Speakers:
Mark Tibergien - CEO, Advisor Solutions, BNY Mellon | Pershing
Mark Tibergien is Chief Executive Officer of Advisor Solutions at BNY Mellon | Pershing and a member of Pershing’s Executive Committee. Pershing is one of the country’s leading custodians for registered investment advisors and family offices. Mark is also a member of BNY Mellon’s Diversity & Inclusion Advisory Council to the CEO.
Prior to joining Pershing in 2007, Mark was a principal at 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. Previously, he was president of a nationally recognized bank and business training and consulting firm, a principal in an investment management and business valuation firm, a writer for a financial trade magazine and a general assignment newspaper and radio reporter.
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, Mark was named to the 2016 InvestmentNews’ Icons & Innovators list which recognizes those who have shaped and transformed the financial advice profession. In 2015, Private Asset Management magazine honored Mark with a Lifetime Achievement Award for his dedication, commitment and achievements in the industry. Mark has been recognized 14 times by, Investment Advisor (IA) magazine as one of the “25 Most Influential People” in the financial services industry and, in 2016, IA ranked Mark as number one in the “Top 7 Most Honored People in IA’s 25 History.” Mark received the 2015 Insiders Forum Leadership Award, and was named to the 2012 InvestmentNews “The Power 20” list. For eight consecutive years, Accounting Today recognized Mark as one of the “100 Most Influential” people in the accounting profession.
He is the author of four books published by Bloomberg Press (John Wiley & Sons), Practice Made Perfect, How to Value, Buy or Sell a Financial Advisory Practice, Practice Made (More) Perfect and the latest, The Enduring Advisory Firm, co-authored with Kim Dellarocca, Global Head of Marketing for Asset Servicing and Technology at BNY Mellon. Mark has also been a regular columnist for Investment Advisor magazine and monthly contributor to ThinkAdvisor.com on management issues since 2005.
Mark has previously served in a variety of community and industry organizations including the Rotary Club of Seattle, Travelers Aid Society, the Foundation for Financial Planning, the International Association for Financial Planning and the SIFMA Foundation. Most recently, Mark was named to the Advisory Council for the Center for Financial Planning whose mission is to promote diversity in the advisory profession.
Mark Tibergien - CEO, Advisor Solutions,
BNY Mellon | Pershing
Ruediger (Rudy) Adolf
Founder, Chief Executive Officer & Chairman
Focus Financial Partners
Rudy founded Focus in 2004 to provide a forum where leading independent, entrepreneurial wealth management firms can do what they do best – provide high quality advice to their clients – with additional support for growth; all without the limitations of traditional wirehouses. A recognized industry expert, Rudy frequently speaks at industry events and helps partner firms strategically grow their practices. He has been a member of the Focus board of directors since its formation in 2015.
From 1998 to 2003, Mr. Adolf served as Senior Vice President and General Manager of the AMEX Global Brokerage and Banking division. Prior to this role, Mr. Adolf was the Senior Vice President of Strategy and Business Development. Before joining AMEX, Mr. Adolf was a partner at McKinsey & Company.
Rudy holds a Doctorate and Master Degree in Law from the University of Innsbruck, Austria.
When not working Rudy is an avid world traveler and enjoys skiing – including heli-skiing – with his wife, two sons and daughter.
Rudy Adolf - Founder, CEO and Chairman
Focus Financial Partners
David Barton, JD
Vice Chairman, Current
CEO 2008-2017
Mercer Advisors
Dave began his career at Mercer Advisors in 2000 as General Counsel. He led and managed nearly all Mercer Advisors departments with great success before being promoted to President in 2004. He was Chief Executive Officer from 2008 – 2017 and a member of the Mercer Advisors Board of Directors from 2004 – 2017. Dave was the architect responsible for transforming the company from a closely held mid-size RIA, to a fully institutionalized platform business providing the full suite of family office services. Dave was also responsible for establishing Mercer’s strategic partnerships and building its national salesforce fomenting Mercer’s rapid organic growth. Under Dave’s leadership the organization grew from $2.9B in AUM with 2,900 clients to over $10.9B in AUM with approximately 7,000 clients while dramatically increasing profitability. He earned his Bachelor of Arts degree in Political Science from University of California, Irvine, and his Juris Doctor from the University of the Pacific, McGeorge School of Law. He became a member of the California State Bar in 1992. Prior to joining Mercer Advisors, David practiced law as a trial attorney, specializing in commercial and securities litigation. Dave’s current role with Mercer Advisors is Vice Chairman spearheading Mercer Advisors’ mergers and acquisitions activities.
Dave Barton - Vice Chairman
Mercer Advisors
Marty Bicknell - CEO & President
Mariner Wealth Advisors
As the CEO and president of Mariner Wealth Advisors, Marty drives the strategic direction and growth strategies, analyzing and anticipating market trends and future opportunities for the firm. As a recognized leader in wealth management, he devises innovative solutions to meet the needs of our clients. He has extensive personal and professional experience with closely held family businesses and their unique complexities. He often mentors other successful entrepreneurs. Marty, along with seven others, founded Mariner Wealth Advisors in 2006 with a goal of keeping the client at the center of all we do. He wanted to build a firm that could simplify our clients’ lives by having all the resources they need under one roof. The day the doors opened, Marty made the promise to put the clients’ interests before anything else...a promise he still holds dear to this day. Marty has a bachelor’s degree from Pittsburg State University in Pittsburg, Kan. He serves on the board of directors for the KU Advancement Board for the University of Kansas Medical Center and on the MRI Global Board of Trustees. He is a member of the Young Presidents Organization (YPO) and is a board member for the Civic Council of Greater Kansas City. He is also involved in supporting several organizations through his sponsorship and committee participation, including the Juvenile Diabetes Research Foundation (JDRF), KU Med Cancer Care, Youth Entrepreneurs, Global Orphan, Big Brothers Big Sisters of Kansas City, the Nelson-Atkins Museum of Art and Marillac. Marty was named in Investment Advisor’s 2016 Top 25 Influential People in the investment/financial industry, the Kansas City Business Journal’s 2018, 2017, 2016, 2015 and 2014 Power 100 List and, under Marty’s leadership, Mariner has had the privilege of being ranked in the top two 2017 and 2016 Independent Advisory Firms by Barron’s.
Marty Bicknell - CEO & President
Mariner Wealth Advisors
Rick Dennen: Founder, President & CEO
Rick Dennen is President and CEO of First Commercial Finance, a division of First Financial Bank, which operates under the brands of Oak Street Funding and First Franchise Capital Corporation. As founder of Oak Street Funding, Rick led the specialty lending company from a business concept in 2003 to the nation’s top insurance lender. Since then Oak Street expanded its lending offerings to registered investment advisors (RIAs), certified public accountants (CPAs) and indirect auto finance companies. In addition, Oak Street offers third-party loan servicing to multinational bank portfolios and backup servicing to securitized portfolios. After Oak Street Funding was purchased by First Financial Bank in 2015, Rick took on the additional role of President of First Franchise Capital Corporation, a business providing commercial lending to restaurant franchisees. Through Rick’s leadership, First Commercial Finance has experienced exponential growth resulting in a portfolio that exceeds $1B.
Before founding Oak Street, Rick was a partner in a venture capital firm serving various capacities for portfolio companies within the fund. He was also a Senior Manager at Deloitte serving public and private companies in the financial services and manufacturing industries.
Rick earned both a Bachelor of Science in Accounting and a Masters of Business Administration from the Indiana University Kelley School of Business. He has authored and been featured in numerous articles in leading publications. Rick is an adjunct professor of venture capital and entrepreneurial finance at the Indiana University Kelley School of Business and has spoken at conferences, universities, seminars and other events.
Rick Dennen – Founder, President and CEO, Oak Street Funding
Matthew B. Cooper - Partner, President
Beacon Pointe Wealth Advisors
Matt is the founding partner and President of Beacon Pointe Wealth Advisors, a member of the Beacon Pointe family of companies and a partnership between Beacon Pointe and other wealth managers around the country. In addition, Matt is responsible for overseeing the Private Client Services Group at Beacon Pointe Advisors. Matt and the original Beacon Pointe partners founded the company in 2002. Prior to the founding of Beacon Pointe, he spent several years with a financial firm in Newport Beach. Matt has been featured in Financial Planning Magazine, Barron’s, Investment News, Financial Advisor IQ, and Forbes, among other publications. He also regularly speaks on a host of wealth management and industry-related topics. Matt has a passion for continuous lifetime learning with a focus on the wealth management and financial life management industry. At a time when the industry is changing more rapidly than any other point in history, his focus is on building the best possible business to serve clients and to assist other wealth managers in meeting their lifetime goals. Matt graduated from the University of Southern California Marshall School of Business with a BS in Finance and Business Economics. While at USC, Matt served as President for the Sigma Alpha Epsilon Fraternity. He remains a supporter of both the University and the National Fraternity. He also serves on the Advisory Committee of Serving People in Need (SPIN) and is a member of Legatus International. He has been past President of the Newport Mesa National Junior Basketball program, past President of the Andersen Elementary School Foundation (DEANS), and also served on the Investment Committee of The Orange Catholic Foundation. He lives in Newport Beach with his wife and has three sons. Matt enjoys travel, running marathons, and spending time with his family.
Matthew B. Cooper - Partner, President
Beacon Pointe Wealth Advisors
Mike McGinley is the general manager of the Investment Advisory lending team at Live Oak Bank. Mike joined the team in 2013 as a senior loan officer, contributing to the over $600 million in loan originations that Live Oak Bank has made to advisors since its inception. As the General Manager of the team, Mike consults with advisors and their executive teams on acquisition and loan structuring, succession plan strategies and how to finance them, and how capital can help fuel growth for their businesses.
Prior to joining Live Oak Bank, Mike was a vice president of business development for PNC Bank, where he originated small and middle market commercial loans throughout the Mid-Atlantic region. Mike has spent his entire career in commercial lending, and has helped get more than $100 million into the hands of business owners nationwide.
Mike has an MBA with a focus on accounting from Drexel University and a bachelor’s degree in finance from the Smeal College of Business at Pennsylvania State University. He is a native of New Jersey and currently resides in Wilmington, North Carolina.
Mike McGinley – General Manager / Investment Advisory Lending, Live Oak Bank
Elliot Weissbluth - Chairman and Founder
HighTower
Elliot Weissbluth founded HighTower in 2007, in the midst of the financial crisis, to disrupt Wall Street with an innovative business model that combined the best of the traditional financial service models into a single company. Over his 11-year tenure as CEO, Mr. Weissbluth led and grew HighTower into one of the nation’s leading wealth management firms, building a unique collaborative culture of the nation’s elite financial advisors, a unique technology and services platform and a national brand. Under Mr. Weissbluth’s leadership, HighTower has enjoyed massive growth and today has 92 advisor teams across 33 states who collectively manage approximately $60 billion in client assets. A former litigator with a deep passion for advocacy, Mr. Weissbluth is a relentless champion of the fiduciary standard and a vocal advocate for transparency and integrity in financial services.
Elliot Weissbluth - Chairman and Founder
HighTower
Dustin Mangone is a Managing Partner and the Director of Investment Advisor Services for PPCLOAN, a cash-flow based lender providing nationwide financing to service sector businesses. He has nearly 14 years of experience with cash-flow lending, has evaluated and underwritten over $500 million in M&A loans, and spends 100% of his time consulting on the M&A financing needs of RIAs and Independent Investment Advisors. Dustin’s experience is focused on advisor acquisitions, mergers, buy-ins, buy-outs, equity purchases, succession plans, and debt consolidations.
Dustin is a 2002 graduate of Texas A&M University and spent 2 years as a financial advisor providing retirement planning for non-profit organizations before joining PPCLOAN in May of 2005.
Dustin Mangone – Managing Partner / Director of Investment Advisor Services, PPCLOAN
Edward C. Swenson
Chief Operating Officer, Dynasty Financial Partners
Mr. Swenson is the co-founder of Dynasty Financial Partners. He is responsible internally for all technology, operational and client servicing relationships and externally for all outside vendor and technology relationships established for the firm. Prior to Dynasty, he was a Portfolio Manager for the Legg Mason Partners Large Cap Growth Fund, where he oversaw trading, rebalancing and distribution network communications for Smith Barney’s Multiple Discipline Accounts division.
Mr. Swenson is a graduate of both the London School of Economics and New York University’s Stern School of Business. He serves on the boards of Citizens Union and the Urban Assembly New York Harbor School, where he also serves as treasurer.
Edward C. Swenson - Chief Operating Officer, Dynasty Financial Partners
Bryce Skaff, CFACo-head of Global Client Group and Vice President
Bryce Skaff is Co-Head of the Global Client Group (GCG) and serves in a leadership role on several of the firm’s key strategic committees. He helps to shape the vision and oversee the management of the GCG, which consists of more than 500 professionals committed to delivering an outstanding experience to advisors, intermediaries, and institutional investors around the world.
Bryce has been with Dimensional since 1998. He was most recently Dimensional’s Head of US Financial Advisor Services, which helped advisory firms design more effective investments, messaging, and business strategies. Prior to that, he was Head of the Strategic Relationship Group and held various Regional Director positions, which included working with advisors across the US and leading the firm’s Latin America business.
Prior to joining Dimensional, Bryce was a secondary markets analyst for Provident Funding. A CFA® charterholder, Bryce has an MBA from the Anderson School of Management at the University of California, Los Angeles, and a BA in finance from Santa Clara University.
Bryce Skaff, CFA - Co-head of Global
Client Group and Vice President
Francine Miltenberger - Managing Director
DeVoe & Company
Francine joined DeVoe & Company in April of 2012. She is a licensed investment banker with fifteen years of experience in M&A transactions in the Financial Service Industry as both an investment banker, an acquirer and a seller.
Formerly, she was President of Kaspick & Company, a privately held asset management firm, where she revitalized operations, grew AUM from $3B to $4.5B and created an exit for the founders through a sale to TIAA-CREF. At PNC Bank, she was CEO & Division Executive of Treasury Management Services. At Chase Manhattan Bank, she held a number of positions in its Merger Office and Private Bank.
Francine has an undergraduate degree in Economics and Psychology from Wellesley College and an MBA from Harvard University.
Francine Miltenberger - Managing
Director, DeVoe & Company
Brian Hamburger, JD, CRCP
MarketCounsel, President and CEO
Brian is the Founder, President and CEO of MarketCounsel, the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial independent investment advisers. He is also the founder and managing member of the Hamburger Law Firm, a boutique law firm with its practice in virtually all areas related to the investment and securities industry, entrepreneurial and employment matters. MarketCounsel and the Hamburger Law Firm are the result of an incessant entrepreneurial spirit and genuine desire to provide an unexpected level of value and service. Together, the consulting and law firms represent an unparalleled combination of preeminent counsel and uncompromising service to participants in the retail securities industry.
Brian is an entrepreneur, attorney, columnist and outspoken industry advocate for independent investment advisers. For the past 19 years, he has served at the helm of MarketCounsel and the Hamburger Law Firm. In 2015, Wealth Management named Brian as one of the top thought leaders in wealth management saying, “Over the past decade, Hamburger has been the architect behind almost all of the highest-profile breakaway deals in the industry, helping advisors navigate the legal thicket of transitioning away from brokerages and into independent business models. As such he’s been a central, but often unheralded, force in the evolution of the RIA industry.” In 2014, REP. Magazine featured Brian on its cover as “The Engineer” of the RIA evolution.
Brian is often called upon to speak at regional and national conferences, not to mention his own annual gathering of the industry’s top advisers and thought leaders. While he has delivered the keynote address to the country’s state securities regulators and met with members of Congress on proposed legislation, he is more comfortable addressing school-age children. He is currently a regular contributor for CNBC and has been quoted by The Wall Street Journal, New York Times, Bloomberg BusinessWeek, Dow Jones, and Reuters as well as every investment industry publication.
Brian Hamburger - JD, CRCP
MarketCounsel, President and CEO
Tim Kochis - Special Advisor
DeVoe & Company
Tim joined forces with DeVoe & Company in January 2017 with a passion to build out the most comprehensive succession and continuity platform in the industry. With 44 years of experience, Tim has long been recognized as one of the key leaders in and influencers of the wealth management industry.
Tim is the former CEO and Chairman of Aspiriant, one of the industry's most admired firms, and co-author of Success & Succession (Wiley, 2015), a best-selling book on succession planning for RIAs. He led the wealth management practices at Bank of America and at Deloitte through the 1980’s before co-founding Kochis Fitz in 1991. The merger of Kochis Fitz and Quintile to form Aspiriant has been recognized as one of the industry’s most strategic RIA M&A transactions. Tim was also a co-founder of the Personal Financial Planning Program at University of California, Berkeley, one of the first accredited financial planning programs in the United States, where he taught for eighteen years.
Tim has an MBA from the University of Chicago, a JD from the University of Michigan and a Bachelor of Arts degree from Marquette University.
Tim Kochis - Special Advisor
DeVoe & Company
Vic Esclamado - Managing Director
DeVoe & Company
Vic Esclamado joined DeVoe & Company in September of 2015. He has over 30 years of experience in financial services strategy and technology-driven new product development, with almost a decade working on business and technology solutions for RIAs.
Vic recently served as Chief Operating Officer of True North Advisors, a large, fee-based RIA in Dallas, TX, where he handled all the business aspects of the firm, freeing up the founders to focus on new and existing client relationships. In addition to overseeing finance, HR, operations, legal, compliance and technology, Vic led strategic projects focused on organic growth, cost efficiency and advisor profitability as well as M&A initiatives. Prior to that, Vic served as an SVP-Strategy for a large multi-business division at Bank of America, where his team recommended the purchase of Fleet Bank and the largest US credit card issuer, MBNA. With those deals completed, Vic led the merger integration efforts for the Consumer Bank. In his career, Vic has had the privilege of doing the strategy and product management work to launch online brokerage at Schwab, as well as online bill payment and online banking at Intuit.
Vic earned his MBA from Stanford GSB and his undergraduate BA from Yale University.
Vic Esclamado - Managing Director,
DeVoe & Company
David DeVoe - Managing Director
DeVoe & Company
David DeVoe founded DeVoe & Company in 2011 to help wealth management companies optimize their business decisions. The company has supported hundreds of firms in valuation, consulting and investment banking engagements since launch.
Previously, he served as Managing Director of Strategic Business Development at Charles Schwab Advisor Services. In this role, he developed and led Schwab’s Transition Planning platform, which provides comprehensive M&A and succession planning services to registered investment advisors. During this eight-year period, he provided strategic counsel to over 500 advisors. Previously, David worked in the Business Strategy group at American Express.
David holds a BA degree from the University of California, Berkeley and an MBA from Cornell University Johnson Graduate School of Management.
David DeVoe - Managing Director,
DeVoe & Company