This week in personnel announcements and new hires, Dan Farley was promoted at the Private Client Reserve; Philip Herzberg joined the Lubitz Financial Group; Homrich Berg appointed new principals; Mariner Consulting welcomed three; and Tom Coté joined Equis Capital.
Also, Erin E. Schneider has been named the associate regional director for enforcement in the San Francisco office; Scivantage added two; Cozen O’Connor welcomed Ellen Grady; SignatureFD promoted Heather Fortner; the chief counsel to SEC Chairwoman Mary Jo White resigned; and Advisor Software added Erik Jepson.
Schneider Named Associate Director of SEC San Francisco Office
The Securities and Exchange Commission announced that Erin E. Schneider has been named the Associate Regional Director for enforcement in the San Francisco office.
Schneider began working in the San Francisco office in 2005 as a staff attorney and became an Assistant Regional Director in 2012. She has served as a member of the Division of Enforcement’s Asset Management Unit since its inception in 2010. In her new role, Schneider will oversee the San Francisco office’s enforcement efforts for northern California and the Pacific Northwest.
Chief Counsel to SEC Chair White Resigns
Robert E. Rice, Chief Counsel to SEC Chairwoman Mary Jo White, will leave the agency at the end of February.
Chair White named Mr. Rice her Chief Counsel in June 2013. In that position, Mr. Rice has been a senior legal and policy advisor to Chair White and has provided advice and counsel on a wide range of regulatory matters.
Before coming to the SEC, Mr. Rice worked from 2004 to 2013 at Deutsche Bank AG in New York, where he oversaw all regulatory and criminal enforcement, litigation and governance matters in the Americas. From 2000 to 2004, Mr. Rice was a partner at McDermott, Will & Emery in New York.
Before joining McDermott, Will & Emery, Mr. Rice spent almost 10 years in public service in the Criminal Division of the U.S. Attorney’s Office for the Southern District of New York.
Private Client Reserve Names Farley
U.S. Bank has announced that Dan Farley has been named regional investment director at the Private Client Reserve. He will be based in Minneapolis. In addition to his new duties, primarily supporting the east region, he will continue to be involved with the Twin Cities investment team and continue to work with Margaret Paddock, Twin Cities market leader.
With more than 13 years of experience, Farley joined the firm in 2010 as a senior portfolio manager. He was subsequently promoted to the position of portfolio manager/player coach before being promoted to his most recent position as Twin Cities investment lead. Prior to joining, he was a vice president with Dougherty Commercial Properties and also worked as a management consultant in Deloitte Consulting’s strategy practice. Earlier he was commissioned as a combat engineer officer in the U.S. Army, serving more than five years on both active duty and in the Minnesota National Guard.
Herzberg Joins Lubitz Financial Group
The Lubitz Financial Group has announced that Philip Herzberg has joined as a client advisor.
Prior to joining, Herzberg was a relationship manager at United Capital in the Boca Raton area and client services manager in Miami with Ladenberg Thalmann.
Homrich Berg Names New Principals
Wealth management firm Homrich Berg has appointed five new principals: Stephanie Lang, Wayne Moss, Tricia Mulcare, Paul Ribes and Frank Waterson.
Lang joined in 2005 and serves as chief investment officer. Moss joined in 2008 after spending 10 years at Creative Financial Group and serves as a relationship manager. Mulcare joined in 2003 after four years with Ernst & Young. She oversees a client service team and also serves as the firm’s divorce specialist. Ribes joined in 2013 as chief operating officer; previously, he was the director of financial planning and analysis for Invesco in Atlanta. Waterson joined in 2004 after beginning his career advising Fortune 500 executives at Ayco, a Goldman Sachs company.
Mariner Consulting Adds Three
Mariner Holdings has announced that its tax advisory affiliate Mariner Consulting has expanded into the Kansas City area with the hiring of Scott Voss, Ryan Drake and Megan Deay.
Voss, who will lead the new team, has more than two decades of tax experience. He joins from RubinBrown, LLP, where he was a partner. His past experience also includes leadership roles at PricewaterhouseCoopers, KPMG, Embarq Corporation and Compass Minerals International. Drake will serve as tax senior and Deay is a staff member.
Coté Joins Equis Capital
Tom Coté has joined Equis Capital as vice president of business development, and will head the firm’s 401(k) managed account program.
Previously, Coté was a principal and owner of Total Solution Financial Partners, a financial services consulting firm. He also held key positions with Fidelity Investments, Federated Investors, The Pacific Stock Exchange, and Security Pacific National Bank. Scivantage Adds Two
Technology provider Scivantage has added Amit Basu as executive vice president, professional services and delivery, and Alex Sauickie as EVP, business and technology operations.
Basu brings more than 25 years of experience in financial services and has held leadership positions at several companies, including managing director of professional services at Albridge Solutions. Most recently, he was CIO at Procurian. He started his career in London as an analyst programmer for the Lloyds of London insurance market and also worked for several years in Asia as a technology architect for banking clients.
A veteran executive in startup and high-growth enterprise software, Sauickie joins from Billtrust, a high-growth SaaS billing platform, where he served as SVP of client operations. Prior to Billtrust, he was COO for social media company Unified Social, and managing director of operations and services for Albridge Solutions.
Grady Joins Cozen O’Connor
Cozen O’Connor has announced that Ellen Grady has joined as a member in the corporate securities practice in the Philadelphia office.
With more than 25 years of experience, Grady was most recently corporate counsel with Safeguard Scientifics Inc. Prior to that, she was a partner with Pillsbury Winthrop Shaw Pittman.
Fortner Promoted at SignatureFD
Financial design firm SignatureFD has announced the promotion of Heather Robertson Fortner to COO.
Fortner, who joined in 2003, has 17 years of experience in the industry. In her 12 years with the firm, she has held multiple positions, most recently director of operations. She also serves chief compliance officer, and has been a partner since 2013.
Jepson Goes to Advisor Software
Advisor Software has announced that Erik Jepson has joined as chief customer officer.
Jepson has more than 20 years of experience in the financial services industry. Prior to joining, he was chief marketing officer for Personal Capital; he has also held senior leadership roles at Charles Schwab, TradeStation, Royal Bank of Scotland and E*Trade.
— Check out New Hire Roundup: CFP Board Names Richard Rojeck Chairman on ThinkAdvisor.