T. Neil Bathon
T. Neil Bathon is managing partner of Fuse Research Network, a leading-edge decision support firm that employs a highly refined market intelligence capability to deliver informed, decisive and forward-looking guidance to firms in the asset management industry. Fuse Research Network delivers tactical research-based, client-specific recommendations that improve the productivity and effectiveness of the resources devoted to sales, marketing, and product management.
Ms. Beaman is the chief executive officer of Brinker Capital, Inc. and is responsible for developing and executing the firm’s detailed operating plan and for the oversight of the company’s short and long term strategies. Previously, Noreen served as the firm’s chief operating officer responsible for policy and oversight of operations, administration, performance, reconciliation, technology, and human resources. Noreen has more than 27 years of investment experience working with financial advisors and institutional and high net worth investors in strategic planning and investment management. Additionally, she is a member of the firm’s investment, management, and finance committees. As one of Brinker Capital’s original partners, Noreen previously held a variety of regional and national sales positions at the firm, including new business development and client service in New York and New Jersey. Noreen is a frequent speaker at industry conferences and has been quoted extensively in top financial and advisor media. Prior to joining Brinker Capital, Noreen was treasurer at Mutual Benefit Capital Companies, a subsidiary of Mutual Benefit Life Insurance Company. She also worked at Ernst and Young. Noreen is a graduate of Saint Peter’s University and is a member of their Board of Trustees.
Valerie G. Brown
Valerie G. Brown is Executive Chairman of Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors with more than 5,000 independent advisors and approximately $160 billion in client assets under management. Advisor Group provides comprehensive broker-dealer services, technology, and advisory programs through its four registered broker-dealers and Registered Investment Advisors: FSC Securities, Royal Alliance Associates, SagePoint Financial, and Woodbury Financial Services.
Before assuming her current position with Advisor Group, Ms. Brown served as the Chief Executive Officer of Cetera Financial Group from the company’s formation in 2010 until its sale in 2014. In 2009 she led the spin out of the Cetera companies from ING to Lightyear Capital. Prior to Cetera, Ms. Brown was chief executive of officer of ING Advisors Network, having previously served as its president for five years.
Ms. Brown currently serves on the Board of Directors of the Financial Services Institute and the Securities Industry and Financial Markets Association (SIFMA) Board of Directors. Ms. Brown has also served on the Membership and District 7 committees of the Financial Industry Regulatory Authority, Inc. (FINRA) and as a Director on the Blackrock Equity/Bond Funds Board.
Ms. Brown has been honored with a number of industry awards over the years. She is actively involved in charitable arts organizations and is a member of C200, an invitation-only membership organization of women business leaders from around the world. Ms. Brown holds a bachelor’s degree with high scholarship in chemical engineering from Oregon State University and a master’s degree in business administration from Stanford University.
Megan Carpenter is a Co-Founder and is the CEO of FiComm Partners, based out of Los Angeles. Megan’s entire professional career has been driven by her deep and sincere passion for the independent financial advisory space. As a fellow entrepreneur, Megan has become an advocate on behalf of the business owners that lead the independent advisory movement, empowering them with strategic communications programs that drive growth. With a solid track record of delivering results for financial advisory clients, Megan is a commenter in the media on communications issues for financial advisers and has been asked to speak at various industry events on the topics of communications, marketing, business development, client relationship management and team building.
Megan has consulted with some of the nation’s top financial advisers and advisory firms. Prior to founding Caritative Wealth Consulting, LLC, in 2012 – the firm she merged with Founding Partner, Jason Lahita to form FiComm Partners – Megan was an executive at two of John Hancock Financial Network’s largest regional firms, Signature Resources, Inc. and Signature Financial Partners, LLC. During her time as the Director of Marketing at Signature Resources, Inc., the firm was awarded the John Hancock’s Presidents Trophy 3-times and, under her supervision as the Director of Business Development at Signature Financial Partners, LLC the firm was awarded the John Hancock Growth Award 3-times for greater than 15% growth across all product lines.
Megan graduated from the University of Southern California with a B.S. in Business Administration, with an emphasis in Global Management. She is a proud supporter of the USC Alumni Association, the USC Marshall School of Business Scholarship Fund, and the American Red Cross.
Mark Casady co-founded Vestigo Ventures in 2016 with a focus on financing start -ups in FinTech.He is general partner and chairman of the advisory board.
He is a member of the board of the EZE Software Group and Citizens Financial Group, and serves as an advisor to Jobcase, Inc. He is a former member of the Financial Industry Regulatory Authority (FINRA) Board of Governors.
Casady retired as LPL Financial CEO in early January 2017 and as non-executive chairman of the board in early March 2017. He guided LPL to become a leading financial services organization that serves independent financial advisors, banks, and credit unions, and provides clearing services to broker/dealers at financial services companies.
Before joining LPL Financial in 2002, Mr. Casady was managing director of the mutual fund group for Deutsche Asset Management, Americas — formerly Scudder Investments. Prior to Scudder, he held roles at Concord Financial Group, which was a start-up funded by Hambrecht & Quist that went public, and started his career at Northern Trust.
Additionally, Mr. Casady is treasurer of the Casady family’s One Step Forward Education Foundation, which focuses on changing the lives of children around the globe through education. He also helped found and fund the Invest in Others Charitable Foundation, which recognizes the philanthropic activity of financial advisors.
Mr. Casady received a BS from Indiana University and an MBA from DePaul University.
Darrin Courtney is a Principal Executive Advisor in CEB’s Financial Services Practice, specializing in wealth management. He advises executives on their most pressing challenges, focusing on both business and technology initiatives, via strategy sessions and hosted networking events. His research advisory areas include tools that enhance advisor/client collaboration, including financial planning, portfolio management, client reporting, aggregation, digital tools and other wealth related platforms.
Mr. Courtney is a frequent speaker at industry and company events and is often quoted in the financial trade press. He has more than 25 years of financial services experience in operations, client service, sales, product management, and business development roles. Prior to joining CEB, Darrin held positions at Scudder, Stevens & Clark, Columbia Asset Management, MFS, AARP Financial Inc. and The Hartford.
He holds a BA from the University of Massachusetts at Amherst, an MA from Northeastern University and is a Certified Financial Planner professional.
Doug is the founder of F2 Strategy and former wealth management CTO. His team of experienced wealth management executives address a widening gap between the expectations of affluent clients and their wealth management experience. The F2 Strategy perspective and experience come from a long history of innovations and transformative technical projects at major financial institutions. Doug has lead teams through transformative initiatives such as robo-advisor integration, paperless client onboarding, digital client engagement and many other areas currently challenging our industry.
Susan Lundquist is the Chief Marketing Officer at TruValue Labs (TVL), the first company to apply artificial intelligence (AI) to uncover timely Environmental, Social, and Governance (ESG) data on publicly traded companies. Asset Managers use this data and analytics to build sustainable investment portfolios and indices. Susan joined TVL from Thomson Reuters where she was the Head of Product Strategy for the Asset Management business. Prior to Thomson Reuters, she served as Vice President of Product Marketing at Advent Software and was responsible for the Investment Management Group’s portfolio of products. She also served as General Manager of Vestek, a Thomson Financial portfolio analytics company and Consulting Manager at Interactive Data.
Matt Lynch is the Managing Partner of Strategy & Resources, LLC, a financial services consulting firm. Matt, who has over 25 years of industry experience, has had a successful career as a financial services senior executive and consultant. He is sought after for his ability to link strategy with the art of the possible in terms of implementing change. Matt serves senior executives at financial services companies by focusing on corporate-level strategy, resource optimization and change management. His management consulting is highly customized and leverages an innovative open-architecture business model which provides clients access to multiple subject matter experts from independent consulting firms.
Matt’s professional background includes progressive senior leadership roles as President & CEO of an independent broker-dealer and RIA, Capital Analysts Incorporated, CFO of Lincoln Financial Advisors, and field management roles with New York Life. His consulting credentials include Moss Adams, LLP, where Matt was a Director of the business consulting group where he was widely recognized for his industry expertise in succession planning, M&A, and financial services distribution strategies. Matt was also affiliated with Tiburon Strategic Advisors as a Principal where he focused on strategy consulting.
Matt is a frequent keynote speaker at company events and industry conferences for firms and organizations throughout North America. He also serves as a board director for a number of financial services firms.
Robert Moore was appointed chief executive officer of Cetera Financial Group in September 2016. As CEO, Mr. Moore assumes overall executive responsibility for Cetera Financial Group, which includes: Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, and Cetera Financial Specialists along with First Allied Securities, Summit Brokerage Services, and Girard Securities. He also continues to serve as a member of Cetera’s board of directors.
Mr. Moore was formerly the chief executive officer of Legal & General Investment Management America (LGIMA). Prior to joining LGIMA, Mr. Moore served as president of LPL Financial with oversight of the company’s primary client-facing functions, client service and operations teams. Prior to becoming president of LPL, he served as CFO.
Before joining LPL Financial, Mr. Moore served as chief executive officer at ABN AMRO North America and La Salle Bank Corporation. He has also held a number of finance management positions, as well as key investment and portfolio management roles earlier in his career.
He currently serves on the Insured Retirement Institute (IRI) Executive Committee, Advisory Board for the Securities Industry & Financial Markets Association (SIFMA), as well as a board member for Invest in Others, the Chicago Shakespeare Theater, and Chicago History Museum. He is a former member of the board of the Financial Services Institute, the development board for The University of Texas, Austin and has also served on the LIGMA board since 2008. Mr. Moore currently holds Series 7, 24, 27, 99 securities registrations and is a Charted Financial Analyst (CFA).
Tom Moysak is CEO of Xtiva Financial Systems, Inc. and has enjoyed a successful and diverse career in both the financial services and financial technology industries over nearly 30 years.
Tom cut his teeth in Wealth Management as a financial advisor. In the late 80’s, he co-founded Northeast Securities, an independent broker-dealer in New York and, as President and FinOp for the firm, was responsible for all operations, staffing, trading, finance and compliance activities. Under Tom’s leadership, Northeast grew from a small start-up to over 200 advisors across 20 locations, serving both retail and institutional customers throughout the U.S. and abroad.
In 1999, Tom left Northeast taking his deep brokerage operations knowledge to join fledgling Xtiva Financial Systems as one of the 3 members of the Executive Team. Throughout his tenure at Xtiva, Tom was responsible for sales, channel partnerships / alliances, professional services and customer support, while growing Xtiva to the dominant compensation and commission processing system in the US. He was promoted to the role of Chief Executive Officer in 2010 and became Chairman of the Board later that year. Joined by seasoned senior management team, Tom has led the definition a new strategic direction and expanded vision for Xtiva as the only “pure-play” SaaS provider of Sales Performance Management in financial services.
A graduate of Hofstra University where he obtained his B.A. in Accounting, Mr. Moysak lives in Westchester, New York, with his wife and 4 children.
Since joining Securities America in 1994, Jim has served as chief financial officer, chief operating officer and president of the broker-dealer, directly leading most areas and departments throughout the firm. He became chief executive officer and president in 2010.
Before coming to Securities America, Jim managed daily operations of a multisite company processing pharmaceutical materials and food products, advised Fortune 500 companies as a consultant for Marakon Associates and was a financial analyst for Merrill Lynch Capital Markets. Jim maintains an unwavering commitment to excellence, while challenging and leading others with an open mind and an open ear to business growth opportunities.
Named a Harvard University Scholar his freshman year, Jim graduated magna cum laude from Harvard University with a bachelor’s degree in 1987 and earned a Master of Business Administration from Columbia Business School. Jim is a member of the adjunct faculty at the University of Nebraska at Omaha in the Department of Finance, Banking and Law and a member of the Nebraska Society of CPAs.
Jim is an avid snow skier and outdoorsman, and stays active competing in basketball tournaments, road running and endurance races. Jim holds Series 7, 24 and 27 securities industry licenses.
Jim Patrick provides the leadership and strategic vision to all of the Advisor Services teams within Envestnet. These divisions span the institutional and advisor sales teams (both RIA and Enterprise Sales), the Enterprise Consultant teams, and the Practice Management team that focuses on innovative solutions for Envestnet’s growing client base. He also leads the efforts in the development and distribution of insightful investment intelligence through innovative technology that leverages our consulting services, research, and investment solutions.
Prior to joining the firm, Patrick was the Co-Head of U.S. distribution for Allianz Global Investors. Before that, he worked at Nicholas-Applegate Capital Management since 1997, prior to their acquisition by Allianz Global Investors in 2001. Patrick was also a former executive board member of the Managed Money Institute. Patrick received a B.S. in Business Administration from the University of New Hampshire. Patrick holds the FINRA Series 7, 24, 26 and 63 securities registrations and the Series 65 investment advisor registration.
David S. Pottruck is the Chairman of HighTower, a national RIA (Registered Investment Advisor) firm approaching $50 billion in total client assets, which he helped to launch in 2008. Mr. Pottruck also serves on the Board of Directors of Intel Corporation, where he is a member of the Executive Committee and Chairman of the Compensation Committee. Mr. Pottruck was formerly a Trustee of the University of Pennsylvania and the Chair of the San Francisco Committee on Jobs.
Mr. Pottruck was the President and Chief Executive Officer of The Charles Schwab Corporation until 2004. He joined the company in 1984 as Executive Vice President of Marketing and led its innovative direct response advertising campaigns. Under his marketing leadership from 1984 to 1987, when the company went public, Schwab’s revenues tripled in size.
Mr. Pottruck became Schwab’s President in 1992, co-CEO in 1998 and CEO in 2002. During this period Mr. Pottruck and Mr. Schwab partnered in leading the company through an incredible period of sustained growth. During Mr. Pottruck’s entire tenure at Schwab, the company’s assets in custody grew from $5 billion to over $1 trillion and the equity value of Schwab grew from roughly $50 million to approximately $16 billion.
During Mr. Pottruck’s leadership, Schwab refocused its business model entirely on the internet, a radically transformative move that drove the company’s explosive growth. Schwab also led a reinvention of the no-load mutual fund industry with the introduction of the no-fee “mutual fund supermarket” concept and introduced the RIA servicing business; all these innovations are now cornerstones of the discount brokerage industry.
Mr. Pottruck has received accolades and recognition from numerous organizations and publications. He has been named one of the “Top 15 CEOs” by Worth; “CEO of the Year” by Information Week; “Executive of the Year” by the San Francisco Business Times; and “CEO of the Year” by Morningstar. Mr. Pottruck has been a frequent guest on CNBC and has been quoted, interviewed, and profiled by virtually every financial publication of note. He was named by Smart Money as one of the three most influential executives in the world of investing and by Institutional Investor as the number one most influential executive in the world of on line finance.
Mr. Pottruck is the co-author with Terry Pearce of “Clicks and Mortar: Passion Driven Growth in an Internet Driven World.” Their book was translated into 6 languages and in May 2000 rose as high as Number 8 on the Wall Street Journal Business Best Seller List , number 6 on Amazon.com (among all books), and number 7 in Germany. He also authored the New York Times best seller “Stacking the Deck, How to Lead Breakthrough Change Against Any Odds” in 2014 which was recently translated into Korean.
In 1999 he was appointed by Congress and then-President Clinton to serve as one of 19 Commissioners on the Advisory Commission on Electronic Commerce, which was tasked with producing recommendations on electronic commerce and tax policy, arguably one of the most important policy initiatives of the information age. Mr. Pottruck was also asked to testify before Congress.
Mr. Pottruck has taught and lectured on change leadership to thousands of executives from around the world. He has spoken to the senior executive teams from PWC, Deloitte, Intel, and AllState Insurance to name just a few. He is a Senior Fellow and adjunct faculty member at the Wharton School’s Center for Leadership and Change Management. In 2010 and again in 2012, he was Wharton San Francisco’s highest rated faculty member and received the school’s “Outstanding Teaching Award” for his class “Leading Breakthrough Change.”
Mr. Pottruck graduated with a BA from the University of Pennsylvania and earned his MBA with honors from Wharton. A native of New York, Mr. Pottruck resides in San Francisco and Park City, Utah.
Ms. Sanders is a business consultant for Charles Schwab & Co., Inc. She has spent her career working with firms as they prepare to launch, develop growth strategies and plan for their eventual succession or sale. Ms. Sanders leverages over 20 years of consulting, financial modeling and valuation experience from prior roles with Bank of America, Circle K/Tosco, Agilent Technologies and Charles Schwab. She pulls directly from her corporate M&A experience, and the personalized consulting done with existing RIAs, as she assists transitioning advisors with building a foundation for growth and increasing overall value. She has earned a bachelor’s degree in finance from the University of Arizona and a master’s degree in business administration from Arizona State University.
Mark Spina is head of U.S. Private Client Services at Russell Investments. In this role, Mark is the senior executive responsible for leading and expanding Russell Investments’ U.S. advisor-focused business and the firm’s client relationships in the wealth management, RIA, bank and retirement channels. Mark is a member of the firm’s global executive committee and global risk committee. He also serves as a trustee of the Russell Investment Company mutual fund board. Mark reports directly to the CEO and is based in the New York City office.
Mark joined Russell Investments in 2016. He has extensive and diverse experience, with both U.S. advisor distribution and international product responsibilities. Prior to joining the firm, Mark was executive vice president and head of U.S. intermediary distribution at Pioneer Investments. Mark also spent 14 years at Voya Investment Management (formerly ING Investment Management) in sales, marketing and product roles.
Mark holds an MBA in Finance & International business from Fordham University and a B.A. in Political Science from Bucknell University. He is a Certified Investment Management Analyst®.
Jeff Schwantz is head of Morningstar’s client solutions, where he leads the execution of strategic solution sales, marketing and client success experience across Morningstar’s multi-channel customer solutions for asset managers, broker dealers, registered investment advisors (RIAs), family offices, bank wealth management organizations, and online brokerage clients. Within Morningstar, Schwantz is an executive leader that works across the enterprise to deliver Morningstar’s data, research, software, and investment management services across the continuum of the ever-evolving investment advice industry. Schwantz also works collaboratively across many of the Financial Institutions than make up the current and future state of the investment advice ecosystem.
Schwantz has nearly 20 years of experience in the financial services industry. Before joining Morningstar in 2015, he was a director and senior relationship manager for Pershing LLC’s global client relationships team, where he was responsible for business development and led a nationwide team of relationship managers that managed the firm’s customer relationships with RIAs; independent, full-service, fixed-income, and bank broker dealers; and trust companies. Before Pershing, Schwantz was a relationship manager for Allstate Financial in both the retail and institutional asset management segments, having held positions in business development, operations and distribution technology. Previously, he worked for Wells Fargo.
Schwantz holds a bachelor’s degree in business administration from the University of Illinois and a master’s degree in business administration from Northern Illinois University’s Graduate School of Business. He was a contributor to and featured in the book Five Keys to Powerful Business Relationships (McGraw-Hill, 2013). In March 2017, Schwantz was awarded and recognized as a 2017 Rising Star in the industry by Fund Action Fund Directions, during the 24th Mutual Fund Industry Awards.
Mr. Stern joined Berkshire Capital in 1998. During his career at the firm, he has completed transactions involving institutional asset management, mutual fund, wealth management, and securities firms. Jon currently co-heads the firm’s institutional and mutual funds practice areas.
Jon brings extensive transaction experience in financial services to Berkshire Capital assignments. Prior to joining Berkshire Capital, Jon had spent his entire career at First Union and a predecessor bank, First Fidelity Bancorporation, beginning in 1984. He has extensive experience in the corporate finance area focusing on M&A and capital planning, and was a Senior Vice President responsible for acquisitions and divestitures in the Northern part of First Union’s franchise. Previously, he held other management roles within the finance division including asset/liability management and accounting & reporting.
Jon graduated from The Wharton School of the University of Pennsylvania with a BS degree in Economics and received an MBA in Finance from Rutgers University. He is also a CFA charterholder.
Susan Theder assumed the role of Chief Marketing Officer at Advisor Group in 2016. As CMO, Susan develops ways to enhance the effectiveness of the Firm’s communications and drive awareness of all our platform has to offer. She also focuses on developing programs to support our advisors’ growth objectives. Susan has spent over 25 years in financial services, most recently as Chief Marketing Officer at Cetera Financial Group, overseeing marketing and communications for it’s 11 independently managed broker-dealers.
Prior to Cetera, Susan was a Managing Director at Pershing, LLC, responsible for the strategic marketing of their BD, RIA and global business units. Prior to Pershing, Susan held senior positions in marketing, product management and practice management at Fidelity Investments.
Susan earned a BA, with Honors, in History from Bowdoin College and holds Series 7, 63 and 24 licenses.
Ms. Thompson is a managing director and Head of US Retail Distribution with Allianz Global Investors, which she joined in 1998. She is also a standing guest of the US Executive Committee. Ms. Thompson is responsible for the core business operations, strategy and growth of the firm’s Advisory Sales and Retirement Sales divisions; she is also responsible for the placement and distribution of the firm’s wide range of products offered through broker-dealers, financial advisors and other platforms. Ms. Thompson has held a variety of other positions within the firm, most recently as Head of Advisory National Accounts. She has 19 years of investment-industry experience.
Ms. Thompson has a B.A. from the University College of Dublin, Ireland. She holds the FINRA series 6, 7, 24, 63 and 65 licenses.
Timothy D. Welsh, CFP®
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 financial services and technology firms to distribute products and services through the advisor channel.
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. Tim is frequently quoted in the wealth management media on a wide range of business management and industry topics. He is the author of a number of industry white papers, a guest columnist for RIABiz, Investment News and WealthManagement.com, and is a frequent speaker at industry conferences and events. Tim earned a bachelor’s degree in economics from the University of California, Berkeley and an MBA in finance from the University of Colorado.
Tim holds the Certified Financial Planner (CFP®) designation and is an active member of the Financial Planning Association (FPA), where he serves in a leadership role on a number of task forces and committees, and was formerly an elected member of the National Board of Directors.