Large Firm Forum Speakers
The brightest and most influential minds in the financial world will lead highly-relevant forums, mini-forums and panel discussions designed for large firm leaders and their contemporaries. Join your peers and rising next generation colleagues for thought-provoking sessions with:
Mark P. Hurley
Chairman and Chief Executive Officer, Fiduciary Network
Mark P. Hurley co-founded Financial Network in 2006 and serves as the Chairman of the Board and CEO. He oversees the FN team and its transactions and works closely with each of its partner firms.
Prior to helping start FN, he was Chairman and CEO of Undiscovered Managers, LLC, a mutual fund company he founded in 1998 and sold to J.P. Morgan Chase in 2004. He previously was a Managing Director at Merrill Lynch and Co., a Vice President at Goldman Sachs & Co. and served as a presidential appointee at a bureau of the United States Treasury Department from 1990-1992. He is a graduate of the United States Military Academy at West Point and received an MBA from the Stanford Graduate School of Business.
Tom Nally, TD Ameritrade Institutional
President, Institutonal Services
Tom Nally oversees the strategy and deployment of initiatives for the Advisor segment at TD Ameritrade. He also serves as a member of the Company's senior operating committee (SOC), which shapes the strategic focus of the organization.
Tom Nally is responsible for all business functions at TD Ameritrade Institutional. As president of TD Ameritrade Institutional, Nally sets the vision for key initiatives supporting independent registered investment advisors (RIAs), a growing and dynamic segment of the wealth management industry. Nally has more than 20 years of experience working with advisors and leads a tenured team focused on serving more than 4,500 independent RIAs who custody assets with TD Ameritrade Institutional.
A recognized leader and advisor advocate, Nally was named to Investment Advisor Magazine’s annual list of the 25 most influential people in the industry in 2012 and 2014. Under Nally’s leadership, TD Ameritrade Institutional has experienced strong growth and has earned accolades for delivering innovative technology to help RIAs run and build their businesses. With a focus on the future, Nally has championed efforts to attract and support the Next Generation of advisors including launching the TD Ameritrade Institutional NextGen Scholarship and Grant Program and the TD Ameritrade RIA Intern Network.
David Nour – CEO, The Nour Group, Inc.
Senior Leadership Advisor | International Speaker | Best-Selling Author
David Nour is a growth strategist and the thought leader on Relationship Economics® - the quantifiable value of business relationships. The Nour Group, Inc. has attracted consulting engagements from over 100 marquee organizations seeking unique return on their strategic relationships. David has pioneered the phenomenon that relationships are the greatest off balance sheet asset any organization - large and small, public and private - possesses.
He annually delivers 50 global keynotes on business relationships, social & mobile disruptive technologies, and adaptive innovation at corporate meetings, leading industry association conferences, and academic forums. He is often a guest lecturer at the Goizueta Business School at Emory University and Georgia Tech’s College of Management. David serves as the lead independent director on the board of introNetworks, a privately held intelligent community technology firm based in Santa Barbara, California.
David’s unique perspective and independent insights on business relationships as well as social and mobile innovation have been featured in a variety of prominent blogs and publications including The Wall Street Journal, The New York Times, Fast Company, Knowledge@Wharton, Associations Now, Huffington Post Business, Medium, Entrepreneur and Success magazine. He is the author of several books including the best-selling Relationship Economics (Wiley), ConnectAbility (McGraw-Hill), The Entrepreneur’s Guide to Raising Capital (Praeger), Return on Impact (ASAE), and the newly released, CO-CREATE: (St. Martin’s Press), an essential guide showing C-level leaders how to optimize relationships, create market gravity, and greatly increase revenue.
Philip Palaveev, CEP, The Ensemble Practice LLC
Philip Palaveev is an industry expert and highly sought-after consultant focused on creating team-based financial advisory businesses aimed at sustained growth, profitability and value. Philip is the owner and CEO of The Ensemble Practice LLC, a business management consulting firm that defines the evolution of growing a multi-professional advisory practice. He specializes in helping independent financial advisors grow their business from a solo practice into a thriving and profitable ensemble firm. Palaveev also works with broker-dealers and custodians on creating impactful practice management services for their advisors.
Philip recently authored “The Ensemble Practice”, a book dedicated to the process of building a multi-professional enterprise. He is also known for his industry research papers and articles, is a frequent speaker at industry conferences and contributes regularly to industry blogs.
Dr. Suzanne J. Peterson, Executive Coach Specializing in Leadership Style, Development, and Communication.
Dr. Peterson provides counsel and coaching to Wall Street leaders, and financial services companies. Emphasizing leadership style and credibility, effective communication, and relationship development as building blocks to leadership success, she helps propel her clients towards excellence. Her recent clients include leaders in firms such as Morgan Stanley, JP Morgan Chase, Piper Jaffray, Charles Schwab, Cowen, Fidelity, Prudential, Bank of America/Merrill Lynch, Societe Generale, USAA, McDonalds, King Street, and Ayco, among others.
Suzanne serves on the faculty of The Thunderbird School of Global Management. Prior to entering academia, she worked as a change management consultant. She holds a BA in psychology and an MBA and Ph.D. in organizational behavior from the University of Southern California and University of Nebraska, respectively.
Professor Mohanbir Sawhney
McCormick Foundation Chair of Technology
Clinical Professor of Marketing
Director of the Center for Research in Technology & Innovation
Prof. Sawhney is a globally-recognized scholar, teacher, consultant and speaker in innovation, strategic marketing and new media. His research and teaching currently focuses on modern marketing, organic growth and business innovation.
Prof. Sawhney has written six management books as well as dozens of influential articles in leading academic journals and managerial publications. His most recent book, “Fewer, Bigger, Bolder: From Mindless Expansion to Focused Growth”, was published in July, 2014. His most recent article Putting Products into Services, was published in Harvard Business Review in September 2016. His research has been published in leading journals including California Management Review, Harvard Business Review, and the Journal of Interactive Marketing.
In 2006, Dr. Sawhney won the Sidney Levy Award for Teaching Excellence at the Kellogg School. Prof. Sawhney is a Fellow of the Institute of Study for Business Markets (ISBM) at Penn State University, and a member of the Advisory Board at the Chicago Innovation Awards.
Prof. Sawhney holds a Ph.D. in Marketing from the Wharton School of the University of Pennsylvania; a Master’s degree in Management from the Indian Institute of Management, Calcutta; and a Bachelor’s degree in Electrical Engineering from the Indian Institute of Technology, New Delhi.
Chief Executive Officer, Pershing Advisor Solutions
Mark Tibergien is 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 is also a Managing Director for Pershing and a member of its Executive Committee and BNY Mellon’s Senior Leadership Team.
Prior to joining Pershing in 2007, Mark was a principal in the accounting and consulting firm, Moss Adams LLP, where he was partner-in-charge of the Business Consulting group, chairman of the Financial Services Industry group and partner-in-charge of the Business Valuation group. Mark has worked with public and private companies on matters related to business management, transition planning and strategy formulation since 1976. This includes hundreds of independent registered investment advisors, broker-dealers, investment managers, insurance companies and other financial services organizations in the United States, Australia, Europe, the Middle East and Canada.
In a 2017 Investment Advisor survey, Mark was named The Most Influential Person in Financial Services, with almost half of respondents voting for him. For his contributions to the industry, in 2016 Mark was named to Investment News’ Icons & Innovators list, which recognizes those who have shaped and transformed the financial advice profession. Mark has previously served in a variety of community and industry organizations, and was most recently named to the Advisory Council for the Center for Financial Planning, whose mission is to promote diversity in the advisory profession.
Large Firm Forum Panel Participants
Adam Birenbaum, JD
CEO, Buckingham Strategic Wealth and BAM Advisor Services
As Chief Executive Officer for Buckingham Strategic Wealth and BAM Advisor Services, Adam Birenbaum provides the dedicated, strategic leadership critical to advancing Buckingham’s position as one of the leading independent wealth management firms in the United States. Together with BAM Advisor Services, Adam leads an organization serving over 22,000 clients, managing or administering over $31 billion dollars in assets.
As CEO of Buckingham and BAM, Adam leads strategic planning and initiatives across the entire organization, continuously evolving and improving its approach to attracting top talent, building robust infrastructure and delivering an unrivaled client experience. Adam has helped Buckingham create deep wealth management teams capable of supporting the firm’s clients now and for generations to come, as well as expand its size and depth of client experience through a combination of organic and acquisition-based growth strategies.
Adam serves on the financial and investment committee for several nonprofit organizations and is a member of Fidelity’s Advisor Council. He was recognized in 2012 as ‘The Most Influential Figure in the RIA Industry’ by RIABiz.com, and in 2014 he was included in the inaugural 40 Under 40 list published by Investment News.
Adam is a graduate of Vanderbilt University and St. Louis University School of Law.
Executive Vice President, Fidelity Clearing & Custody Solutions
David Canter is executive vice president and head of the registered investment advisor (RIA) segment for Fidelity Clearing & Custody Solutions®, the business that offers a comprehensive clearing and custody platform, trading capabilities and business process and operations consulting to banks, broker-dealers, registered investment advisors, professional asset managers, strategic acquirers and retirement advisors and recordkeepers.
Prior to his current role, Mr. Canter served as executive vice president of Practice Management and Consulting for Fidelity Clearing & Custody Solutions. He assumed this position in August 2010 and was responsible for leading the development of a comprehensive Practice Management program structured around helping advisors accelerate growth, streamline their operations and manage risk.
Previously, Mr. Canter served as executive vice president and chief operating officer for Fidelity Institutional Wealth Services (IWS).
Mr. Canter received his Bachelor of Arts degree in political science from the University of Wisconsin in 1990 and his Juris Doctorate from the University of Baltimore School of Law in 1993. He currently holds his FINRA Series 24 license and is a member of the State Bar of California.
Bernard J. Clark
Executive Vice President, Head of Schwab Advisor Services
Bernard "Bernie" J. Clark is head of Schwab Advisor Services and a member of Charles Schwab’s Executive Committee. He oversees the business that provides custodial, operational and trading support to over 7,500 independent investment advisory firms with $1.35 trillion in assets under management. In addition to custody services, Schwab Advisor Services provides practice management and consultative support to help independent advisors start, build and grow their firms. A recognized industry leader, he has been named by Investment Advisor magazine as one of the “IA 25,” which annually ranks the 25 most influential people in the industry.
Clark has more than 30 years of financial industry experience serving individual and institutional investors. He began his career at Schwab in 1998 as senior vice president of trading and operations for Schwab Institutional. He took on his current role as head of Schwab Advisor Services in 2010.
Clark serves on the board of the Foundation for Financial Planning and the Arizona State University W.P. Carey School of Business, Center for Services Leadership. He is very involved in organizations in the Phoenix area, including serving as president of the Saguaro High School Football Foundation and as an active supporter of the Phoenix Children’s Hospital.
Clark earned his Bachelor of Science degree in accounting from St. John’s University in New York.
Executive Vice President and CFO, RTD Financial Advisors, Inc.
John F. Hochschwender is a Certified Financial Planner™ practitioner, and a senior financial planner, shareholder, executive committee member and manager of the West Chester office of RTD Financial Advisors, Inc.
Mr. Hochschwender specializes in working with retirees on managing retirement income and taxation; corporate executives with multiple benefit plans, stock grants, deferred comp, and SERPs; and with business owners who are looking for long-term financial independence. Mr. Hochschwender’s philosophy in working with clients is to be an advisor, consultant, facilitator and friend. Reaching a client's goals, objectives and dreams is the number one priority.
Beginning with The Vanguard Group in 1985, Mr. Hochschwender has worked continuously in the financial services industry. He is a member of NAPFA, and served as the 2010 president of the Philadelphia Tri-State Financial Planning Association (FPA).
John Hochschwender received his MBA from Villanova University and a Bachelor’s Degree in Psychology from the University of Pittsburgh at Johnstown.
Cheryl Holland, CFP®
President and Founder, Abacus Planning Group, Inc.
Cheryl R. Holland, CFP® is President and Founder of Abacus Planning Group, Inc., a financial advisory and investment counsel firm managing over $1,100,000 in assets. Ms. Holland consistently appears on top advisor lists such as Barron’s and Wealth Manager. The National Association of Personal Financial Advisors recognized Ms. Holland as one of the “30 Most Influential People” in its 30-year history.
Ms. Holland is a dedicated volunteer in her community and is currently a member of the American Bible Society Board (Chair, Investment Committee), the Bryn Mawr College Board of Trustees (former Chair, Investment Committee), the Clemson University Foundation Board (Vice-Chair, Investment Committee) and the American Red Cross Tiffany Circle (Chair, SC Midlands).
Stephanie James, Senior Financial Advisor
Wescott Financial Advisory Group
Stephanie James is a senior financial advisor with Wescott Financial Advisory Group, and a member of the firm’s Investment and Management committees. She serves on the firm’s Portfolio Strategy Group, which oversees the ongoing due diligence and evaluation of Wescott’s investment managers and strategies.
Active in the financial community, Stephanie is a member of the Financial Planning Association and the National Association of Personal Financial Advisors (NAPFA), and is a Certified Financial Planner™. In 2013, she established and led the NAPFA Genesis Conference and CFP Scholarship Committee. She also serves on the TD Ameritrade Institutional NextGen Scholarship and Grant Committees, assisting in the review of applications and selection of candidates for annual awards. She is currently participating in Fidelity Investments’ G2 Leadership Institute program, which focuses on developing leadership and management skills of future leaders of successful financial advisory firms.
Stephanie is the chair of the Young Professional Board for The Center for Grieving Children and a recipient of the 2016 Five Star Wealth Manager of Philadelphia distinction from Philadelphia Magazine. She is also a frequent speaker on next generation issues in the financial industry.
Stephanie received a bachelor’s degree in business administration from Saint Joseph’s University and a master’s degree in business administration from Villanova University.
Principal and Wealth Manager, Modera Wealth Management
Tom Orecchio is a Principal and Wealth Manager at Modera Wealth Management, LLC. With over 20 years of experience in wealth management, Tom has always believed that the best way to serve clients and provide objective advice is through the independent, fee-only approach.
Tom’s career began at Heritage Financial where he worked as a financial planner. In 1995, he joined the firm Greenbaum and Associates where he later became a partner. His role as a principal and wealth manager continued as the firm grew and evolved into Greenbaum and Orecchio and then into its current entity, Modera Wealth Management, LLC. Tom also serves as one of the founding managing members of Modera Alternative Investments, LP, a private partnership of alternative investments for accredited Modera clients.
Tom received his B.A. in Government and Law from Lafayette College. Tom served as Chairman of the National Association of Personal Financial Advisors (NAPFA) (2007-2008), a national board member (2004-2008), and currently is a NAPFA-Registered Financial Advisor. He also is an active member of the CFA® Institute and the Financial Planning Association (FPA). Tom was the recipient of the 2013 NAFPA Robert J. Underwood Distinguished Service Award.
Tom is actively involved in the community as a member of the Board of Directors of the Modera Charitable Foundation and a Director of the Modera Wealth Management Scholarship Fund.
Vice President, Advisor Benchmarking, Dimensional Fund Advisors
Jeff Pierce leads Dimensional's Advisor Benchmarks program with the mission to help advisors gain strategic insight into their business by comparing their performance and strategies to like-minded peers. He brings a wealth of industry knowledge to Dimensional, having most recently led research and benchmarking efforts at IN Adviser Solutions. He previously served in a similar capacity with Moss Adams' business consulting group, where he focused on various practice management areas, including financial performance, operations, human capital, succession and ownership transition, and technology.
Jeff has worked with numerous advisors and RIAs, with the goal of helping their firms implement strategies and top practices in pursuit of growth, improved profitability, and success.
Jeff holds a BA in finance and management from Washington State University.
Founder and CEO, Wescott Financial Advisory Group
Grant Rawdin is founder and CEO of Wescott Financial Advisory Group, which grew from the tax, business and estate services he provided to clients at Duane Morris LLP, a venerable AMLaw 100 firm. Grant is an accountant, Certified Financial Planner, and attorney admitted to practice in both Pennsylvania and New Jersey.
Grant and Wescott are recognized as leading the investment and financial planning industry in innovation, growth and size. Wescott is among the top 25 financial advisors in the U.S. in the Top 100 rankings of Barron’s, Forbes and CNBC. His articles, research and advice have been regularly featured in national, local and industry publications.
Grant is a member of the Fidelity Clearing & Custody RIA Segment Advisor Council and has served on the Charles Schwab and Co., Inc. Institutional Advisory Board. A founding member of the Advisory Council of the CFP Board Center for Financial Planning, he has served as a leader of many financial and legal professional organizations over the years. Grant currently serves as a member of the Board of Visitors of the Temple University Beasley School of Law, and as president of the Law School Foundation. He was inducted into Temple University’s Gallery of Success, an elite group of alumni who have established notable careers in their fields of study.
Grant is a graduate of Temple University Beasley School of Law and Temple University, where he received his B.A. in English literature.
Ruediger (Rudy) Adolf
Founder and CEO, Focus Financial Partners
Rudy Adolf founded Focus Financial Partners in 2006 to provide a forum where leading independent, entrepreneurial wealth management experts can do what they do best: Provide high-quality advice to their clients - without the limitations of traditional wirehouses. A recognized industry expert, Rudy speaks at industry events and helps partner firms strategically grow their practices.
Rudy has enjoyed a solid career in financial services in both the US and Europe. His background includes senior positions with American Express, including Senior Vice President and General Manager of the American Express Global Brokerage and Banking division, and Senior Vice President of Strategy and Business Development. Rudy led the strategic initiatives for the group, developing a number of new business ventures and spearheading the firm's major M&A activities. Prior to his time at American Express, Rudy was a partner at McKinsey & Company, where he began his career.
Rudy holds a Juris Doctorate and a Masters Degree in Law from the University of Innsbruck, Austria.
Vice President, Fidelity Custody & Clearing Solutions
Scott Slater is Vice President, Practice Management & Consulting for Fidelity Custody & Clearing Solutions. He helps advisors identify and address strategic challenges critical to achieving high performance and growth, and has worked directly with hundreds of firms. He is a frequent speaker on practice management issues at industry conferences, and has published many reports on the affluent investor, financial advisors and financial technology. He also provides leadership on several Fidelity practice management programs.
Mr. Slater brings 20 years of experience in the wealth management industry to his role. Prior to Fidelity, he was managing director of Charles Schwab’s national business consulting practice, where he built and led a team of experienced consultants working with advisors. Previous to Schwab, he was managing director of Metavante’s wealth management consulting practice, and a director for the Spectrem Group, a national consulting firm focused on the affluent and retirement markets. He began his career in consumer products marketing at General Mills and led several marketing departments for Norwest Bank (now Wells Fargo).
Mr. Slater earned his B.A. at Dartmouth College and an M.B.A. from the University of Chicago, Booth School of Management.
CEO, Wetherby Asset Management
Deb began her career as a Certified Public Accountant, working for Price Waterhouse in San Francisco in both its Audit and Management Consulting departments. After she received her MBA, she joined Morgan Stanley and worked as a private client services broker for 3 years. Her experience at a small money management firm led Deb to create Wetherby Asset Management in 1990. Deb was named one of the Top 50 Women in Wealth Management, with the firm listed in the Top 50 Fee-Only RIAs, and Top 50 Wealth Management RIAs. She loves to teach and has spoken on topics ranging from impact investing to the collective power of women helping women. Deb’s community and board work reflects her belief in philanthropy and charitable service. Her current and prior service includes the Marin Community Foundation; the Advisory Board for the Center for Public and Nonprofit Leadership at the Haas School at the University of California, Berkeley; BRAC USA, which works to improve the well-being of the poorest people in Africa and Asia; the National Endowment for Financial Education; and the UC San Francisco Foundation.
Head of Global Recruiting & Development and Vice President
Dimensional Fund Advisors
As a vice president and head of global recruiting and talent development, Stacey Winning leads the team that attracts, hires, and develops Dimensional talent, helping the firm provide a world class investment experience to clients and a dynamic work environment for Dimensional employees.
Prior to joining Dimensional in 2012, Stacey was co-head of recruiting for Two Sigma Investments, a quantitative investment firm based in New York City. Before that, Stacey led a recruiting team at Macquarie for campus and experienced hiring for investment banking and private equity. She also held recruiting roles at Merrill Lynch and Lehman Brothers. Stacey graduated from the University of Michigan with a bachelor of arts and holds a master of arts from the University of Texas at Austin.