Securities Industry Institute® program, sponsored by the Securities Industry and Financial Markets Association (SIFMA), at the Wharton School of the University of Pennsylvania.
Alyssa is co-founder and lead strategist at RDCL, a social science-based market research and branding agency
dedicated exclusively to the financial industry. As lead strategist, Alyssa connects the dots from research insight to
activation with strategic solutions that consistently challenge the status quo. Over the last 10 years she has partnered
with the industry’s leading CEOs and CMOs, helping them build brand equity with marketing strategies that stand out
and speak to people at an emotional level. Alyssa has a modernist’s eye that she applies to both her home and her
work and a self-discipline that she channels into her daily Bikram yoga and Peloton practice. She lives in Southern
California with her husband and four children.
Candice is the EVP and Head of FiComm's advisor marketing programs designed to help advisors supercharge their growth with the power of social media, video, and podcasting.
Prior to FiComm, she spent her career at two of the fastest-growing RIA’s in the US- Mercer Advisors, and United Capital, acquired by Goldman Sachs. She has also consulted for firms like XY Planning Network. Candice is passionate about helping advisors find their authentic voice to stand out, attract new clients and extend the impact of financial advice. She has coached hundreds of advisors and C-suite executives across the country, is a sought-after expert speaker at industry events like E-money summit, Insiders Forum and Jolt Snappy Kraken. She is also the creator and co-host of the award-winning New Skool Podcast.
Corey is actively and personally involved in the corporate practice area of the firm including sophisticated corporate structuring, high-level strategic advice, and mergers, acquisitions, succession and other deals, while overseeing the firm’s other practice areas. He is a strategist, negotiator and dealmaker. A successful entrepreneur from the age of 15, Corey is a rarity among attorneys – he both understands and appreciates how business people think. He knows that every business transaction has a window of opportunity that can be missed when faced with untimely legal delays or over-lawyering. As a member of the New York Chapter of Entrepreneurs’ Organization since 2008, a Board Member since 2010, and Chapter President from July 2014 - June 2016, Corey has been a passionate advocate and leader in the entrepreneurial space. EO has over 11,000 members in over 40 countries and the New York Chapter is the largest in the world which has provided phenomenal contacts and resources for Corey and his clients.
Kelli Cruz brings more than 30 years of experience to her role as the founder of Cruz Consulting Group (CCG), working closely with advisory firm owners and executives of financial services institutions. CCG is committed to building talent wealth and helping advisory firms realize their true potential, by providing consulting engagements in human capital, including organizational design, compensation planning, performance management, and succession planning. Kelli is a frequent speaker at national industry conferences and writes for the industry on talent management related topics. Prior to starting CCG, she founded InvestmentNews Adviser Solutions and oversaw advisor consulting engagements and the InvestmentNews/Moss Adams research studies. Kelli was a director in Advisor Services at Charles Schwab where she pioneered the industry’s first human capital practice management program for RIA advisory firms.
Matt Sonnen founded PFI Advisors with one goal in mind: Help RIAs grow by optimizing the business for scalability. With his integration experience at Focus Financial Partners and from leading two full system replacements while COO/CCO of Luminous Capital, Matt is often asked to guide clients through the operational complexities of mergers and acquisitions. As our industry’s bustling M&A market is in full tilt, PFI Advisors leverages Matt’s 25 years of experience and industry knowledge to help Buyers succeed in both pre-merger operational planning and post-merger integrations.
Patrick J. Burns, Jr., Esq., is the managing attorney with The Law Offices of Patrick J. Burns, Jr., P.C., and also the President of Advanced Regulatory Compliance LLC. He is a member of the California, New Jersey, New York, and Texas Bars, and received his Juris Doctor degree from Southwestern University School of Law in Los Angeles, California and Bachelor of Business Administration degree, concentration in Entrepreneurship, from Pace University’s Lubin School of Business in Pleasantville, New York. Mr. Burns began his professional career with a New Jersey based law firm and then worked in a legal/compliance capacity for several financial services firms located in New York City and Los Angeles. During his financial services career, he acquired numerous FINRA and insurance licenses. Mr. Burns is a frequent industry speaker and a member of several financial services industry organizations.
As President of Diamond Consultants, Louis is responsible for the day-to-day operations of the firm, with an eye toward future growth. Much like the advisors he counsels, his focus remains on providing the best advice possible for those we work with, while transforming the firm into a scalable enterprise. After graduating magna cum laude with a BBA degree in Finance and International Business from George Washington University, Louis began his career with some of the biggest names in the financial services industry. Working as a consultant at Ernst & Young, and in wealth management at Morgan Stanley and UBS, prepared him to understand the financial world from a client’s perspective. Louis is an author and contributor to the financial services media on industry news and trends, including The Wall Street Journal, Financial Planning magazine, Barron’s, The Washington Post, WealthManagement.com, FundFire, RIABiz, ThinkAdvisor, Citywire and OnWallStreet. In addition to being active on social media and writing for the Diamond Consultants article library, he also co-hosts our podcast for financial advisors, Mindy Diamond on Independence.
Gavin Spitzner founded Wealth Consulting partners in 2015 after a successful 25-year career in the financial services advisory and WealthTech space consulting to Fortune 500 companies. Before founding Wealth Consulting Partners, he spent two years as the Senior Vice President at Envestnet where he led bank wealth management-centered business development and thought leadership efforts. Gavin also served as the Senior Vice President at Prudential investments. During his tenure with prudential he led institutional business development and corporate development strategy efforts for wealth management platform sales and managed Marketing, Sales, Implementation & Training departments.
Scott brings more than 30 years of experience providing talent-based solutions to a broad array of industries, including more than 20 years working with wealth managers, and frequently with organizations who are in the midst of significant growth or change. Prior to founding The Talent Enthusiasts, Scott was Director of Human Capital with Carlson Capital Management, Managing Director of Pepin Consulting, and Managing Principal with the Seabury Group, providing talent development and reward solutions to the global professional services industry. Scott is a certified Gallup© Strengths Coach, Social and Emotional Intelligence coach, Senior Professional of Human Resources (SPHR), and is master certified in multiple talent and change management disciplines. He is a frequent speaker at industry conferences, on talent, performance, and engagement related issues facing the marketplace.
Timothy D. Welsh, CFP® is President, CEO and founder of Nexus Strategy, LLC, a leading consulting firm to the wealth management industry. Nexus Strategy’s primary focus is working with leading organizations to best market their products, services and technology to the independent advisor community. Prior to founding Nexus Strategy, Tim was Director of Business Consulting Services for Schwab Advisor Services where he led the development and marketing of practice management resources for independent advisors. While at Schwab, Tim also held senior roles in Strategy, Marketing, Advertising, PR and Industry Content development. Prior to joining Schwab, Tim was vice president at Merrill Lynch where he was responsible for marketing, product development and financial advisor training for the financial planning group.
Rick is the Chief Corporate Banking Officer at First Financial Bank. He is also the President and CEO of Commercial Finance which includes Oak Street Funding and First Franchise Capital businesses. Rick oversees almost $12B in assets across the entire Commercial business and nearly 400 employees. He leads the commercial growth strategy, including expansion of customized lending offerings and services. Rick is a CPA and former Senior Manager at Deloitte. He has a BS in Accounting and MBA from the Indiana University Kelley School of Business and held adjunct professor positions for venture capital and entrepreneurial finance at Indiana University Kelley School of Business.
Barnaby leads RDCL’s research department, using social science methodologies and theoretical perspectives to illuminate the human side of the financial industry. Prior to founding RDCL, Barnaby taught at the University of Chicago as the Earl S. Johnson Instructor in the Division of the Social Sciences. His approach to research is creative, interdisciplinary and contrarian - drawing on everything from evolutionary psychology to narrative studies and cultural anthropology. Whatever helps him challenge assumptions, push the limits of what’s known and uncover deep truths below the surface of everyday life. As an avid trail runner, mountain biker, and triathlete, you can find him in the pre-dawn hours getting his miles in.
Suzie is currently Vice President of Strategic Markets at Oak Street Funding. She helps the firm with investment advisory and technology allignement to satisifty client needs. Prior to joining Oak Street, Suzie was Vice President of Preferred Institutional Clients at RenPSG where she was responsible for relationship management and fostering growth programs designed specifically to reach each Institution’s program goals. Suzie holds a bachelors degree in Business Administration and Management from Indiana University.
Dustin Mangone is a Managing Partner and the Director of Investment Advisor Services for PPC LOAN, a cash-flow based lender providing nationwide financing to service sector businesses. He has over 16 years of experience with cash-flow lending and has evaluated and underwritten over $1 billion in loans for investment advisors. Dustin now spends 100% of his time consulting on the M&A financing needs of RIAs and Independent Investment Advisors nationwide and is a regular speaker on these topics. Dustin’s experience is focused on acquisitions, mergers, buy-ins, buy-outs, equity purchases, succession plans, and debt consolidations. Dustin is a 2002 graduate of Texas A&M University and spent 2 years as a financial advisor providing retirement planning for non-profit organizations before joining PPC LOAN in May of 2005.
Mark Bruno is currently Managing Director of Wealth Management at Informa. He is responsible for developing strategies that will enhance offerings for the wealth management community – and ultimately advance Informa's position as the leading provider of media, events, and targeted business intelligence for financial advisors.
Lisa Crafford is a Director and the Head of Business Consulting for BNY Mellon Pershing. In this role, Lisa leads the business consulting team for clients of Wealth Solutions to help them grow and strengthen their business. Lisa is also a regular speaker at industry events and contributes to the thought leadership at BNY Mellon Pershing. Prior to joining BNY Mellon Pershing in 2015 as a Relationship Manager, Lisa spent 5 years with an RIA in the DC Metro area as the Director of Business Management. In this role, Lisa was responsible for operations, compliance, technology, human capital, finance, marketing, and business strategy. Lisa also founded Cogent Business Advisors, a unique study group for COOs, and is the coordinator of Bob Veres’ practice management conference (Insiders Forum) COO track.
After being a successful advisor himself by creating and implementing a process called Values-Based Financial Planning™, Bill Bachrach went on to be a trainer and coach for other financial advisors worldwide. Since 1988 Bill Bachrach and his team have been helping financial advisors build their Ideal Business, with Ideal Clients, so they can live their Ideal Life. For the last 22 years, Bill has led the most expensive and intensive training for financial advisors known as the Committed Advisor Mastermind Program which consists of a 4-year commitment at $5,000 / month (Yes, your math is correct, a $240k investment for an advisor). He’s had the honor of delivering over 1500 keynote speeches in our industry around the world… 9 times for the Million Dollar Round Table & Top of the Table, and 11 times for the FPA National Conference. In 2016, Bill and his team launched the AdvisorRoadmap™ Virtual Training Platform to ensure every single advisor in the world has access to this proven, repeatable process at an affordable price.
AdvisorRoadmap™ is Bill Bachrach's legacy to help advisors implement Values-Based Financial Planning™ and build their Ideal Business.
Mike Papedis is Co-Founder of Fusion Financial Partners, a leading strategic consulting firm with expertise in merger and acquisition, enterprise valuations, succession planning and business performance optimization. Prior to founding Fusion Financial Partners, Mr. Papedis was Managing Director, RIA Acquisitions at HighTower – an advisor owned, industry leading national wealth management firm serving wealthy families and institutional clientele. At HighTower, Mr. Papedis played a critical role in building the firm through recruiting advisor teams and lead HighTower’s national business development of RIA M&A strategy. His leadership of the firm's RIA acquisition growth efforts includes the launch of the business channel, marketing, pipeline management and deal-making with COI’s such as investment bankers, law firms, and recruiters serving the M&A marketplace. Additionally, he is an industry expert representing the negotiation of deal terms and consultation to RIA’s regarding maximizing enterprise value of their firm, a critical talent in this current state of our industry. Mike has been a sought-after speaker at industry events, such as those hosted by Fidelity and Pershing/BNY Mellon.
James Hughes serves as the head of investment advisory lending at Live Oak Bank. In his role, James leads the sales team and oversees the lending process, from the initial call to servicing of the loan. Since joining Live Oak Bank in 2013, he has helped hundreds of businesses achieve their goals through financing. While at Live Oak, James has worked in various roles including a sales trader, relationship manager, underwriter and loan officer. Prior to joining the bank, James worked at one of the leading investment banks in the world where he managed a group of derivative trading assistants and several client services teams. Through this unique experience, James has gained an understanding of the challenges that business owners face. He is genuinely committed to supporting small business owners in achieve success and thrive with Live Oak Bank’s products and services. James has a Bachelor of Arts degree in economics from Bucknell University.
Greg Gessert is a vice president of enterprise sales for LPL Financial. He is accountable for LPL’s business development and mergers and acquisitions (M&A) of broker/dealers and RIAs who choose LPL as their new custodian, clearing firm, and outsourced B/D and RIA provider. In this role he takes a consultative approach to helping firm owners understand their operating model options and how LPL can facilitate reaching their goals as a strategic growth partner. Mr. Gessert began his career at LPL in 2007 where he started as an analyst supporting LPL’s centrally managed account operations. While at LPL, he has served in a variety of positions ranging from sales support, corporate finance, to practice management. Prior to joining enterprise sales in 2021, Mr. Gessert led LPL’s internal, advisor-facing merger and acquisition department. In this position he consulted on over 200 transactions per year between advisors looking to buy, sell, or merge their practices.
Nikolee Turner is a managing director of business consulting for Charles Schwab & Co., Inc. Ms. Turner is responsible for managing Schwab's business consulting team that provides hands-on guidance and consulting support to assist investment advisors across the country in realizing their aspirations around growth, efficiency, and profitability. Through one-on-one consulting engagements, the business consultants help advisors create strategic business plans, implement growth strategies, increase productivity, and plan for transition. Ms. Turner has been coaching, consulting, and training leaders for over 15 years and brings more than 20 years of leadership experience in talent management, driving operational efficiencies, and new product development. Prior to joining Schwab, Ms. Turner was vice president of training and consulting at Kolbe Corp where she worked with companies helping them solve business challenges, increase growth and profitability, and maximize human capital. Additionally she trained and oversaw more than 500 consultants worldwide. Ms. Turner has worked with financial services professionals, CPAs, and attorneys globally and is a speaker on business management topics at conferences and seminars. She earned a bachelor’s degree in psychology from St. Cloud State University, a master’s degree in education from Northern Arizona University, and a master’s degree in business administration from Arizona State University.
Nick graduated from the University of North Carolina Wilmington with a concentration in Finance and Marketing. He is in the process of getting his MBA from the University of North Carolina Chapel Hill. He joined Live Oak Bank in 2014 as a Loan Closing Specialist where he gained an appreciation and skill for coordinating the various parties involved to make deals happen on tight timelines. Nick also worked as an underwriter where he analyzed financials and worked directly with Live Oak’s credit team to get financing opportunities approved. Now, as VP on Live Oak’s Investment Advisory Lending team, he works with clients from their first conversation through closing and funding. His knowledge of the investment advisory industry makes him a great partner for advisors looking to grow or sell their business.
Julie is a recognized expert on the drivers and evolution of client experience, client engagement. and referral growth. She is responsible for: designing the firm's strategic vision and product roadmap, conducting on-going investor and advisor research, driving firm growth and representing the company on conference stages around the world. Julie has worked with and studied successful financial advisors and their clients for more than twenty-five years. Prior to founding Absolute Engagement, she launched and ran one of the industry’s leading research firms, focused on client engagement. She is the author of a popular blog, the co-host of the Becoming Referable podcast and the author of The Pursuit of Absolute Engagement.
ECHELON Parnters is excited to announce the 2022 Deal and Dealmakers Summit that will be held in San Diego, CA on August 31st and September 1st. The Conference provides industry professionals with unparalleled networking opportunities and advanced education and training with some of the most influential dealmakers, advisors, and innovative executives in the industry.
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