People Moves

Summary Of North America Moves In Wealth Management – February 2022

Editorial Staff, April 4, 2022

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February was a relatively brisk month for moves in the North America wealth management arena.

Albany, New York-based Cherry Bekaert Wealth Management, the accounting and advisory firm, appointed Jeff Peller as new chief executive officer. Peller has more than 25 years’ experience in coaching clients and advisors in a CPA-based wealth management firm as a strategic advisor and growth partner. He is a certified public accountant, certified financial planner, and personal financial specialist.

US-based tru Independence, the financial advisory partnership platform, appointed industry veteran Amit Dogra as president. Dogra has held executive leadership posts at Sanctuary Wealth, Third Seven Advisors, HighTower, BNY Mellon and Brinker Capital, among others. 

Cantor Fitzgerald appointed former UBS executive William Ferri as its global head of asset management to lead the expansion of its platform. Ferri had a 25-year career at UBS, where he served as head of Americas for UBS Asset Management and was group managing director. He was a founder of the UBS O'Connor and Hedge Fund Solutions businesses. 

Baird, the US wealth, investment bank and private equity firm, added Charles Patrick O’Connor as a senior vice president and financial advisor to its Yakima, Washington, wealth management team. Separately, it added the Helms Shadid Group to its wealth management office in Durango, Colorado.

In the case of O’Connor, he joined from Morgan Stanley, bringing more than 20 years of industry experience and a client roster that includes $450 million in assets under management. As far as the Helms Shadid Group is concerned, the team includes Thomas Helms, who serves as a director and financial advisor and Scott Shadid who serves as a senior vice president and financial advisor. They are supported by Brett Cadwell, client specialist. The team manages more than $400 million in assets under management. 

Helms has 14 years of industry experience. Shadid has eight years of industry experience.

Raymond James welcomed Jennifer Main to Raymond James & Associates, its employee advisor channel in Oskaloosa, Iowa. Main, along with client service associates Auda Childs and Sean Coen, operate as Main Wealth Management of Raymond James. They joined from Edward Jones, where the team previously managed $220 million in assets for a variety of clients including business owners, families and individuals, healthcare professionals and retirees.

Raymond James appointed Todd Ferguson as chief information security officer. Ferguson, who served in the US Marine Corps, spent more than 20 years at Raymond James in roles ranging from network engineer to his most recent role as senior vice president of information security. In 2018, he was named deputy CISO for RJF and “CISO of record” for Raymond James Bank, Raymond James Trust, Carillon Tower Advisers and Raymond James Insurance Group.

The firm welcomed financial advisors Dan Smith IV, Todd Bryant, Eric Carlson and David Pieronowski to its independent advisor channel. Operating as Signature Wealth Partners in Orlando, Florida, the advisors were joined by client services specialists Cathy Stockton, Diane Stallard and Elizabeth Hall. 

Anothip “Thip” Zimmerman joined Raymond James & Associates (RJA). Previously, he worked at Wells Fargo Clearing Services, where she managed $174 million in client assets. 

Raymond James Financial Institutions Division welcomed financial advisors Thomas Montz, Amanda Montz and Nathan Novotny to SmartBank Investment Services, a subsidiary of SmartFinancial, and a current FID-affiliated branch.

The advisor trio was previously affiliated with BBVA Compass Investment Solutions where they collectively managed more than $350 million in client assets. Together, they lead their six-person wealth management team through a new SmartBank branch in Mobile, Alabama.

Argent Financial Group named Russell Allsup as Louisiana vice president. He joined the Shreveport Argent Trust office. Allsup, who reports to Louisiana market president Gary Moore, works with Argent Financial Group executive vice president Dut LeBlanc in Argent Family Wealth Services,

Before joining Argent, Allsup was with KPMG for 12 years, serving most recently as managing director of corporate tax services. His previous positions with KPMG included senior manager and manager of corporate tax services. 

Argent also appointed T J McGee as vice president and trust officer for Argent Trust Company. McGee is based in New Orleans, reporting to Jill Knight Nalty, market president for New Orleans. Before joining Argent, McGee served as vice president and institutional trust relationship consultant at Regions Bank in Baton Rouge. 

Manulife Investment Management named Marc Feliciano as global head of real estate, private markets. Feliciano reports to Christoph Schumacher, global head of real assets. Previously, he was the chief investment officer of real estate, Americas, DWS and the head of portfolio and asset management for the Real Estate Americas business. He was also head of the Americas debt investments group. Feliciano has nearly 30 years of experience spanning public and private real estate investment management.

The US Department of the Treasury said the Office of Financial Research’s director, Dino Falaschetti, had left. James Martin became the acting director.

Capitol Securities Management, a firm serving the Mid-Atlantic region, appointed Jason T Ferree from Wells Fargo Advisors. Ferree, who has 23 years of experience in the sector, began his financial services career with First Union in 1999. First Union and Wachovia merged and a few years later was bought by Wells Fargo. 

Rockefeller Capital Management brought the Greenwood Village-based Hablutzel Group into its embrace, building out its presence in Colorado. Led by managing director Brent Hablutzel, the team includes Zachary Bond-Stefo, vice president and private wealth advisor, Lori C Caddey, associate vice president, senior client associate, and Shayna Yallaly, registered client associate. The four-member team, which joined from Merrill Lynch, reports to Michael Armondo, MD at Rockefeller Capital Management.

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