Tag: RIA
Wealth Management EDGE Podcast: Heather Fortner’s Uncharted Journey to Leadership

Wealth Management EDGE Podcast: Heather Fortner’s Uncharted Journey to Leadership

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Heather Fortner brings leadership and authenticity to her role as CEO at SignatureFD.   

In this episode of the Wealth Management EDGE Podcast, Informa Wealth Management’s Nabia Jenkins-Johnston talks with Heather Fortner, chief executive officer and chair of the board of SignatureFD, who shares her insights into leadership, mission statements and the delicate balance between work and family. Heather touches on the importance of connecting leaders, opportunities and experiences to achieve success, and finding one’s self-worth to lead with purpose. 

Specifically, Nabia and Heather discuss:

  • Keeping true to core beliefs through professional and personal challenges. 
  • How an unconventional path leads to unexpected opportunities.
  • Navigating personal struggles to find professional success.
  • Unveiling the intersection of wealth and worth in leadership.

Resources:

Connect With Nabia Jenkins-Johnston:

Connect With Heather Fortner

 About Our Guest:

Heather is the chief executive officer and chair of the board of SignatureFD, an integrated and comprehensive wealth management firm with offices in Atlanta and Charlotte, recently named to the Inc. 5000.

During her 20-year tenure at the firm, Heather has created and executed strategies that have exponentially grown SignatureFD’s AUM from $250 million to over $6 billion. Her ability to combine strategic oversight in alignment with financial goals and enterprise risk mitigation has led the firm to maintain enterprise valuations, annual growth rates and client retention rates that consistently exceed industry averages. Beyond operational expertise, Heather leverages her graduate degree in professional counseling to help uncover and connect people’s passions and talents to build teams that deliver excellent and inspiring client experiences.

Heather lives in Kennesaw, Ga. with her husband and two daughters.



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WealthManagement EDGE Podcast: Unleashing the Power of Generative AI with Cory McCruden

WealthManagement EDGE Podcast: Unleashing the Power of Generative AI with Cory McCruden

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Ernst & Young’s Cory McCruden shares how generative AI is revolutionizing the financial advisory industry.

In this episode of the WealthManagement EDGE Podcast, Informa Wealth Management’s Nabia Jenkins-Johnston talks with Cory McCruden, managing director of wealth and asset management at Ernst & Young, about the transformative potential of generative AI. From content creation to real-time insights for advisors, Gen AI is reshaping the financial landscape and it has become crucial for advisory firms to keep up with changing technology.

Specifically, Nabia and Cory discuss:

  • How content generation is revolutionizing the way advisors create custom, compliant content.
  • What real-time, personalized data means for effective cross-selling opportunities.
  • The ability to access unique, compliant images that reflect your brand.
  • How Gen AI can serve as a co-pilot for advisors, offering timely and relevant information.

Resources:

Connect With Nabia Jenkins-Johnston:

Connect With Cory McCruden

About Our Guest:

Cory is responsible for sales, marketing and distribution wealth management services at Ernst & Young LLP and is a thought leader and strategic advisor to CEOs and boards. With more than 20 years of industry experience, she is known for her innovation and unique takes on exponential growth strategies, digital marketing and technology. She focuses on next best action campaigns, sales force transformation, digital assets and product development, marketing technology and CRM systems.

Cory has worked in venture capital and was a Yale Ventures Entrepreneur-in-Residence, where she built and advised fintechs and data firms, from startup to multibillion-dollar valuations.

Cory has two master’s degrees from Yale University and has passed the Series 7 exam, CFA Level I and II exams, CAIA Level I exam and the Canadian securities exam. She is based in New York City.



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WealthManagement EDGE Podcast: Toussaint Bailey on Unlocking Profit in Impactful Wealth Management

WealthManagement EDGE Podcast: Toussaint Bailey on Unlocking Profit in Impactful Wealth Management

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Turning visions of impact investing into actionable and profitable solutions.

 

In this episode of the WealthManagement EDGE Podcast, Informa Wealth Management’s Nabia Jenkins-Johnston talks with Toussaint Bailey, founder and CEO of Uplifting Capital, on why he chose his career path, moving from lawyer to investment firm executive. From books to conversations, Toussaint researched the issues and causes near to his heart and brought them into focus within the wealth management industry.

 

Specifically, Nabia and Toussaint discuss how:

  • Impact investing can align with capitalism, providing market-rate returns while addressing global challenges.
  • Building loving and trusting client relationships and facilitating self-actualization enhances the wealth management experience.
  • Impact investments can align with market trends and real-world problem-solving.
  • Uplifting Capital aims to be institutional, personal and scalable.

Resources:

Connect With Nabia Jenkins-Johnston:

Connect With Toussaint Bailey:

 

About Our Guest:

Toussaint Bailey is the founder of Uplifting Capital, a platform where personalized impact meets private investing. Prior to founding Uplifting Capital, Toussaint was CEO of Enso Wealth Management, a private wealth firm. He began his tenure there shortly after the firm’s formation in 2017, overseeing its growth to nearly $2 billion. Before financial services, Toussaint spent over a decade as a practicing attorney.

Toussaint serves in several advisory and board capacities; including Advisory Board to Institutional Investor RIA Institute – Impact Investing and implementation segment; Leadership Council to Financial Advisor IQ – Financial Times specialist publication for financial advisors; and Alternative & Direct Investment Securities Association – Impact and ESG subcommittee.

He also serves on the Executive Leadership Council of the Raphael House of San Francisco; the Board of Directors of the Alliance for Safety and Justice; the Board of Regents for Saint Mary’s College of California; and Boards of Advisors of Black Executive Men, Catalyst Housing Group, and Search Inside Yourself Leadership Institute. He is also (non-executive) Chairman of the Board of Directors at Enso Wealth Management.

Toussaint was selected as one of WealthManagement.com’s 10 to Watch in 2023 and has been profiled in Financial Planning and Impact Alpha.



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WealthManagement EDGE Podcast: Jamie Hopkins on Transitions, Coaching Success and Lifelong Learning

WealthManagement EDGE Podcast: Jamie Hopkins on Transitions, Coaching Success and Lifelong Learning

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Career shifts and mentorships keep Jamie Hopkins facing forward.

In this episode of the WealthManagement EDGE Podcast, Informa Wealth Management’s Nabia Jenkins-Johnston asks Jamie Hopkins about his recent transition from his role at Carson Group, a role he cherished, to SVP and director of private wealth management at Bryn Mawr Trust. They also discuss what it means to provide a community of support and mentorship to young professionals through the FinServ Foundation.

Specifically, Nabia and Jamie discuss:

  • Jamie’s career transition insights and embracing new challenges in finance
  • Impactful success stories from Carson Group’s coaching and mentorship programs
  • The FinServ Foundation’s role in nurturing aspiring financial professionals
  • The value of continuous learning and staying relevant in the industry

Resources:

WealthManagement EDGE Podcast 

Connect With Nabia Jenkins-Johnston:

Connect With Jamie Hopkins:

About Our Guest:

Jamie P. Hopkins is the SVP and Director of Private Wealth Management at Bryn Mawr Trust. He has extensive wealth management experience, bringing innovative thinking, transformative leadership, and a strong reputation for fostering Client relationships. He was named as a top-10 Investopedia 100 Top Financial Advisor for 2023. Jamie was recognized as the 2021 WealthManagement.com RIA Thought Leader of The Year and as one of the top 25 most influential leaders in financial services by ThinkAdvisor.

In his role, Jamie leads and grows Bryn Mawr Trust’s private wealth management business and helps shape the thought leadership around planning in the profession. Prior to joining Bryn Mawr Trust, Hopkins served as a Managing Partner at Carson Group.

Jamie is a graduate of Temple University School of Law, where he received his LL.M., and Villanova University School of Law, where he earned his juris doctorate. Hopkins earned a master’s degree in financial planning from The American College of Financial Services and a master’s degree in business administration from Villanova University. He founded FinServ Foundation, a nonprofit that offers coaching, internship, and leadership programs to help the next generation of financial professionals thrive.

A Wall Street Journal best-selling author, educator and executive speaker, Hopkins serves on numerous advisory boards around the financial services industry, including the fintech company Income Lab, and formerly as a national trustee member of NAIFA. Jamie is also the founder and president of the 501(c)(3) non-profit, FinServ Foundation. 

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WealthManagement EDGE Podcast: Breaking Conventions for Inclusive Equity with Dana Wilson

WealthManagement EDGE Podcast: Breaking Conventions for Inclusive Equity with Dana Wilson

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From finance to fintech disruption, CHIP founder Dana Wilson redefines fear and empowers change.

In this episode of the WealthManagement EDGE Podcast, Informa Wealth Management’s Nabia Jenkins-Johnston talks with Dana L. Wilson, CEO and founder of CHIP (Changing How Individuals Prosper). Dana’s journey from banking to fintech innovation is a remarkable one. With awards for diversity and inclusion, as well as thought leadership, she’s been recognized as a “One To Watch” in Fintech by Money 20/20. Known as the mastermind behind “Dana Disrupts” (@DanaDisrupts), she offers unique insights into reshaping the financial sector to be more inclusive for people of color, ensuring a seat at the wealth table for all.

Specifically, Nabia and Dana talk about:

  • Dana’s unconventional journey from banking to entrepreneurship
  • Closing the wealth gap in America
  • Facing the fear of failure and embracing challenges for personal growth
  • The importance of self-care to fuel success

Resources:

WealthManagement EDGE Podcast 

Connect With Nabia Jenkins-Johnston:

Connect With Dana L Wilson:

About Our Guest:

Dana L. Wilson, MBA, has over 15 years of experience in the financial services industry. In 2021, InvestmentNews recognized her as a “See It Be It Role Model” for her diversity, equity, and inclusion work. In addition, to receiving two company awards in 2021 from Think Advisor for her work in diversity and inclusion and thought leadership. She was named “One To Watch” in Fintech from Money 20/20 and received an award as a 2021 Trailblazer from Black Women In Media. She was named one to change the face of Wealth Management in 2022 by Wealth Management and named as one of 41 Top Influencers for Financial Advisors in 2023 by Indigo Marketing Agency.

 

She graduated from North Carolina Central University, where she received her Bachelor of Business Administration (BBA) with a concentration in Marketing. She also graduated from Penn State University, Smeal School of Business, with her Master’s in Business Administration, studying Strategic Leadership and completing a concentration in Corporate Innovation.​

Dana is the Founder & CEO of CHIP (Changing How Individuals Prosper), a B2B financial services marketplace that makes it easy to find Black and Latinx, financial professionals.



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WealthManagement EDGE Podcast: Casting a Bold and Impactful Vision with Aisha Hunt

WealthManagement EDGE Podcast: Casting a Bold and Impactful Vision with Aisha Hunt

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In this next episode of the WealthManagement EDGE Podcast, Nabia Jenkins-Johnston, senior conference producer at WealthManagement.com and Aisha Hunt, founder of law firm Kelley Hunt & Charles, talk about legal changes in the way we do business, gaining a perspective on diversity and inclusion, and emphasizing the need to create an inclusive, mutually beneficial financial landscape. 

 

Aisha brings over two decades of experience in her role as principal of KHC, a majority women- and minority-owned law firm that specializes in helping asset managers bring legal and business aspects together. Here, she discusses the firm’s involvement with the US Benchmark Series on the groundbreaking efforts to gain SEC exemptive relief, and why casting a bold innovative vision is the key to forward thinking. 

 

Specifically Nabia and Aisha cover:

  • The SEC ruling on ETFs working in 401(k)s
  • Shaping the future of the financial industry by pushing boundaries
  • The concept of “growing the pie” and expanding the financial industry’s opportunities rather than competing for limited resources
  • The importance of having an open source of sharing ideas and providing spaces for one another

Resources:

WealthManagement EDGE Podcast 

Connect With Nabia Jenkins-Johnston:

Connect With Aisha:

About Our Guest:

Aisha (Kelley) Hunt brings more than two decades of legal and financial services industry experience to her role as founder of Kelley Hunt & Charles, having worked with some of the largest and most respected asset management and law firms in the industry. The firm specializes in helping asset managers with all legal aspects of launching, converting/merging and managing ETFs, mutual funds, interval funds, BDCs, CITs, SMAs and other investment products across a wide variety of asset classes, including ESG and digital assets. 

Prior to her most recent role as General Counsel at Vident Financial, Ms. Hunt was General Counsel at ALPS and a Partner at Dechert LLP. She has also held senior in-house legal counsel roles with Wells Fargo and Dodge & Cox. 

Kelley Hunt & Charles is a majority women- and minority-owned law firm that was founded by Ms. Hunt.



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WealthManagement EDGE Podcast: Retirement, Annuities, and Regulation Unveiled

WealthManagement EDGE Podcast: Retirement, Annuities, and Regulation Unveiled

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Protecting the average retiree in a confusing landscape of investment planning vs. financial planning. 

In this episode of the WealthManagement EDGE Podcast Nabia Jenkins-Johnston, senior conference producer at WealthManagement.com and Michelle Richter-Gordon, co-founder, Annuity Research and Consulting, explore fiduciary roles and regulatory definitions in the financial world. They unveil the impact of misaligned titles, where financial and investment advisors differ, and the necessity for wealth management. 

Specifically, they cover:

  • Fiduciary roles in financial management
  • Differences between financial and investment advisors
  • The importance of wealth management
  • The significance of insurance and annuities in retirement planning

Resources:

Connect With Nabia Jenkins-Johnston:

Connect With Michelle Richter-Gordon:

About Our Guest:

As a co-founder of ARC, I’m hoping to lead by example toward process standardization in best practices for the financial advice profession.
 
I was born and bred to advise upon prudent risk mitigation and believe that America’s retirees would be better-served by integrating an income-oriented worldview into asset management business models. Since current regulatory standards for advisory services are most often billed through the lens of asset maximization, there is no scalable framework to charge for intellectual property and advisory services that minimize liabilities or smooth income (the functions that insurance performs).
 
Adding annuities inside DC plans offers an opportunity to innovate here, under the guidance of ERISA prudent process standards. I also have a successful strategic consulting practice advising insurers and financial services companies about how to integrate liability-minimizing services that only insurers can provide.



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Wealth Management EDGE Podcast: Marguerita Cheng’s Journey: Thriving as a Financial Advisor

Wealth Management EDGE Podcast: Marguerita Cheng’s Journey: Thriving as a Financial Advisor

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Reaching career heights and client goals on the road to success.

In this episode of WealthManagement Edge, special guest host Nabia Jenkins-Johnston talks one-on-one with Marguerita Cheng, CEO of Blue Ocean Global Wealth, about her path to success as a financial planner. Marguerita shares her insights on establishing trust, the power of authenticity, and her inclusive approach to working with clients from diverse backgrounds and multiple generations.

Specifically, Nabia and Marguerita discuss:

  • Building credibility before entering the financial planning profession.
  • The importance of authenticity and Inclusivity in creating judgment-free spaces for clients to openly discuss their financial situations.
  • Early Planning to secure financial futures for clients of all ages. 
  • Working with multi-generational families toward a life plan.

Resources:

Connect With Mark Bruno: 

Connect With Nabia Jenkins-Johnston:

Connect With GUEST:

About Our Guest:

Marguerita “Rita” M. Cheng is the Chief Executive Officer at Blue Ocean Global Wealth. Prior to founding Blue Ocean Global Wealth, she was a Financial Advisor at Ameriprise Financial and an Analyst and Editor at Towa Securities in Tokyo, Japan. She is a Certified Financial Planner® (CFP), a Chartered Retirement Planning Counselor® (CRPC), a Retirement Income Certified Professional® (RICP) and a Chartered SRI Counselor (CSRIC®). An in-demand financial writer and speaker, Rita has contributed her expertise to numerous media outlets including Forbes, The Wall Street Journal, CNBC, Reuters, Kiplinger, Investopedia, Entrepreneur, Huffington Post, U.S. News and World Report, Time, Yahoo! Finance, NerdWallet, Financial Advisor, Be Inkandescent, and more. In 2021, she was named the #7 Most Influential Financial Advisor in the Investopedia Top 100, a Woman to Watch by InvestmentNews, and a Top 100 Minority Business Enterprise (MBE®) by the Capital Region Minority Supplier Development Council (CRMSDC). Rita is also a recipient of the prestigious Japanese Monbukagakusho Scholarship.

As a Certified Financial Planner Board of Standards (CFP Board) Ambassador, Rita helps educate the public, policy makers, and media about the benefits of competent, ethical financial planning. She serves as a Women’s Initiative (WIN) Advocate and subject matter expert for CFP Board, contributing to the development of examination questions for the CFP® Certification Examination. She served on the Financial Planning Association (FPA) National Board of Directors from 2013 – 2015 and is a past president of the Financial Planning Association of the National Capital Area (FPA NCA). Rita is also a past spokesperson for the AARP Financial Freedom Campaign.



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Wealth Management EDGE Podcast: LPL Financial’s Marc Cohen on Unlocking Growth in Wealth Management

Wealth Management EDGE Podcast: LPL Financial’s Marc Cohen on Unlocking Growth in Wealth Management

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What will be the winning strategies behind growth and success in the future of wealth management? 

In this episode of the Wealth Management Edge podcast, Mark Bruno, managing director of the wealth management group at Informa talks with Marc Cohen, executive vice president at LPL Financial about the future of wealth management, mergers and acquisitions, and effective technology and workflow management will drive a new wave of growth in the advice industry. 

Specifically, Mark and Marc discuss:

  • How specific technology utilization, time management, and diverse team collaboration can create capacity and leverage to add more clients.
  • How M&A is evolving and how acqui-hires and minority investments will continue to drive growth.
  • Investing in infrastructure to ensure consistent and high-quality financial advisory services.
  • Tuck-in activity among advisors as an alternative to starting new firms.

Resources:

Connect With Mark Bruno:

Connect With GUEST:

About Our Guest:

Marc Cohen is the executive vice president of Strategy for LPL Financial. He is responsible for leading the development of creative and innovative ways for LPL to partner with advisors to ensure that each clients’ needs are met with a unique lens and advanced capabilities, tools, and solutions that allow them to thrive. 

Prior to joining LPL, Mr. Cohen was with MarketCounsel for more than a decade. While there, he helped entrepreneurial investment advisors build, manage, and expand their businesses. From serving as an architect behind many of the highest-profile breakaway deals in the industry, to supporting their journey as business owners through strategy development, evolving operational and compliance requirements, succession planning, and exit strategies, Mr. Cohen has helped successful advisors become successful entrepreneurs. 

Mr. Cohen earned a bachelor’s degree in Accountancy from The George Washington University in Washington, DC.

 

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Wealth Management EDGE Podcast: Dakota’s Rhys Williams: Inside the Mind of Your NextGen Clients

Wealth Management EDGE Podcast: Dakota’s Rhys Williams: Inside the Mind of Your NextGen Clients

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This episode of the “Wealth Management EDGE” podcast hosted by Mark Bruno, Managing Director of the Wealth Management Group at Informa, features an insightful conversation with Rhys Williams, a senior wealth advisor at Dakota Wealth Management. The episode highlights the evolving landscape of financial advice and the changing dynamics of clients’ needs.

Mark and Rhys reflect on the current state of the financial markets and the transition from a focus on short-term investment gains to a broader, more long-term perspective. They emphasize the increasing importance of holistic financial planning and how advisors are adapting to meet the unique needs of different generations.

Specifically, Mark and Rhys discuss:

  • Insights into the shifting demographics of wealth, particularly the rise of younger clientele who are now seeking financial advice. 
  • How the face of wealth is changing, with millennials becoming first-time wealth generators and seeking guidance on wealth management, legacy planning, and long-term financial goals.
  • The evolving role of financial advisors, moving beyond investment advice to encompass comprehensive financial planning and behavioral coaching. 
  • The significance of understanding clients’ values, goals, and aspirations, and how advisors can build strong relationships by effectively communicating and tailoring their services to individual needs.

Mark and Rhys also discuss how technology and tools like customer relationship management (CRM) systems enable advisors to efficiently gather insights about their clients’ preferences and behaviors. 

This podcast explores the transformative journey of financial advice, recognizing the current bull market for advice and the unprecedented growth opportunity it presents for financial advisors who embrace a client-centric, holistic approach to wealth management.

Resources:

 RIA Edge Podcast 

Connect With Mark Bruno:

Connect With Rhys Williams:

About Our Guest:

As a Senior Wealth Advisor, Rhys advises his clients across all aspects of their financial lifecycle including investment management, financial & estate planning, and taxes. He focuses on young doctors and medical professionals. Rhys has over 15 years in private banking focused on advising high-net-worth professionals, families, and entrepreneurs. Rhys’ experience with Dakota’s multifaceted in-house expertise allows Rhys to serve as a trusted advisor and fiduciary for his clients.

Before Dakota, Rhys held the role of Portfolio Manager at IBERIA Wealth Advisors (formerly Gibraltar Private Bank & Trust) where he managed client assets and served as a member of the firm’s investment & asset allocation committees.

Rhys earned a BS in Finance at The University of Florida. He currently holds a Certified Private Wealth Advisor® designation, an advanced credential created specifically for wealth managers working with high-net-worth clients focusing on the life cycle of wealth: accumulation, preservation, and distribution.



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