The Future of Advice™

Ben Carlson serves as the Director of Institutional Asset Management at Ritholtz Wealth Management.

His writing can be seen in almost every top financial publication and in 2017 he was named to the InvestmentNews 40 under 40 list. 

He is the author of four books about the investing and is known as one of the most commonly read financial bloggers across the wealth management industry.

His work, along with the team at Ritholtz Wealth Management has been revolutionary for advisors who are thinking about creating their own content.

Lifeworks is a registered investment advisor.

Chris King is the Founder and CEO of Eaglebrook Advisors, a tech-driven investment manager that provides independent financial advisors with streamlined, secure, and compliant access to bitcoin and digital assets. 

The firm has created the first bitcoin and crypto separately managed accounts (SMAs), which are designed to seamlessly integrate with an advisor’s current portfolio management systems and workflows. The company is backed by leading wealth management executives and financial institutions.

Lifeworks is a registered investment advisor.

A conversation with leaders in wealth management and technology around the future of financial advice, the biggest challenges facing advisors today, and how to build a business to win the future.

Gavin Spitzner is founder and president of Wealth Consulting Partners. He has 25+ years working in and consulting to Fortune 500 companies with a breadth of experience encompassing strategic consulting, business development, product development, digital strategy, marketing, professional development and practice management.

Gavin has partnered with numerous top 25 U.S. and Global banks and broker-dealers as well as asset managers, RIAs and Fintech/WealthTech firms to develop and implement innovative advisor and client experience solutions leveraging modern technology and processes to improve top and bottomline business performance. 

Lifeworks is a registered investment advisor.

Anders Jones, CEO of Facet Wealth, is an entrepreneur and early stage tech investor. Prior to Facet, Anders was a founding partner of Argyle Ventures. Argyle invests in emerging startup markets, with a focus on advertising, technology, financial technology, and healthcare IT. Prior to Argyle, Anders was on the early team at LiveRamp (acquired by Acxiom for $310 million), and has been involved as an investor or advisor in many other startups in Silicon Valley.   

Lifeworks is a registered investment advisor.

Ray Sclafani is someone who I have been following and learning from for the last 6 years. 

He is one of the most effective coaches and developers of advisors in the wealth management industry. His advice and teaching has been instrumental in helping thousands of advisors across the world.  

He is the CEO and Founder of ClientWise, the premier business, executive coaching, and consulting firm working exclusively with financial professionals.  

He is a highly respected and experienced leader with an extensive resume and history of high impact in our industry. More importantly, he is passionately and tirelessly focused on leading the professionalization of the wealth management and financial advising industry and the transformation of advisors from lone rangers to leaders of interdependent teams.   

Lifeworks is a registered investment advisor.

Rachel Carpenter is an entrepreneur who is leading an effort to reinvent the financial data supply chain.  

She is the co-founder and CEO of Intrinio, a modern platform where you can access fast, accurate, and affordable financial data through a powerful, easy to use API and marketplace. Software developers, financial innovators, analysts, educators, institutions, and startups are building tomorrow's innovations with their data.  

She has a unique vision for the future of FinTech and an incredible story.   

Lifeworks is registered investment advisor.

Megan Carpenter is the CEO and founder of FiComm Partners.  

She was recently named to the Investment News 40 Under 40 list and her expertise spans over 15 years of helping RIA firms and advisors connect, communicate and engage effectively with their target audiences.   

Mark Tibergien is a nationally recognized expert on management, strategy, and transition issues within the financial services industry.  

Mark’s professional background spans Executive Leadership, Consulting, Training, Writing, and Speaking. He has led organizations from start-up to exit, from dynamic growth to turn-around.  

Together, they discuss where the industry is headed and what advisors and firms can do to set themselves apart.  

Lifeworks is a registered investment advisor.

Aimvest Technologies is a startup technology company that is focused on changing the way advisors invest client assets and manage the risk of their clients not achieving their financial goals.   

Their proprietary system allows advisors and clients to set realistic target financial goals (save for college, create stable income in retirement, etc…) and then their software manages the investment portfolio to provide a floor (downside protection) on the investment while maximizing the possible upside for the client.  

The founders, Hugo Castalan and Alex Mathé-Cathala both have a Masters in Finance from MIT and a background in quantitative investments and machine learning.   

More important, is that they are not just brilliant academics from MIT – they also have a vision and a deep desire to change the way advisors and clients manage their wealth.  

Lifeworks is a registered investment advisor.

Doug Fritz is the founder of F2 Strategy and former wealth management CTO.    

His team of experienced wealth management executives address a widening gap between the expectations of affluent clients and their wealth management experience.   

His perspective and experience come from a long history of innovations and transformative technical projects at major financial institutions. F2 Strategy also manages the Wealth Tech Innovation Board, a confidential think-tank comprised of over 70 top wealth management CTOs, COOs, and innovation executives.    

Doug also participates as an industry thought leader, conference speaker, and judge for multiple industry awards.   

Lifeworks is a registered investment advisor.

Megan Carpenter is the CEO and founder of FiComm Partners.  

She was recently named to the Investment News 40 Under 40 list and her expertise spans over 15 years of helping RIA firms and advisors connect, communicate and engage effectively with their target audiences.   

Her passion to promote the industry is demonstrated through her involvement with the CFP Board Center for Financial Planning Workforce Development Advisory Group. She is also part of the Pledge 1% global movement, having pledged 1% of personal equity, profits, time and product to non-profits in the wealth management community.   

Megan began her career at John Hancock Financial Network before launching her own business, Caritative Wealth Consulting, and then merging that company into her second business venture, FiComm Partners in 2014.  

FiComm exists to expand the impact of financial advice by leading human-centered business change through New Skool marketing, PR, and advisor marketing education. Recognized as a top-4 Industry Disruptor in 2020 by WealthManagement.com, FiComm’s services allow advisors to lead with authenticity, target their focus and drive to commercial success.  

She is a regular blogger and spokesperson in the media on topics related to financial services marketing and communications and is also a sought-after speaker at a wide range of industry events, including Schwab IMPACT, Pershing INSITE, Bob Veres’ Insider’s Forum, ECHELON Partners Deals and Deal Makers Summit, Riskalyze Fearless Investing Summit, InvestmentNews Best Practices Workshop and Top Advisory Firm Summit, In|Vest, FPA NorCal, MarketCounsel Summit, and the CFA Institute.   

Her firm also produces an engaging podcast called, The New Skool which you can find on Apple Podcasts and on her website https://www.ficommpartners.com/the-new-skool-podcast/ 

Lifeworks is a registered investment advisor.

Steve Lockshin is a Founder and Principal of AdvicePeriod and former Chairman of Convergent Wealth Advisors, a company he founded in 1994.  Steve helped pioneer the independent advisory industry, building one of the largest independent RIAs in the nation. Lydian Wealth Management was acquired by City National Bank (NYSE:RY) in 2007. He is also the founder and visionary of Vanilla, a tech-enabled platform to automate estate planning for advisors and lawyers.  

Steve is widely known for his contemporary approach to wealth advisory as well as his estate-planning knowledge and is a frequent speaker on both topics. He memorialized his concerns about conflicts of interest in the industry in his guide for consumers, Get Wise to Your Advisor (John Wiley & Sons: 2013).  

Steve has received many industry accolades, including being ranked #1 by Barron’s in both their state (CA) and #1 in the national rankings in numerous periods.  In 2019 Steve was named WealthManagement.com’s Thought Leader of the Year and the firm has received numerous awards for its culture and industry pace-setting.  

Steve is a champion for the fiduciary standard and consumer education in financial services. In 2012, in an attempt to unify the industry by providing a simple set of standards for consumers, Steve helped launch Advizent.  

In 1995, as part of the development of Convergent Wealth Advisors, Steve founded CMS Reporting. CMS Reporting is now known as Fortigent, LLC, a leading provider of outsourced wealth management solutions with more than $75 billion in assets on its platform. Fortigent was acquired by LPL Financial Holdings, Inc. (NASDAQ: LPLA) in 2012.  

Steve has been a member of the Young Presidents Organization (YPO) since 1998 and is an accomplished pilot and an enthusiastic lacrosse fan.  *Barron’s recognitions are based upon factors including assets under management, revenue produced for the firm, regulatory record, and quality of practice. Quality of practice includes an advisor’s regulatory/compliance record and philanthropic and charitable work.  

Lifeworks is a registered investment advisor

Michael Nathanson is the CEO of The Colony Group and has been selected ten times by Barron’s magazine as one of the top 100 independent financial advisors in the nation and included in Worth magazine’s list of the country’s top 250 wealth advisors. He also was selected six times as a “Super Lawyer,” as published in Massachusetts Super Lawyers. He is most proud of The Colony Group being named as one of just 50 firms as a Best Place To Work for Financial Advisors by InvestmentNews.  

He is the host of Seeking The Extraordinary™ podcast which is on a mission to identify, understand, and explore the undiscovered world of the extraordinary.  He also co-authored the book, Personal Financial Planning for Executives and Entrepreneurs: The Path to Financial Peace of Mind, and has frequently been interviewed and published on a wide variety of financial, tax, and legal topics by many national and local news outlets, including CNBC, MarketWatch, Reuters, Dow Jones, Bloomberg, Barron’s, the Wall Street Journal,  Fox Business, and more.  

Having served as the Chairman of the Board of Directors of the National Brain Tumor Society for over five years, Michael now serves as a member of its Emeritus Board and also serves on the Boards of Cure GBM and Pediatric Cancer Cure. He was the recipient of the 2016 Catalyst Award from the Invest In Others Charitable Foundation for his work with the National Brain Tumor Society. He is the founder of the Nathanson Family Catalyst Fund for Brain Tumor Research and the Nathanson Family Catalyst Fund for Cardiac Valve Research. He is a former member of the Israel Bonds National New Leadership Board and also has served as a member of the Investment Committee advisory group of the Massachusetts Service Alliance and as a Trustee and Director of the Needham Historical Society.  

He earned his Juris Doctor, cum laude, from Harvard Law School, an LL.M. in Taxation from Boston University School of Law, and a Bachelor of Arts, summa cum laude, from Brandeis University, where he was elected to membership in Phi Beta Kappa and was the recipient of numerous academic honors.

Lifeworks is a registered investment advisor.

Mark Ford runs Castor Abbott, an incredibly successful consulting firm that helps advisors re-think their client acquisition strategies (or lack thereof), get clear on what they actual do for their clients, and then helps them develop winning digital marketing campaigns that have brought in over $500M  in new assets, millions in fee-based planning revenue, and other product sales.   

Lifeworks worked with his team for over two years as they have helped transform our sales and client acquisition systems from the old traditional model to a scalable and predictable digital system for winning our best clients.   

He provides a unique perspective on the current challenges advisors and firms face today and what needs to be done in order to fix the brokenness in our industry and win the future. 

Lifeworks is a registered investment advisor

In his role as Chief Executive Officer at Apex Clearing, William sets the vision and strategy to help Apex identify and realize new areas of growth and opportunity. Under his guidance, Apex continues to be a proven leader in custody and clearing, helping to power the digital revolution in financial services. Prior to his role as CEO of Apex, William previously worked at Convergex Group where he was Chief of Staff and a member of the firm’s Executive Committee. As Chief of Staff, he managed critical internal and external initiatives for the company and was responsible for the firm’s options, prime services, global clearing and commission sharing arrangement (CSA) businesses. William also served as Director at Pershing LLC, responsible for their institutional product suite and directed their global re-engineering efforts firm-wide.  

William is a current board member of TraderTools, a privately held trading technology solutions company, as well as an advisory board member of RobustWealth, a digital wealth management platform technology provider. William previously sat on the board of Convergex, and currently serves as Chairman of the board for Apex Clearing Corporation. In addition, William is a partner at PEAK6 Investments LLC, the parent company of Apex Clearing.  

William earned a Bachelor of Arts degree from Wesleyan University in Connecticut and a Master of Business Administration in Strategic Management from Rutgers University.  -  This video is for informational and/or educational purposes only and is not, in any way, to be considered investment advice nor a recommendation of any investment product. Trading in cryptocurrencies is not suitable for all investors and can result in substantial losses, including most if not all of your investment. Cryptocurrencies carry significant risks, including highly volatile markets, inconsistent valuations, cybersecurity events, potential market manipulation, and relatively high fees. Additionally, cryptocurrency exchanges and other intermediaries are not subject to the same regulatory scrutiny as securities and futures exchanges, nor are cryptocurrency accounts protected by SIPC coverage or the FIDC. Apex Clearing is a member of FINRA, NYSE, SIPC.  

Lifeworks is a registered investment advisor.

Marty Bicknell is the CEO and president of Mariner Wealth Advisors, a nationally recognized registered investment advisor with over $33.5 billion in assets under advisement, 346 advisors, and 40 offices across the country.   

In 2016 He was named in Investment Advisor’s Top 25 Influential People in the investment/financial industry and in the Kansas City Business Journal’s Power 100 List from 2014-2019. Under his leadership, Mariner Wealth Advisors has had the privilege of being ranked in the top four Registered Independent Advisory Firms by Barron’s for the last four consecutive years.   

Marty is one of the founders and lead investors in Scratch.Works, a unique FinTech accelerator competition that helps start-up technology firms compete and secure funding from large RIAs.

Lifeworks is a registered investment advisor.  

Mariner Wealth Advisor AUA, locations and associate size as of 6/30/20.  

Barron’s awarded the 2019 #4 and 2018 #3 Top RIA Firms rankings to Mariner Wealth Advisors based on data compiled for Mariner Wealth Advisors and the 2017 #2 and 2016 #1 rankings to Mariner Holdings based upon data compiled for Mariner Holdings’ registered investment adviser subsidiaries. The number of firms included in the rankings were: 20 (2016), 30 (2017), 40 (2018), 50 (2019) and 100 (2020). Barron’s publishes rankings based upon a number of criteria and the firms’ filings with the SEC were used to cross-check the data provided. The listing includes numbers of clients, employees, advisors, offices and state locations. The award is not indicative of future performance and there is no guarantee of future investment success. For additional information visit www.barrons.com.   

Mariner Wealth Advisors (“MWA”) is an SEC registered investment adviser with its principal place of business in the State of Kansas. Registration of an investment adviser does not imply a certain level of skill or training.  

For additional information about MWA, including fees and services, please contact MWA or refer to the Investment Adviser Public Disclosure website (www.adviserinfo.sec.gov). Please read the disclosure statement carefully before you invest or send money.

Gavin Spitzner is founder and president of Wealth Consulting Partners. He has 25+ years working in and consulting to Fortune 500 companies with a breadth of experience encompassing strategic consulting, business development, product development, digital strategy, marketing, professional development and practice management.  

Gavin has partnered with numerous top 25 U.S. and Global banks and broker-dealers as well as asset managers, RIAs and Fintech/WealthTech firms to develop and implement innovative advisor and client experience solutions leveraging modern technology and processes to improve top and bottomline business performance. 

Lifeworks is a registered investment advisor.

Anders Jones, CEO of Facet Wealth, is an entrepreneur and early stage tech investor. Prior to Facet, Anders was a founding partner of Argyle Ventures. Argyle invests in emerging startup markets, with a focus on advertising, technology, financial technology, and healthcare IT. Prior to Argyle, Anders was on the early team at LiveRamp (acquired by Acxiom for $310 million), and has been involved as an investor or advisor in many other startups in Silicon Valley.

Lifeworks is a registered investment advisor.

Anders Jones, CEO of Facet Wealth, is an entrepreneur and early stage tech investor. Prior to Facet, Anders was a founding partner of Argyle Ventures. Argyle invests in emerging startup markets, with a focus on advertising, technology, financial technology, and healthcare IT. Prior to Argyle, Anders was on the early team at LiveRamp (acquired by Acxiom for $310 million), and has been involved as an investor or advisor in many other startups in Silicon Valley.

Lifeworks is a registered investment advisor.

Ray Sclafani is someone who I have been following and learning from for the last 6 years.

He is one of the most effective coaches and developers of advisors in the wealth management industry. His advice and teaching has been instrumental in helping thousands of advisors across the world.

He is the CEO and Founder of ClientWise, the premier business, executive coaching, and consulting firm working exclusively with financial professionals.

He is a highly respected and experienced leader with an extensive resume and history of high impact in our industry. More importantly, he is passionately and tirelessly focused on leading the professionalization of the wealth management and financial advising industry and the transformation of advisors from lone rangers to leaders of interdependent teams.

Lifeworks is a registered investment advisor.

Ray Sclafani is someone who I have been following and learning from for the last 6 years.  

He is one of the most effective coaches and developers of advisors in the wealth management industry. His advice and teaching has been instrumental in helping thousands of advisors across the world.

He is the CEO and Founder of ClientWise, the premier business, executive coaching, and consulting firm working exclusively with financial professionals.

He is a highly respected and experienced leader with an extensive resume and history of high impact in our industry. More importantly, he is passionately and tirelessly focused on leading the professionalization of the wealth management and financial advising industry and the transformation of advisors from lone rangers to leaders of interdependent teams.   

Lifeworks is a registered investment advisor.

Megan Carpenter is the CEO and founder of FiComm Partners.  

She was recently named to the Investment News 40 Under 40 list and her expertise spans over 15 years of helping RIA firms and advisors connect, communicate and engage effectively with their target audiences.   

Mark Tibergien is a nationally recognized expert on management, strategy, and transition issues within the financial services industry.  

Mark’s professional background spans Executive Leadership, Consulting, Training, Writing, and Speaking.  

He has led organizations from start-up to exit, from dynamic growth to turn-around.  

Together, they discuss where the industry is headed and what advisors and firms can do to set themselves apart.  

Lifeworks is a registered investment advisor.

Rachel Carpenter is an entrepreneur who is leading an effort to reinvent the financial data supply chain.  

She is the co-founder and CEO of Intrinio, a modern platform where you can access fast, accurate, and affordable financial data through a powerful, easy to use API and marketplace. Software developers, financial innovators, analysts, educators, institutions, and startups are building tomorrow's innovations with their data.  

She has a unique vision for the future of FinTech and an incredible story.   

Lifeworks is registered investment advisor.

Rachel Carpenter is an entrepreneur who is leading an effort to reinvent the financial data supply chain.  

She is the co-founder and CEO of Intrinio, a modern platform where you can access fast, accurate, and affordable financial data through a powerful, easy to use API and marketplace. Software developers, financial innovators, analysts, educators, institutions, and startups are building tomorrow's innovations with their data.  

She has a unique vision for the future of FinTech and an incredible story.   

Lifeworks is registered investment advisor.

Aimvest Technologies is a startup technology company that is focused on changing the way advisors invest client assets and manage the risk of their clients not achieving their financial goals. Their proprietary system allows advisors and clients to set realistic target financial goals (save for college, create stable income in retirement, etc…) and then their software manages the investment portfolio to provide a floor (downside protection) on the investment while maximizing the possible upside for the client.

The founders, Hugo Castalan and Alex Mathé-Cathala both have a Masters in Finance from MIT and a background in quantitative investments and machine learning.

More important is that they are not just brilliant academics from MIT – they also have a vision and a deep desire to change the way advisors and clients manage their wealth.

Lifeworks is a registered investment advisor.

Doug Fritz is the founder of F2 Strategy and former wealth management CTO.    

His team of experienced wealth management executives address a widening gap between the expectations of affluent clients and their wealth management experience.   

His perspective and experience come from a long history of innovations and transformative technical projects at major financial institutions. F2 Strategy also manages the Wealth Tech Innovation Board, a confidential think-tank comprised of over 70 top wealth management CTOs, COOs, and innovation executives.    

Doug also participates as an industry thought leader, conference speaker, and judge for multiple industry awards.

Lifeworks is a registered investment advisor

Megan Carpenter is the CEO and founder of FiComm Partners.  

She was recently named to the Investment News 40 Under 40 list and her expertise spans over 15 years of helping RIA firms and advisors connect, communicate and engage effectively with their target audiences.   

Her passion to promote the industry is demonstrated through her involvement with the CFP Board Center for Financial Planning Workforce Development Advisory Group. She is also part of the Pledge 1% global movement, having pledged 1% of personal equity, profits, time and product to non-profits in the wealth management community.   

Megan began her career at John Hancock Financial Network before launching her own business, Caritative Wealth Consulting, and then merging that company into her second business venture, FiComm Partners in 2014.  

FiComm exists to expand the impact of financial advice by leading human-centered business change through New Skool marketing, PR, and advisor marketing education. Recognized as a top-4 Industry Disruptor in 2020 by WealthManagement.com, FiComm’s services allow advisors to lead with authenticity, target their focus and drive to commercial success.  

She is a regular blogger and spokesperson in the media on topics related to financial services marketing and communications and is also a sought-after speaker at a wide range of industry events, including Schwab IMPACT, Pershing INSITE, Bob Veres’ Insider’s Forum, ECHELON Partners Deals and Deal Makers Summit, Riskalyze Fearless Investing Summit, InvestmentNews Best Practices Workshop and Top Advisory Firm Summit, In|Vest, FPA NorCal, MarketCounsel Summit, and the CFA Institute.   

Her firm also produces an engaging podcast called, The New Skool which you can find on Apple Podcasts and on her website https://www.ficommpartners.com/the-new-skool-podcast/ 

Lifeworks is a registered investment advisor.

Steve Lockshin is a Founder and Principal of AdvicePeriod and former Chairman of Convergent Wealth Advisors, a company he founded in 1994.  Steve helped pioneer the independent advisory industry, building one of the largest independent RIAs in the nation. Lydian Wealth Management was acquired by City National Bank (NYSE:RY) in 2007.  

He is also the founder and visionary of Vanilla, a tech-enabled platform to automate estate planning for advisors and lawyers.  Steve is widely known for his contemporary approach to wealth advisory as well as his estate-planning knowledge and is a frequent speaker on both topics. He memorialized his concerns about conflicts of interest in the industry in his guide for consumers, Get Wise to Your Advisor (John Wiley & Sons: 2013).  

Steve has received many industry accolades, including being ranked #1 by Barron’s in both their state (CA) and #1 in the national rankings in numerous periods.  In 2019 Steve was named WealthManagement.com’s Thought Leader of the Year and the firm has received numerous awards for its culture and industry pace-setting.  

Steve is a champion for the fiduciary standard and consumer education in financial services. In 2012, in an attempt to unify the industry by providing a simple set of standards for consumers, Steve helped launch Advizent.  In 1995, as part of the development of Convergent Wealth Advisors, Steve founded CMS Reporting. CMS Reporting is now known as Fortigent, LLC, a leading provider of outsourced wealth management solutions with more than $75 billion in assets on its platform. Fortigent was acquired by LPL Financial Holdings, Inc. (NASDAQ: LPLA) in 2012.  

Steve has been a member of the Young Presidents Organization (YPO) since 1998 and is an accomplished pilot and an enthusiastic lacrosse fan.  *Barron’s recognitions are based upon factors including assets under management, revenue produced for the firm, regulatory record, and quality of practice. Quality of practice includes an advisor’s regulatory/compliance record and philanthropic and charitable work.  

Lifeworks is a registered investment advisor

Michael Nathanson is the CEO of The Colony Group and has been selected ten times by Barron’s magazine as one of the top 100 independent financial advisors in the nation and included in Worth magazine’s list of the country’s top 250 wealth advisors. He also was selected six times as a “Super Lawyer,” as published in Massachusetts Super Lawyers. He is most proud of The Colony Group being named as one of just 50 firms as a Best Place To Work for Financial Advisors by InvestmentNews.  

He is the host of Seeking The Extraordinary™ podcast which is on a mission to identify, understand, and explore the undiscovered world of the extraordinary.  

He also co-authored the book, Personal Financial Planning for Executives and Entrepreneurs: The Path to Financial Peace of Mind, and has frequently been interviewed and published on a wide variety of financial, tax, and legal topics by many national and local news outlets, including CNBC, MarketWatch, Reuters, Dow Jones, Bloomberg, Barron’s, the Wall Street Journal,  Fox Business, and more.  

Having served as the Chairman of the Board of Directors of the National Brain Tumor Society for over five years, Michael now serves as a member of its Emeritus Board and also serves on the Boards of Cure GBM and Pediatric Cancer Cure. He was the recipient of the 2016 Catalyst Award from the Invest In Others Charitable Foundation for his work with the National Brain Tumor Society. He is the founder of the Nathanson Family Catalyst Fund for Brain Tumor Research and the Nathanson Family Catalyst Fund for Cardiac Valve Research. He is a former member of the Israel Bonds National New Leadership Board and also has served as a member of the Investment Committee advisory group of the Massachusetts Service Alliance and as a Trustee and Director of the Needham Historical Society.  

He earned his Juris Doctor, cum laude, from Harvard Law School, an LL.M. in Taxation from Boston University School of Law, and a Bachelor of Arts, summa cum laude, from Brandeis University, where he was elected to membership in Phi Beta Kappa and was the recipient of numerous academic honors.

------

The Colony Group, LLC (“Colony”) is an SEC Registered Investment Advisor with offices throughout the country. Registration does not imply that the SEC has endorsed or approved the qualifications of Colony or its respective representatives. In Florida, Colony is registered to do business as The Colony Group of Florida, LLC. Colony provides individuals and institutions with personalized financial advisory services.

Barron’s criteria: Barron’s ranks independent advisory firms weighing dozens of qualitative and quantitative components, including assets managed, the size and experience of teams, the regulatory records of the advisors and firms, contribution to the firm’s revenues and profits, and quality of service. The Barron’s Top 100 list included Colony’s CEO, Michael Nathanson, for 2007 and 2009-2017.

Super Lawyers criteria: Candidates are evaluated on 12 indicators of peer recognition and professional achievement. Selections are made on an annual, state-by-state basis. The list included Michael Nathanson from 2004-2009.

Worth criteria: Individual advisor’s expertise, integrity, and dedication to the field of wealth management; portfolio management strategies; risk analysis; client service initiatives; and the educational and professional credentials of advisors. The Worth list included Michael Nathanson for 2008.

InvestmentNews criteria: Top 50 Best Places to Work (2018) - Be a registered investment adviser or affiliated independent broker-dealer; be in business a minimum of one year; have at least 15 employees. Colony was featured on the list in 2018.

Lifeworks is a registered investment advisor.

Mark Ford runs Castor Abbott, an incredibly successful consulting firm that helps advisors re-think their client acquisition strategies (or lack thereof), get clear on what they actual do for their clients, and then helps them develop winning digital marketing campaigns that have brought in over $500M in new assets, millions in fee-based planning revenue, and other product sales.   

Lifeworks has been working with his team now for over two years and they have helped transform our sales and client acquisition systems from the old traditional model to a scalable and predictable digital system for winning our best clients.   

He provides a unique perspective on the current challenges advisors and firms face today and what needs to be done in order to fix the brokenness in our industry and win the future.

_

Lifeworks is a registered investment advisor.

In his role as Chief Executive Officer at Apex Clearing, William sets the vision and strategy to help Apex identify and realize new areas of growth and opportunity. Under his guidance, Apex continues to be a proven leader in custody and clearing, helping to power the digital revolution in financial services. Prior to his role as CEO of Apex, William previously worked at Convergex Group where he was Chief of Staff and a member of the firm’s Executive Committee. As Chief of Staff, he managed critical internal and external initiatives for the company and was responsible for the firm’s options, prime services, global clearing and commission sharing arrangement (CSA) businesses. William also served as Director at Pershing LLC, responsible for their institutional product suite and directed their global re-engineering efforts firm-wide.

William is a current board member of TraderTools, a privately held trading technology solutions company, as well as an advisory board member of RobustWealth, a digital wealth management platform technology provider. William previously sat on the board of Convergex, and currently serves as Chairman of the board for Apex Clearing Corporation. In addition, William is a partner at PEAK6 Investments LLC, the parent company of Apex Clearing.

William earned a Bachelor of Arts degree from Wesleyan University in Connecticut and a Master of Business Administration in Strategic Management from Rutgers University.

-

This video is for informational and/or educational purposes only and is not, in any way, to be considered investment advice nor a recommendation of any investment product. Trading in cryptocurrencies is not suitable for all investors and can result in substantial losses, including most if not all of your investment. Cryptocurrencies carry significant risks, including highly volatile markets, inconsistent valuations, cybersecurity events, potential market manipulation, and relatively high fees. Additionally, cryptocurrency exchanges and other intermediaries are not subject to the same regulatory scrutiny as securities and futures exchanges, nor are cryptocurrency accounts protected by SIPC coverage or the FIDC. Apex Clearing is a member of FINRA, NYSE, SIPC.  

Lifeworks is a registered investment advisor.