Strategies For Growth, Innovation And Best Practice Management

Chuck has been a financial advisor for more than 25 years. He started in the early 90s as a “cold calling cowboy” in NYC selling individual stocks. As he built his book, he always planned to go independent and did so in 1999 by opening an independent branch of Raymond James Financial. At that time, Chuck earned his CFP® designation and transitioned from individual stock picking to financial planning and asset allocating using mutual funds and SMAs. Chuck’s practice evolved into what is today Sovereign Financial Group, Inc., an SEC registered RIA. With offices and advisors in the Northeast, Florida, and Colorado, Sovereign is one of the fastest growing RIAs in the country. Chuck is also the Director of Sovereign Advisor Solutions (SAS)– a division of Sovereign Financial Group, Inc. SAS helps advisors transition to RIA by offering a comprehensive plug and play solution for going independent. Chuck’s ties to the financial planning community run deep. He currently serves on the Board of Directors for the FPA of Connecticut and Chairs their Pro Bono / Public Outreach Committee.

Chuck received his degree in Finance from The University of Connecticut and completed his coursework for the CFP® certification with The American College. He resides in Connecticut with his wife, two children, black lab and cats. In his spare time, he enjoys all things travel & outdoors — on the weekends you will find him with his family hiking, camping, skiing, boating or just enjoying some grilling in the backyard.

Joe Duran is a serial entrepreneur and an industry visionary in wealth management and wealthtech.

Most recently, Joe and his team launched Rise Growth Partners (‘Rise’), the industry’s first synergistic financial partner. With genuine experience and knowledge building national enterprise RIAs, Rise’s team will partner alongside middle-market RIAs, providing the tools and minority stake capital essential for their growth.

Previously, Joe was a Partner at Goldman Sachs as Co-Head of the Workplace and Personal Wealth business. Joe founded and was CEO of United Capital, one of the nation’s largest independent wealth management firms, which was acquired by Goldman Sachs in July, 2019. Prior to that he built and sold Centurion Capital, one of the first Turnkey Asset Management Platforms to General Electric where he served as President of GE Private Asset Management (now NYSE listed AssetMark.)

He is the author of three acclaimed books focusing on investing and entrepreneurship, earning him a coveted spot on both the New York Times and USA Today’s bestseller lists. Widely recognized for his expertise, Joe is a highly sought-after conference speaker and makes frequent appearances across a diverse range of media platforms, from CNBC to Goop.

Joe holds an MBA from both Columbia University and UC Berkeley and an undergraduate degree from Saint Louis University. As a CFA Charterholder and an active member of YPO, Joe is dedicated to using his vast experience to have a positive impact on the wealth management industry.

Together, Joe and his wife Jennifer reside between Southern California and New York City. They have three daughters they cherish and you can frequently find them traveling, dining, dancing and enjoying live music.

Kate Kammes is a Principal and Chief Talent Officer at JMG Financial Group. She has more than 20 years of experience managing and leading development initiatives in both large and small organizations.  

Before joining JMG Financial Group, Kate spent a good part of her career in Human Resources developing and deploying leadership development initiatives and working one-on-one with managers to help them develop their leadership skills to effectively lead and build strong teams.  At JMG, Kate takes the time to talk with the employees to understand their needs and desires so that leadership can build and clearly define career paths that are structured and motivating.  

Kate regularly partners with other leaders at the firm to present to and meet with students in financial planning programs at several universities in the Midwest as a way to acquire talent for the future.  Kate holds a Bachelor’s Degree in Social Work, a Master’s Degree in Training and Development, with a focus in Organizational Development, and also has the Financial Paraplanner Qualified Professional (FPQP ®) designation.   

Ali Criss-Kemp is the CEO & Owner of regional RIA, Financial Insights Wealth Management. Financial Insights was founded in 1981 and for over 40 years has been woman owned and operated. Under Ali’s leadership, the firm has been recognized as one of the fastest growing RIAs in the nation, and in 2022 Ali was recognized as 40 under 40 by Investment News Magazine.

She has served as the firm’s Chief Compliance Officer and holds the CFP® designation. She currently leads a team of 17 amazing staff and is working on progressing the industry towards ethical business leadership, inclusive team dynamics and creating a firm that serves all stakeholders: clients, local community, and employees.

Ali is a frequent speaker locally and nationally on the Future of Wealth Management and mergers/acquisitions. Her passion project is progressing the investment industry towards ethical and sustainable business practices and leadership.

Lauren Oschman, CFP®, CDFA®

Partner & Chief Executive Officer 

Lauren has never been one to shy away from a challenge, so it’s no surprise that she decided to cofound a financial planning firm just weeks after giving birth to her first child. She has been a trailblazer in many areas of her personal and professional life, bringing a dynamic blend of strategic vision, productive solutions, and great care for people to her role at Vestia. 

Lauren started her career as a financial advisor in 2010. Her expertise has led to her being a sought-after speaker for physician groups throughout Tennessee, Alabama, Georgia, and the surrounding areas. Physicians appreciate her natural ability to translate complicated financial concepts into illustrations that they can remember. In 2021, Lauren was named locally as one of Nashville Business Journal’s 40 Under 40* and nationally as one of InvestmentNews Top 40 Under 40** across the financial advice industry. Her thought leadership has also been featured in national publications such as ThinkAdvisor and Barron’s. 

Although Lauren works with many types of specialty physicians, she has a niche working with high-caliber female surgeons. Not only is she a strong advocate for equal pay for these women compared to their male counterparts, she is also passionate about empowering them to spend their time purposefully rather than tethered to their financial responsibilities. As an accomplished financial advisor, executive, and mother of three, Lauren is juggling work and home responsibilities right alongside many of her clients. 

Lauren graduated from Vanderbilt University with a degree in Economics and minor in Financial Economics and was inducted into the International Economics Honor Society, Omicron Delta Epsilon. She completed further training in financial planning at Emory University and is a CERTIFIED FINANCIAL PLANNER™. She volunteers as a CFP® WIN (Women’s Initiative) Advocate to raise awareness about the profession for young women. 

Lauren and her husband, Nick (a teacher at The Harpeth Hall School), met as undergrads at Vanderbilt and have resided in Nashville for over 15 years. They both grew up in small towns and love that Nashville gives them all the excitement of a city without compromising the small-town values so important to them as they raise their three young daughters. 

Shannon Spotswood is the president of RFG Advisory, a fast-growing platform for innovative and entrepreneurial independent advisors. She is a 25+ year industry veteran in financial services with an outstanding reputation built on leadership roles in professional management, investment banking, hedge fund management and business development. At RFG Advisory, Shannon oversees all aspects of RFG 2.0, a fully integrated platform designed for independent financial advisors and the implementation of strategic initiatives contributing to advisor success. In 2020, she was named among InvestmentNews’ Women to Watch in 2020. Joining the firm in 2015, Shannon recognized the opportunity to combine her entrepreneurial experience with her passion to build an innovative, advisor-focused RIA of the future.

James Burton is the Global Managing Editor for InvestmentNews, specializing in stories about investing, portfolio management, financial planning, advisors, and the markets. He is a journalist who has spent more than two decades working for newspapers and websites in the UK, UAE, Bermuda, and Canada.

As Head of Client Growth, Matt believes the best financial outcomes begin with advisor-centric tools and capabilities that wrap around the needs of the investor.

As a pioneer in advice delivery transformation, Matt’s thirty-year career has focused on simplifying the complexity of the financial services industry, supporting the evolution of advice delivery, and enhancing advisor value.

As an executive and board partner, Matt specializes in identifying both immediate and long-term growth opportunities. His decade-long leadership at AssetMark ranges from helping establish and roll out strategic priorities, to developing many of the client-facing systems, technologies, and experiences for which the firm is known. He has also reimagined and built the firm’s industry-leading business consulting offering, which today serves more than 9,300 advisors.

Career leadership includes:

• consulting institutional firms to maximize their enterprise value
• creating new channels and divisions to expand client relationships
• building and retaining market segments to fuel profitability
• evaluating inorganic growth opportunities (e.g., M&A) to enable growth
• incubating accretive revenue expansion through R&D initiatives
• reimagining technology to deliver better client solutions and outcomes

Matt regularly serves as a media and institutional investor spokesperson, and has appeared as keynote, panelist, moderator, or presenter at 150+ industry conferences. Additionally, he has authored 30+ industry articles (e.g., Investment News, Financial Planning Magazine, WealthManagement.com), as well as “The Power of Practice Management: Best Practices for Building a Better Advisory Business” (Bloomberg Press, 2013)—a book written to which helps financial advisors better develop lasting client relationships.

Matt is a devoted husband and father of a blended family of six kids, 3 boys and 3 girls.  In his spare time, he enjoys staying active by playing competitive tennis through the United States Tennis Association, working out, or playing cornhole with friends.

Kay Lynn has played many roles in the financial advisory industry: as a successor, partner, seller, and buyer. This unique and diverse background allows her to be able to relate to advisors in all phases of their careers and mergers and acquisitions. With a background in financial planning and leadership, her career expands over several areas, including advising clients, mergers and acquisitions, and strategic growth.

Kay Lynn worked her way up from an entry-level position to earn her seat at the C-Suites table as President of Merit, which manages over $10 billion in RIA and Brokerage assets under management. She holds her CFP®, AEP®, and RFC® and has been a critical decision-maker for two firms over the past twenty years. Kay Lynn has overseen multiple mergers and acquisitions over the past four years and has been recognized for her position as a female leader in the financial services industry.

She is passionate about helping people take their careers – and themselves – to exceptional levels. Kay Lynn’s influence in the industry and her drive for success is a driving factor in Merit’s ongoing growth and appeal to growth-oriented advisors.

Liz Nesvold is a prominent figure in the financial services industry, known for her dynamic leadership and deep experience. Throughout her 30-year career, Liz has served as a trusted consultant and investment banker, providing customized advice to her clients across business strategy, succession planning, integration, and growth.

Liz currently serves as the Chair of Emigrant Partners, a role she commenced in February of this year. She also acts as Vice Chair of Emigrant Partners’ banking affiliate, Emigrant Bank.

Prior to this, Liz was the President of Cresset, an award-winning multi-family office and private investment firm. Liz oversaw Cresset’s strategic objectives, family office services, corporate development, and finance departments. She also served as chair of the firm’s Management Committee.

Liz is a founder and CEO herself, having launched and built investment bank Silver Lane Advisors with several talented partners, including her husband, Peter Nesvold. Under Liz’s leadership, Silver Lane became a widely recognized leading RIA M&A firm, which was ultimately sold to a Fortune 500 company in 2019. Liz remained a Managing Director and Head of Asset and Wealth Management Investment Banking until joining Cresset.

Liz’s achievements have garnered significant industry recognition. Notably, Liz was named as a Woman to Watch by InvestmentNews in 2019 for her leadership in the financial advisory industry. She has also been an active champion and advocate for women in financial services throughout her career and is a member of 100 Women in Finance, Young Presidents Organization, and CHIEF. She serves as the independent director on the board of ClientWise, which she recapitalized with Northwestern Mutual Future Ventures Fund.

Liz earned a Bachelor of Arts degree from Binghamton University and an MBA in finance with high honors from Fordham University Gabelli School of Business.

Bryan leads the advisory and dually-registered transition process, drives strategy for inorganic growth opportunities for Merchant partner firms and manages key custodial and institutional partner relationships. Prior to Merchant, Bryan was a Partner at Purshe Kaplan Sterling Investments (“PKS”), where he helped grow PKS into one of the largest Independent Broker-Dealers in the country. Bryan joined PKS in February 2006 from Bear Stearns & Co. Inc., in New York City, where he served in the firm’s Leveraged Finance Group, specializing in leveraged buyouts, recapitalizations and other opportunistic refinancings.

Prior to Bear Stearns, Bryan worked in the investment banking group at Josephthal & Co. Mr. Staff began his career in the commercial banking group at Brown Brothers Harriman. Bryan holds an MBA from The Simon School of Business at the University of Rochester and a Bachelor of Science Degree in Industrial & Labor Relations from Cornell University.

Suzanne Siracuse, Founder and CEO of Suzanne Siracuse Consulting, LLC, specializes in advising financial services firms on innovative business strategies, distinctive marketing programs and impactful advocacy initiatives around diversity, financial literacy, and next gen talent. 

Ms Siracuse is also the Creator and Host of The Big Reveal Podcast Series where she interviews industry thought leaders and influencers on all things wealth management, but with a twist and is the Creator and Host of Focused on the Future podcast series in partnership with WealthManagement.com 

Ms. Siracuse is the former CEO and Publisher of InvestmentNews where she oversaw the vision and strategic direction for all their platforms including print, digital, events and research.   

Ms Siracuse is a founding member of the Invent Elite consulting consortium, which focuses on developing, launching, branding and operationally supporting broad based technology initiatives for financial services firms. 

In addition, Ms. Siracuse is on the Board for the non-profit, Savvy Ladies,  is a member of the Council of Ambassadors for the IWI’s Thrive Center for Diversity and Inclusion, is an Advisory Board member of Diversitas and is an advisory board member of the American College’s Center for Women. 

In Nov 2020, Ms. Siracuse was recognized by InvestmentNews with the Women to Watch “Trailblazer” award for her commitment to DEI initiatives within the financial services industry and in Nov of 2022 was honored as a Think Advisor Luminary for her contributions on Diversity Equity and Inclusion in the wealth management industry. 

She holds a BS in Business from Rider University.  She, and her husband, Lee reside in New York City. 

Andrew Altfest is President of Altfest Personal Wealth Management. He advises clients about their personal finances and drives financial planning strategies for team members across the firm. He is also an active member of Altfest’s Investment Committee and the Portfolio Action Group, which sets investment strategy for client portfolios.

Andrew has spearheaded a number of initiatives to expand the firm. These have included organizing different practice groups focused on client segments, launching private equity solutions and directing the firm’s Young Professionals group aimed at millennials. He also has encouraged further formalizing investment processes and led the introduction of a new technology process mandate with digital planning, to enhance decision-making, client experience and productivity. Additionally, Andrew leads the firm’s efforts in the tax management of investment portfolios, and advises clients on charitable contributions.

Andrew is the founder and CEO of FP Alpha, the first AI-driven comprehensive wealth management solution to cover more than 16 areas of financial planning. The software enables financial advisors to save time in the planning process, showcase their value beyond investments, and deliver the personalized, comprehensive experience that clients require.

Andrew was named a Best-In-State Wealth Advisor in New York City by Forbes in its 2018, 2019, 2020, 2021 and 2023 ranking, as well as a Young Advisor to Watch by Financial Advisor in 2020. He was included in Forbes’ list of America’s Top Next-Generation Wealth Advisors in 2017, 2018 and 2019; InvestmentNews’ 2018 list of 40 Under 40 in the financial advisory industry; and Financial Advisor’s Due Diligence/Research Manager All-Star Team in 2012 and 2013, and AdvisorHub’s Advisors to Watch list 2023.

Andrew joined the firm in 2003. He received his BA with honors in English from Cornell University, and his MBA from Columbia University’s Graduate School of Business. He also is a CFP® licensee.

Andrew has spoken at local universities, industry conferences and the American Association of Individual Investors, and has appeared regularly in the press, including The Wall Street Journal, Bloomberg News and Dow Jones Newswires.

Andrew is a member of the National Association of Personal Financial Advisors (NAPFA), and as chair of the New York City chapter, he has strengthened its membership. He’s on the board of the Lower East Side Jewish Conservancy and mentors young financial advisors and New York University’s CFP® students. In his free time, Andrew enjoys running, biking, trying new restaurants, traveling and learning about different cultures.

Gabe is the Co-Founder and President of YourStake, which provides explainable ESG analysis and reporting tools to financial advisors. Prior to founding YourStake, Gabe co-founded Real Impact Tracker, which published an open-sourced methodology for scoring the ESG impact of asset managers, and he held positions at Rockefeller & Co and the Connecticut Green Bank. Gabe holds a B.S. computational astrophysics from Yale, where he also led Yale’s fossil fuel divestment movement and student-managed Socially Responsible Investing fund, which under his leadership became the first ever student investment fund to file a shareholder resolution. Gabe is a board member of the Intentional Endowments Network, is a member of the Adasina Social Justice Index Committee, was named 30 under 30 in Socially Responsible Investing, is a WealthManagement.com 2022 Ten to Watch and has published academic papers on ESG investing. Gabe also writes a monthly series for WealthManagement.com highlighting the top ESG trends of the month.  

Hiren B Patel is an Executive Director and Head of Advisor Solutions at 55ip.  At the start of his career Hiren worked directly with clients as a financial advisor at Merrill Lynch.  As time went on Hiren gradually transitioned away from investment management and started to shape technology products that supports advisors in serving clients better.  He helped launch products at Merrill Lynch and then moved on to a silicon valley based firm, called SigFig.  Here he worked with advisors at UBS, Wells Fargo, Santander, Scotia Bank, and Citizens Bank to again deploy technology to advisors focusing on Practice Management & Scalability.  Today, at 55ip, he is responsible for deriving analytics and messaging from 55ip to 3 core audiences: Clients, Financial Advisors, and the financial services industry.  In doing so Hiren is frequently requested to speak at conferences, webinars, trainings, podcast, and deliver written content for the firm.  He holds his Series 7, 66, 9, and 10 licenses. He’s also a Chartered Retirement Planning Counselor and holds a dual masters, MBA and Masters in Innovation Technology from Fox Business School.

Blaine Aikin, AIFA®, CFA, CFP ®, is both founder and sole employee of Fiduciary Insights LLC. Through Fiduciary Insights, he works to promote financial well-being while protecting the planet’s natural resources. In fact, Fiduciary Insights offers services that emphasize the fundamental and profound ways these two seemingly disparate arenas—finance and conservation—are profoundly and fundamentally interconnected.

The mission: to cultivate and serve a community committed to sound stewardship of the resources entrusted to them

The vision: a world culture that values and promotes responsible and sustainable management of financial, social, and natural resources

Fiduciary Insights works with investment fiduciaries and forest stewards—and other like-minded people and organizations—as a consultant and collaborator, facilitator, and subject matter expert.

James Lee, CFP®, CRPC®, AIF®, currently serves as the volunteer past president of the board of directors for the Financial Planning Association® (FPA®), the leading membership organization for CERTIFIED FINANCIAL PLANNER™ professionals and those engaged in the financial planning process.

Lee is president of Lee Investment Management in Saratoga Springs, NY, and believes strongly in the value of financial planning and strives to move the profession forward through volunteer efforts with FPA.

Lee has been a member of FPA for over 20 years and served on the board of directors of the FPA of Northeastern New York for seven years. He is a founding member of the FPA Council of New York, and past Chair of FPA’s Legislative and Regulatory Issues Committee (LRIC). In addition to his work with FPA, Lee has served on the board of directors of The Prevention Council, Saratoga Arts and the Saratoga Youth Lacrosse Association. He also served as a member of the Town of Greenfield’s Planning board and Board of Assessment Review. Lee currently serves as the Administrator of Greenfield’s Economic Development Revolving Loan Fund.

Lee earned his Bachelor of Arts degree in Economics from the University of Virginia.

Liz Miller, CFP® CFA® is the founder and President of Summit Place Financial Advisors, LLC , an independent SEC registered advisor, offering personalized investment management and financial consulting to elite families and individuals. Liz also serves as the 2024 Chair-Elect of the Board of Directors for CFP Board, which provides strategic leadership to the organization that certifies and upholds standards for approximately 100,000 CFP® professionals in the United States.  

Previously, Liz was a principal owner of the investment manager, Trevor Stewart Burton & Jacobsen Inc. in NYC. in addition to managing portfolios and client relationships, she led the firm’s equity research activities and stock selection of the investment committee. Liz started her career as a mergers & acquisition analyst for The First Boston Corporation. She went on to become a portfolio manager for Oppenheimer Mutual Funds. In 2008, she founded Summit Place Financial Advisors, LLC to focus on the complex financial needs of today’s multigenerational families.  

Liz has been a leader in the development of the wealth management profession, leading the first Private Wealth Management committee at the CFA Society of NY where she was honored with a Volunteer of the Year award and later served on the Board of Directors. Liz also served on the Wealth Management task force for CFA Institute, contributing to the initial curriculum on wealth management for CFA candidates. 

 Liz is the author of “Clutter-Free Wealth: A Goal-oriented Guide to Gaining Control of your Affluence” and is a member of the editorial advisory board for Trusts and Estates Magazine. Liz also serves as Co-President of the Alumni Board of Governors for the Sphinx Senior Society of the University of Pennsylvania and is a member of the undergraduate advisory board for the New Jersey Institute of Technology. She is a member of the Financial Planning Association, CFA Society, the National Speakers Association and the Women Presidents Organization.  

Liz received a B.S in economics from The Wharton School at the University of Pennsylvania and an M.A. from Columbia University. Liz is the proud mother of grown twin daughters and she and her husband reside in New York City with their 90lb Labrador retriever. 

Knut A. Rostad, MBA co-founded and is president of the Institute for the Fiduciary Standard, a nonprofit formed in 2011 to advance the fiduciary standard through research, education, and advocacy. Prior, he served as the regulatory and compliance officer at Rembert Pendleton Jackson, a registered investment adviser in Falls Church, Virginia. 

The Institute for the Fiduciary Standard advances fiduciary principles and practices in investment and financial advice and planning. The Institute has established a national reputation as a leading voice for uncompromised fiduciary duties. The Institute Real Fiduciary™ Practices Board has promulgated practices to guide advisors on fiduciary conduct. These Real Fiduciary Practices serve as the Institute’s North Star. The Institute has also launched Fiduciary September to remind the industry why fiduciary duties matter. The Frankel Fiduciary Prize honors individuals for outstanding contributions to fiduciary principles. Rostad advocates before federal and state regulators. He has authored numerous articles, papers, and regulatory comment letters. 

Rostad is the editor of The Man in the Arena: Vanguard Founder John C. Bogle and His Lifelong Battle to Serve Investors First, published by Wiley in December 2013. He is also a contributor to Advisor Perspectives; speaks frequently at industry conferences on fiduciary and compliance issues; and is regularly cited in media national and industry outlets. Rostad was named to Investment Adviser Magazine’s ‘IA 25’ list in 2014, which it calls “our annual list of the most influential people in and around the advisor industry.” 

Chuck has been a financial advisor for more than 25 years. He started in the early 90s as a “cold calling cowboy” in NYC selling individual stocks. As he built his book, he always planned to go independent and did so in 1999 by opening an independent branch of Raymond James Financial. At that time, Chuck earned his CFP® designation and transitioned from individual stock picking to financial planning and asset allocating using mutual funds and SMAs. Chuck’s practice evolved into what is today Sovereign Financial Group, Inc., an SEC registered RIA. With offices and advisors in the Northeast, Florida, and Colorado, Sovereign is one of the fastest growing RIAs in the country. Chuck is also the Director of Sovereign Advisor Solutions (SAS)– a division of Sovereign Financial Group, Inc. SAS helps advisors transition to RIA by offering a comprehensive plug and play solution for going independent. Chuck’s ties to the financial planning community run deep. He currently serves on the Board of Directors for the FPA of Connecticut and Chairs their Pro Bono / Public Outreach Committee.

Chuck received his degree in Finance from The University of Connecticut and completed his coursework for the CFP® certification with The American College. He resides in Connecticut with his wife, two children, black lab and cats. In his spare time, he enjoys all things travel & outdoors — on the weekends you will find him with his family hiking, camping, skiing, boating or just enjoying some grilling in the backyard.

Jason is a Partner of Crewe Advisors. He joined Crewe in 2021 and brings over 20 years of progressive leadership experience in wealth management. 

Jason earned his BS in Finance, cum laude, from the W.P. Carey School of Business at Arizona State University and his MBA with an emphasis in Finance from the Marriott School of Business at Brigham Young University. In addition, Jason is a CERTIFIED FINANCIAL PLANNER™ certificant, a Certified Private Wealth Advisor® professional, and an Accredited Wealth Management AdvisorSM designee. 

Jason is a member of the BYU Management Society and is a past President and Chairman of the Financial Planning Association of Greater Phoenix. 

A financial advisor since 2006 and a financial services professional since 2004, Nina O’Neal is an industry veteran. She began her career in New York, NY in institutional finance and after some time on Wall Street, moved back to North Carolina to become a financial advisor with Merrill Lynch. In 2009, Nina became co-owner of AIM Advisors to fulfill her desire to provide unparalleled client service. Today, she focuses on bringing her experience with large pensions, endowments and corporations both to individuals and to businesses.  

Nina is frequently sought out as a panelist and participant in industry conferences, as well as a podcast guest. She is a writer on practice management and industry topics for Financial Planning Magazine and a contributor to the book How I Invest My Money: Finance in which experts reveal how they save, spend and invest.  

In 2019, Nina founded The Female Advisor Network, a national membership organization for female financial advisors, with the mission to create a community of support, mentorship, collaboration and education for female advisors. She is also very passionate about her community and has supported, sponsored and planned numerous charity events. Nina is a member of Hayes Barton United Methodist Church and the North Carolina State University Club; she is also an active parent at St. David’s School and the West Raleigh Baseball Association.  

A graduate of the University of North Carolina at Chapel Hill, Nina remains local to the area and loves trying new experiences, restaurants, etc. She also enjoys traveling, is an avid reader and spends most of her time with her boys, Lowe and Emmett. 

Eric Stephenson is the Chief Operating Officer at Align Impact and member of its investment committee. He works to advance the firm’s work helping investors and advisors create and implement impact investing strategies. Prior to Align, Eric was the Portfolio Director at the Cordes Foundation, tasked with mission-aligning 100% of the endowment across asset classes, and overseeing the Foundation’s philanthropic initiatives. He started his finance career on the fund investments team at Hamilton Lane and global leasing group at Xerox. Eric serves on the boards of the Cordes Foundation and Confluence Philanthropy, and advisory councils for Duke University’s CASE i3 and The Investment Integration Project (TIIP). He earned his BBA from Temple University, MA from University of the Pacific and is an active CAIA charterholder.

Sharon Hayut, joined Magnus in January 2022 as a Senior Managing Director. She is responsible for advising individuals, families, and single-family offices on a variety of wealth management and estate planning topics. She has over 15 years’ experience working with multi-generational wealth. Prior to joining Magnus, Sharon was a Senior Vice President at Morgan Stanley Wealth Management. At Morgan Stanley, she provided comprehensive financial counseling to high net-worth individuals, advising clients on investment opportunities, tax issues, estate planning, employee benefits and compensation decisions. Sharon works directly with a select group of ultra-high net-worth individuals, multigenerational families, corporate executives, and entrepreneurs to help them address the complexities that come along with having significant wealth. She offers guidance based on her deep understanding of her client’s immediate and long-term needs. She puts an emphasis on being highly responsive and providing an objective and detailed approach to cultivate exceptional and long-lasting relationships.    

Sharon has been named Forbes’ Best-In-State Women Wealth Advisors (2022), Forbes Top Women Wealth Advisors (2021), Working Mother & SHOOK Top Wealth Advisor Moms (2020, 2019, 2018), Forbes/SHOOK® Best-in-State-Next-Gen Wealth Advisors list (NYC – 2018), and Forbes/SHOOK® Research’s Top Next-Gen Wealth Advisors (2018). In addition, Sharon was named to New York Magazine’s Five Star Wealth Managers (2014, 2015).  

A 30+ year veteran of the investment and financial planning industries, Tom Ruggie, ChFC®, CFP® began his career in 1991 and subsequently founded Ruggie Wealth Management, the Central-Florida based flagship company of independent RIA Destiny Wealth Partners, which exceeded $1B in AUM as of July 2023, and Destiny Family Office, founded in 2016 to help high-net-worth and ultra-high-net-worth individuals and families face head-on the increasing complexities inherent in their business and personal lives.

Destiny Wealth Partners also conducts business as Nichols Wealth Partners, Boca Raton, FL.

Tom has become one of the most respected financial advisors in the industry, receiving national recognition and rankings including:

• Investment News 75 Fastest-Growing, Fee-Only RIAs 2023
• 11X Barron’s Top 1200 Financial Advisors
• 6X Forbes/Shook Research Best-In-State Wealth Advisors (#5 North Florida)
• Forbes/Shook Research 250 Top RIA Firms 2023
• 11X Financial Advisor Top RIA Firms
• USA Today Best 500 Advisory Firms

Acknowledging that in an evolving environment his firm must also continually evolve, Tom has identified three key areas where evolution has most keenly had a positive impact: 1. presenting a compelling sphere of investments, including alternative, direct and co-investment opportunities, 2. creating a special emphasis on high-end collectors whose collections signify a significant alternative investment, and 3. strengthening the firm’s private trust capabilities.

Recently, Tom authored numerous articles on alternative investments and collectibles which have appeared in Forbes.com, Kiplinger’s, Sports Collectors Digest and PSA Magazine, and was recently interviewed by Barron’s Penta. He has been selected as a monthly contributor to Kiplinger and also been quoted in media including The Wall Street Journal, New York Times, CNN Money, CNBC, and Fox Business News.

The Florida native has served on numerous boards of directors serving for-profit and not-for-profit organizations and foundations.

Debra Brennan Tagg is a CERTIFIED FINANCIAL PLANNER™ and president of BFS Advisory Group, the advisory division of Brennan Financial Services. Debra is also the creator of the DBT360 Financial Plan, a proprietary program that helps her clients invest for the lives they want. The process prioritizes goals, leverages resources, and addresses risks to create a 360-degree, long- term financial plan.

Debra is a financial planner for both individual and institutional clients, focusing on the unique challenges facing aspiring families, high-net-worth individuals, women and entrepreneurs. She can tailor investment and insurance programs designed to meet each client’s retirement, education, wealth building and estate planning goals.

Debra is also a community leader striving for permanent positive change in Dallas. She is among D CEO’s Dallas 500, the most powerful business leaders in DFW; was named the 2019 Corporate Leader of the Year for D CEO’s Nonprofit and Corporate Citizenship Awards; and was the United Way of Metropolitan Dallas 2015 Innovator of the Year.

A nationally recognized financial planner and 2020 InvestmentNews Woman to Watch, Debra educates financial advisors and investors of all types. She is a sought-after speaker and co- hosted “Dollars and Sense,” her firm’s weekly radio program on WBAP-AM. Debra also produced and co-hosted the weekly television program “Smart Money Live with the Brennans” on WFAA-TV in 2006 and 2007.

The industry veteran chairs the Advisor Group National Advisory Board and is the past chair of the FSC Securities Board. She is a member of the RIA Institute Advisory Board, as well as the Financial Planning Association and the Financial Services Institute.

Debra lives in Dallas with her husband and two children. Her hobbies include yoga, travel, writing, photography and music.

Matt Ohme is vice president, RIA sales for Jackson National Life Distributors LLC (JNLD), the marketing and distribution business of Jackson National Life Insurance Company (Jackson). In this role, Matt leads Jackson’s RIA sales efforts and partners with teams across the company on strategic RIA business initiatives focused on awareness of commission-free annuities, educational materials and the platform experience designed for RIAs.

Prior to joining Jackson, Matt served as senior vice president, channel head of RIA at Allianz. Before that, he was responsible for RIA distribution at Allianz Life which included establishing the RIA channel at the company. He also has experience in field marketing organization distribution and broker-dealer relationship management. Prior to joining Allianz Life, Matt worked for University Capital Strategies Group, a small merger arbitrage hedge fund, where he participated in currency hedging and trade allocations as a prime brokerage relationship manager.

Matt earned his MBA from Hamline University and a bachelor’s degree from St. John’s University. He holds FINRA Series 6, 7, 24 and 63 registrations and Certified Financial Planner (CFP®), Certified Investment Management Analyst (CIMA) and Chartered Life Underwriter (CLU) designations.

A financial advisor since 2006 and a financial services professional since 2004, Nina O’Neal is an industry veteran. She began her career in New York, NY in institutional finance and after some time on Wall Street, moved back to North Carolina to become a financial advisor with Merrill Lynch. In 2009, Nina became co-owner of AIM Advisors to fulfill her desire to provide unparalleled client service. Today, she focuses on bringing her experience with large pensions, endowments and corporations both to individuals and to businesses.  

Nina is frequently sought out as a panelist and participant in industry conferences, as well as a podcast guest. She is a writer on practice management and industry topics for Financial Planning Magazine and a contributor to the book How I Invest My Money: Finance in which experts reveal how they save, spend and invest.  

In 2019, Nina founded The Female Advisor Network, a national membership organization for female financial advisors, with the mission to create a community of support, mentorship, collaboration and education for female advisors. She is also very passionate about her community and has supported, sponsored and planned numerous charity events. Nina is a member of Hayes Barton United Methodist Church and the North Carolina State University Club; she is also an active parent at St. David’s School and the West Raleigh Baseball Association.  

A graduate of the University of North Carolina at Chapel Hill, Nina remains local to the area and loves trying new experiences, restaurants, etc. She also enjoys traveling, is an avid reader and spends most of her time with her boys, Lowe and Emmett. 

Ka’Neda N. Bullock, CFP® 

President and Founder 

Ka’Neda N. Bullock, CFP®, MBA, AIF®, APMA®, President and Founder of Master Plan Investment Group, is an award-winning wealth manager and employer retirement plan advisor. She is dedicated to helping individuals, business owners, and organizational leaders achieve their personal and professional retirement and over-all financial goals while building wealth and promoting a legacy of investment knowledge. 

In her capacity as a retirement and wealth manager, Ka’Neda employs tailor-made investment, insurance, and financial planning strategies to guide her clients toward their aspirations. As a committed financial fiduciary, she takes the time to understand her clients’ joys, fears, and dreams, offering not just financial guidance but also clarity and confidence as they embark on the journey to execute their investment, retirement, and comprehensive financial plans with her, as their partner. 

Ka’Neda’s role as a retirement plan advisor extends her knowledge to managing workplace retirement plans such as 401(k) and 403(b) plans. She collaborates closely with business owners and organizational leaders to craft strategically designed employee retirement plans and a sound governance process. These initiatives not only impact one’s tax strategies, but also empower individuals to retire comfortably while equipping them with essential financial knowledge. Ka’Neda’s innovative multigenerational participant education strategy, aimed at retaining and attracting top talent, incorporates financial education and wellness to help alleviate financial stress in the workplace while educating employees about how to work towards a secure retirement and fulfilling lives. 

Christian is an accomplished financial sales professional who brings optimism, passion, creativity and impeccable presentation skills to every client engagement.

Christian champions diversity and inclusion. He is an advocate for increasing Diversity, Equity, Belonging and Inclusion in the retail Wealth Management Industry.

Christian lives and breathe’s PMC-LLC’s commitment to help financial professionals become better versions of themselves through coaching and mentoring that helps build and manage more vibrant and successful practices. He has extensive experience coaching and consulting financial advisors on best practices relating to comprehensive wealth management, client service models, business development and marketing.

Christian is also a published author. His book, The Role Artificial Intelligence Can Play in Identifying and Flagging Financial Crimes provides insights in to how AI can assist in the new Fin tech era.

During his frequent public appearances, he encourages Wealth Management Firms in the Industry to practice Equality under Corporate Policy for all employees, diverse and non diverse alike.

James Seth Thompson is a Senior Vice President and Head of Diverse Markets Strategy at Bernstein Private Wealth Management. In this role, James develops relationships in diverse markets to deliver investment and wealth planning advice. James empowers multicultural investors to change the trajectory of their wealth, impact and influence and encourages a fresh perspective on equity, advocacy, responsibility and investing. His equitable approach to addressing the unique needs of multicultural investors best informs deep discovery to truly define how their resources contribute to their legacy. Access, exposure, experience and education matters, and these levers influence how James helps clients create systemic wealth and close the gap between opportunities and outcomes. James also holds several distinct leadership roles championing diversity, equity, inclusion, recruiting and professional advancement of diverse talent across the firm. He began his tenure at AllianceBernstein in 2011 where he led marketing for the firm’s institutional investment management channels. James has a BA in marketing and a BA in human resources administration from Temple University. He serves as Treasurer for Dignity Housing for the Homeless and Race, Equity and Empowerment Chair for Philadelphia Youth Basketball. James is the recipient of many awards and recently InvestmentNews’ See It Be It Role Model acknowledging his contribution to diversity, equity and inclusion in the industry.

Chuck has been a financial advisor for more than 25 years. He started in the early 90s as a “cold calling cowboy” in NYC selling individual stocks. As he built his book, he always planned to go independent and did so in 1999 by opening an independent branch of Raymond James Financial. At that time, Chuck earned his CFP® designation and transitioned from individual stock picking to financial planning and asset allocating using mutual funds and SMAs. Chuck’s practice evolved into what is today Sovereign Financial Group, Inc., an SEC registered RIA. With offices and advisors in the Northeast, Florida, and Colorado, Sovereign is one of the fastest growing RIAs in the country. Chuck is also the Director of Sovereign Advisor Solutions (SAS)– a division of Sovereign Financial Group, Inc. SAS helps advisors transition to RIA by offering a comprehensive plug and play solution for going independent. Chuck’s ties to the financial planning community run deep. He currently serves on the Board of Directors for the FPA of Connecticut and Chairs their Pro Bono / Public Outreach Committee.

Chuck received his degree in Finance from The University of Connecticut and completed his coursework for the CFP® certification with The American College. He resides in Connecticut with his wife, two children, black lab and cats. In his spare time, he enjoys all things travel & outdoors — on the weekends you will find him with his family hiking, camping, skiing, boating or just enjoying some grilling in the backyard.

Chuck has been a financial advisor for more than 25 years. He started in the early 90s as a “cold calling cowboy” in NYC selling individual stocks. As he built his book, he always planned to go independent and did so in 1999 by opening an independent branch of Raymond James Financial. At that time, Chuck earned his CFP® designation and transitioned from individual stock picking to financial planning and asset allocating using mutual funds and SMAs. Chuck’s practice evolved into what is today Sovereign Financial Group, Inc., an SEC registered RIA. With offices and advisors in the Northeast, Florida, and Colorado, Sovereign is one of the fastest growing RIAs in the country. Chuck is also the Director of Sovereign Advisor Solutions (SAS)– a division of Sovereign Financial Group, Inc. SAS helps advisors transition to RIA by offering a comprehensive plug and play solution for going independent. Chuck’s ties to the financial planning community run deep. He currently serves on the Board of Directors for the FPA of Connecticut and Chairs their Pro Bono / Public Outreach Committee.

Chuck received his degree in Finance from The University of Connecticut and completed his coursework for the CFP® certification with The American College. He resides in Connecticut with his wife, two children, black lab and cats. In his spare time, he enjoys all things travel & outdoors — on the weekends you will find him with his family hiking, camping, skiing, boating or just enjoying some grilling in the backyard.