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Financial Planning > Tax Planning

New Hire Roundup: Vanguard’s McNabb to Serve Additional Term at ICI

By Marlene Y. Satter

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This week in personnel announcements and new hires, the Insured Retirement Institute named Robert Moore the new chairman of its board; U.S. Bank welcomed Matthew Tilghman-Havens and Myles Michale, Jr.; Alliott Group member NSBN LLP announced the licensing of four new CPAs; Dynasty Financial Partners announced a new partnering with Nova Wealth Advisors; and the Independent Directors Council named Paul Freeman as new chair.

Also, Daron Smith rejoined Advisor Software; Brian Rice went to Aequitas Capital; Fidelity & Guaranty Life welcomed Chris Littlefield and Jim Benson; the Investment Company Institute elected William McNabb to an additional term as chairman of its board of governors; and William Holder went to Cornerstone Research.

Moore Named Chairman of IRI Board

The Insured Retirement Institute announced that Robert Moore, president of LPL Financial, has been elected chairman of its board of directors. In addition, officers elected were Bruce Ferris, president, Prudential Annuities Distributors, vice chairman; John Carter, president and chief operating officer, Nationwide retirement plans, Nationwide Financial, past chairman; and John Papadopulos, president, Wells Fargo retirement, Wells Fargo & Company, secretary and treasurer.

Elected to serve as at-large members of the executive committee were William Benjamin, CEO, U.S. Bancorp Investments Inc. and U.S. Bancorp Insurance Services; Robert DeChellis, president and CEO, Allianz Life Financial Services; Nick Lane, senior executive director, head of U.S. life and retirement, AXA; and Paula Nelson, executive vice president, head of annuity distribution, Forethought Financial Group.

New board members elected to serve three-year terms expiring in 2017 were: Erica McGinnis, president and chief executive officer, AIG Advisor Group; George Riedel, head of financial institutions, U.S. investment services, T. Rowe Price Inc.; and Larry Roth, CEO, Cetera Financial Group. Elected as replacements to fill terms expiring in 2015 and 2016, respectively, were David Cruz, senior managing director, head of retail annuities, New York Life Insurance Company and David Paulsen, president, Transamerica Distributors, Transamerica Capital, Inc.

McNabb to Serve Additional Term at ICI

The Investment Company Institute has announced that William McNabb has been elected to serve an additional term as chairman of its board of governors, and Gregory Johnson will serve an additional term as vice chairman. The membership has also elected three new board members.

McNabb is chairman and CEO of Vanguard. He was first elected to ICI’s board in 2008 and has served on the executive committee since 2009. McNabb joined Vanguard in 1986, became CEO in 2008, and was named chairman of the board of directors and the board of trustees in 2009.

Johnson is president and CEO of Franklin Resources, Inc. David Booth, chairman and co-CEO of Dimensional Fund Advisors LP, and Marie Knowles, independent director, Fidelity Fixed Income and Asset Allocation Funds, were also elected to the board, and Charlie Morrison, president of asset management at Fidelity Investments, was elected to fill an open board seat.

U.S. Bank Adds Tilghman-Havens, Michale

U.S. Bank announced that Matthew Tilghman-Havens has been named senior wealth planner for the Private Client Reserve of U.S. Bank in Seattle and Myles McHale, Jr., has been hired as a wealth management advisor managing director for the Private Client Reserve in Naples, Florida.

 Tilghman-Havens joins from Graham & Dunn PC in Seattle, where he was an attorney on the estate planning team. He previously served as a managing assistant attorney general for the licensing and administrative law division of the WashingtonState attorney general’s office.

 McHale has worked in the banking and financial services industry since 1981. Prior to joining, he was a managing director of Wilmington Trust Investment Advisors’ consultant relations liaison group. In addition, he has held a variety of leadership positions at Fleet Investment Services, Chase Manhattan Bank and The Morgan Bank.

NSBN Announces Licensing of Four New CPAs

Alliott Group member NSBN LLP has announced that Anne Brillo, Kalina Grayson, Jason Nicholson and Lawrence Zlot have been licensed as certified public accountants as of July 1.

Brillo is a taxation specialist in the business management department at NSBN, serving clients in the entertainment industry and high-net-worth individuals. Grayson provides tax and accounting services in the entrepreneurial services department, serving closely held businesses and nonprofits. Nicholson provides both audit and tax services for the real estate department, with an emphasis on affordable housing, conventional rental and commercial properties. Zlot is a taxation specialist in the real estate department, serving partnerships as well as S corps and individual investors.

Dynasty Financial Partners Adds Nova Wealth Advisors

Dynasty Financial Partners has announced that Nova Wealth Advisors has joined its platform. Nova is made up of Timothy Rodgers, principal and CEO; Keith Osborne, VP and financial advisor; Brian Fry, client services associate; and Billi Wood, office manager. All joined the firm from Wells Fargo.

Rodgers has 30 years of experience in the financial industry and was most recently managing director of investments at Wells Fargo Advisors. He was also a SVP at A.G. Edwards, where he spent 20 years. He began his career at Stern Brothers, reaching the position of VP of investments.

Independent Directors Council Names Freeman

Paul Freeman, an independent director of Deutsche Funds, has been elected chair of the governing council of the Independent Directors Council (IDC). He succeeds Susan Kerley, an independent director of Legg Mason Partners Funds and MainStay Funds.

Five independent directors were also elected to serve two-year terms. They are: Julie Allecta, Forward Funds; Keith Hartstein, Prudential Retail Funds; Cynthia Hostetler, Aberdeen Funds; Thomas Lemke, AXA Premier VIP Trust, JP Morgan Exchange-Traded Fund Trust, Munder Funds, and SEI Funds; and Sheryl K. Pressler, Voya Funds.

Smith Rejoins Advisor Software

Advisor Software Inc. (ASI) has announced that Daron Smith has rejoined the firm as EVP of worldwide sales.

Smith, who served from 2003 to 2011 as VP at ASI, has more than 20 years of experience in senior roles in the technology field. Prior to his return, he was with SAP. Prior leadership roles were at Appcelerator, Clarify and Bloomberg.

Rice Goes to Aequitas Capital

Aequitas Capital has hired Brian Rice as EVP and partner, and president of the wealth management division. He reports to Bob Jenesik, CEO.

Rice joins the firm from KeyBank, where he served as the regional president for Oregon, Washington and , among other roles, over the last 12 years. Prior to that, he served as VP and market area manager for Wells Fargo in Portland, Oregon.

Fidelity & Guaranty Life Adds Littlefield, Benson

Fidelity & Guaranty Life announced that Christopher Littlefield has been appointed to the position of president of FGL. In addition, James Benson has been appointed to the board of directors, which has been expanded from nine members to 10.

Littlefield was formerly president and CEO of Aviva USA Corporation, and earlier was chief operating officer. From January 2006 to February 2008, he was EVP, general counsel and secretary for AmerUS Group, which was acquired by Aviva plc in 2006. Earlier, he was with the Dial Corporation in Scottsdale, Arizona. Prior to that, he worked as a corporate and securities attorney for Snell & Wilmer L.L.P., in Phoenix.

Benson, with more than 40 years of experience in the insurance and financial services industries, is currently president and CEO of Benson Botsford. He previously served as president and CEO of John Hancock Life Insurance Company, has held leadership positions at MetLife, Inc., GenAmerica Financial Corp., New England Financial, and Equitable Companies Inc., and served on the board of Aviva USA Corp.

Cornerstone Research Adds Holder

Cornerstone Research, a provider of economic and financial consulting and expert testimony, has announced that William Holder has joined the firm as a senior advisor.

Holder, dean of the Leventhal School of Accounting at the University of Southern California, is also the Alan Casden Dean’s Chair and professor of accounting. He has extensive experience as an expert witness in high-profile trials involving questions of accounting.

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