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New Hire Roundup: IMCA Names Whiting National Sales Director

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This week in new hires, IMCA named Tim Whiting national sales director; John Carter of Nationwide was named as the new chair of IRI’s board of directors; Tom Petrone became director of capital markets at Dynasty Financial Partners; Camille Asaro, Jay Freedman and Linda Grogan joined KPMG’s alternative investments group; and IEP Financial welcomed Paul Richardson.

Also, James Ferrin went to Quantitative Advantage; Zeigler welcomed Kenneth Koger Jr.; Elaine Greenberg joined Orrick, Herrington & Sutcliffe; and Mercer added Gemma Baranguan to its Chicago office.

IMCA Names Whiting National Sales Director

The Investment Management Consultants Association today announced recently hired Tim Whiting as national sales director. In this role, Whiting is charged with promoting IMCA and increasing usage of its offerings among major accounts. He will also create ongoing relationships with key decision makers at national brokerage firms, major regional brokerage firms, custodians, and other accounts to promote IMCA, its CIMA and CPWAcertifications, and educational offerings, including conferences.

“Tim brings more than 20 years of national sales experience and a decade of financial services industry business development experience to IMCA, and he will help sustain our growth at key firms that embrace education,” said Ian MacKenzie, IMCA’s deputy executive director of operations. “As we explore new ways to promote the value in our offerings through branding outreach, new sponsorship opportunities, and deeper sales relationships, Tim’s efforts will play a pivotal role. I welcome Tim to the team and look forward to his contributions.”

Whiting served as group publisher at SourceMedia from 2006 until 2013, where he managed sales and marketing for the Investment Advisor Group, including the Financial Planning and On Wall Street brands.

John Carter Named Chairman of IRI Board

The Insured Retirement Institute (IRI) has announced the election of John Carter, president and chief operating officer of Nationwide Retirement Plans, as the new chairman of the IRI board of directors. As chairman, Carter follows Larry Roth, immediate past chairman. IRI also announced the election of eight new board members, the re-election of three board members and the election of officers and executive committee members.

New board members, who will serve three-year terms expiring in 2016, are: William Benjamin, CEO, U.S. Bancorp Investments and U.S. Bancorp Insurance Services; Mitchell Caplan, CEO, Jefferson National Financial; Caroline O’Connell, chief strategy officer and managing sirector, Pershing; Michael Perry, managing director and head of wealth management advice and platforms, UBS Distribution; Michael Saliba, managing director, strategic alliances group, BlackRock; Thomas Swank, president and CEO, individual savings and retirement, Transamerica; Edward Van Dolsen, executive vice president and president, retirement and individual financial services, TIAA-CREF; and Marc Vosen, CEO, Key Investment Services.

Reelected board members, whose three-year terms will also expire in 2016, are: Ben Huneke, managing partner, Morgan Stanley Wealth Management Investment Products and Services; John Papadopulos, president, Wells Fargo Retirement, Wells Fargo & Company; and David Tyrie, managing director, head of personal wealth and retirement, global wealth and retirement solutions, Bank of America Merrill Lynch.

IRI also announced that three board members have been elected to serve as officers for one-year terms expiring in 2014. Robert Moore, president, LPL Financial, was elected vice chairman; Wells Fargo’s Papadopulos was elected treasurer; and Thomas Streiff, executive vice president, retirement product manager, PIMCO, was elected secretary. Joining them on the IRI executive committee, elected to one-year terms expiring in 2014, are four at-large members: Bruce Ferris, EVP, annuities sales and distribution, product marketing, Prudential Annuities; Lynne Ford, EVP, head of distribution, Calvert Investments; Paula Nelson, EVP, head of annuity distribution, Forethought Financial Group; and Nick Lane, senior executive cirector, head of U.S. life and retirement, AXA Equitable.

Dynasty Financial Partners Adds Tom Petrone as Director of Capital Markets

Dynasty Financial Partners announced Tuesday the addition of Tom Petrone as director of capital markets. He will be based in New York City and will report to Todd Thomson, chairman, in Thomson’s role as chief investment officer. Petrone has also been appointed to the investment committee.

Petrone joins with 30 years of experience. Most recently, he served as head of capital markets for the Citigroup Private Bank, North America. Starting as an options trader at Smith Barney in 1979, he held numerous senior capital markets positions over a 30-year career, including co-head of U.S. equity derivatives at Citigroup.

KPMG’s Alternative Investments Group Welcomes Three to New York Office

KPMG announced that Camille Asaro, Jay Freedman and Linda Grogan have recently joined KPMG’s alternative investments team in New York, all on the New York financial services practice. The AI team focuses on hedge funds, private equity firms and real estate funds.

Asaro has been hired as an audit partner. She has more than 23 years of experience in asset management, audit, accounting, strategic planning, hedge funds, and private equity funds. Prior to joining, she served as an audit partner at a leading national professional services firm that focuses on serving alternative investment businesses. She also has experience working directly in the securities industry and brings extensive knowledge of the accounting and regulatory aspects of a wide-range of fund structures in the alternative investments sector.

Freedman has been hired as a federal tax principal. With 20 years of experience in the financial services tax arena, he will assume responsibility for serving investment management firms and hedge funds, overseeing the delivery of tax consulting and tax compliance services to a number of existing clients, and helping build relationships with new clients and prospects. He comes from a global investment company, where he spent the past five years as its chief tax officer. Prior to that, he served as senior managing director at another investment company.

Grogan is returning as a tax managing director to the firm from a private equity firm, where as chief financial officer and chief compliance officer, she was responsible for financial statement oversight, tax planning and compliance, as well as benefits and people management. She will focus on expanding the firm’s private equity service capabilities. She has more than 20 years of experience serving clients and holding various leadership roles in private equity organizations. Earlier in her career, Grogan served as director in KPMG’s department of professional practice. IEP Financial Appoints Paul Richardson

IEP Financial announced Tuesday the appointment of Paul Richardson as vice president of business development. He will report to Keith Gregg, CEO.

Richardson, a financial services industry veteran with more than three decades of securities management experience, was most recently regional president of Cabot Lodge Securities and former CEO of Tampa, Florida-based JHS Capital Advisors. His executive experience includes roles as CEO and president of Brook Stone Securities, and CEO at Sterling Financial Services and J.W. Genesis Securities/CSG. He began his career at E.F. Hutton, where he was branch manager and then moved on to Prudential Securities, where he became regional director at the firm’s Newport Beach, Calif., office.

Quantitative Advantage Adds James Ferrin

Quantitative Advantage, LLC (QA) announced Tuesday the addition of James Ferrin to the firm. He will serve as managing director of the portfolio management group and joins Tom Fox, chief investment officer; Tom Crandall, portfolio manager; and Josh Schettle, portfolio analyst, on the investment management team.

Ferrin brings extensive investment management experience, having previously served as VP and director of portfolio management at Curian Capital. Prior to that, he was VP and senior portfolio manager with Wells Fargo Institutional Asset Advisors. Responsibilities in his previous roles include the design, development and management of tactical, quantitative investment strategies primarily implemented through ETFs.

Ziegler Adds Kenneth Koger Jr. to Chicago Wealth Management Office

Investment bank and brokerage firm Ziegler announced that it has hired Kenneth Koger Jr. as a financial advisor in its Chicago office.

An accredited asset management specialist (AAMS), Koger has more than 13 years of advisory experience, working with clients to identify their financial goals and needs and providing investments and advice tailored to help each client achieve their financial goals. Koger joins from U.S. Bancorp Investments, where he served in the company’s private client group.

Elaine Greenberg Joins Orrick’s DC Office

Orrick, Herrington & Sutcliffe announced Monday that Elaine Greenberg has joined the firm as a partner, resident in Washington, D.C. She will serve on the securities litigation and regulatory enforcement team.

Greenberg was the inaugural chief of the SEC’s municipal securities and public pensions enforcement unit and former associate director of the division of enforcement at the SEC. During her 25-year tenure there, she developed a strong reputation for producing high-impact enforcement actions, bringing cases of first impression and negotiating precedent-setting settlements. She brought cases in the areas of municipal securities and public pensions, corporate disclosure, accounting and financial fraud, insider trading, broker-dealer and investment adviser fraud and practices, market manipulation and offering fraud. She possesses a deep institutional knowledge of the SEC’s policies, practices, procedures and personnel, having served under nine different SEC chairmen.

Gemma Baranguan Joins Mercer in Chicago

Mercer announced Tuesday that Gemma Baranguan recently joined its international consulting group (ICG) practice, based in its Chicago office, as a principal. In her new role, she will report to Jean-Philippe Provost, international consulting group practice leader for North America.

Baranguan has more than 15 years of experience working with large multinational companies on a variety of projects such as benefit audits and design of benefit plans, pooling, M&A due diligence and post-close integration.

Read the Sept. 18 New Hire Roundup at ThinkAdvisor.


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