The latest monthly round-up moves in the world's wealth management industry.

Europe and Middle East

The Society of Trust and Estate Practitioners appointed Mark Walley as its new chief executive. Walley replaced George Hodgson who retired at the end of this year. Hodgson joined as director of policy in 2009, later serving as deputy chief executive before taking up the top post in 2016. Walley began his career at Barclays, where he spent 25 years, rising to chief operating officer of Barclays Wealth’s International Personal and Premier Banking Division.

Weatherbys Private Bank made new hires, with Aidan Faik joining as a senior private banker. Before moving to Weatherbys, Faik spent four years with C Hoare & Co and six years with Coutts. Nathan Valbonesi became a paraplanner, bringing 18 years’ experience to the role. Jeneta Pearce-Hunt joined as a people manager responsible for the bank’s PR policy and people strategy. Lisa Wright joined as talent executive responsible for all aspects of recruitment.

Standard Chartered Private Bank appointed Armando Rosselli as head of wealth advisory and UK resident non-domiciled clients, a newly-formed role. He reports to Julian Davies, head of private banking, UK and Jersey. Rosselli has been in senior wealth advisory and planning roles over his 20-year career.

Rathbones hired Vanessa Walduck and Freddie Bennett as investment director and investment manager, respectively. Both Walduck and Bennett joined Rathbones’ London office from Quilter Cheviot. Walduck has worked in the City of London since 1985, starting at the London Stock Exchange. She has been managing private client assets for 28 years and at Quilter Cheviot was head of a large team. Bennett joined Quilter Cheviot in 2008. The firm also appointed Colin Clark as a non-executive director, subject to regulatory approval. He has also been appointed as a member of the audit, remuneration, risk and nomination committees.

Clark has spent his entire career in investment management. He was at Mercury Asset Management and Merrill Lynch Investment Managers for over 20 years and then was appointed a non-executive director at Standard Life Investments in 2004. In 2010, he was appointed an executive director of Standard Life Investments and was subsequently appointed to the Standard Life board as an executive director with responsibility for the Global Client Group. He retired from this position in 2017.

Standard Life Aberdeen hired David Tiller as head of UK propositions, a newly-created role, in which he retains responsibility for Standard Life’s wrap and elevate platforms.

Julius Baer named executive board member Philipp Rickenbacher as the head of intermediaries and global custody, a new unit concentrating on serving external asset managers and independent financial advisors. Nicolas de Skowronski succeeded Rickenbacher as head of advisory solutions and become a member of the Swiss bank’s executive board. Rickenbacher took international responsibility for this business-to-business segment.

A Julius Baer figure since 2004, Rickenbacher has held various senior leadership roles, including the responsibility for the structured products area. In 2016 he was appointed to the bank’s executive board and to his current role as head of advisory solutions. In de Skowronski’s case, he joined Julius Baer in 2005, with the bank’s acquisition of Ferrier Lullin & Cie. Since then, he has served as head investment advisory and chief of staff, and lately as head of advisory operations and development as well as deputy head of advisory solutions.

DWS Group appointed Asoka Woehrmann as chief executive. At the same time, DWS‘ parent group Deutsche Bank named Woehrmann as a senior group director for its asset management business. Woehrmann assumed tasks previously performed by Nicolas Moreau, who left his role as managing director of DWS Group at the end of the year. Woehrmann spent many years in a variety of global leadership roles at the Frankfurt- based asset manager. Until 2015, he was global chief investment officer responsible for the entire fund management platform. 

PGIM Investments hired Thiemo Volkholz, who is based in Frankfurt, as vice president. He is part of a team dedicated to Germany. Together with Cvjetko Zecevic, hired as assistant vice president, the team markets PGIM’s asset management operation, including PGIM Funds throughout the region. The team reports to Kimberly LaPointe, executive vice president and head of global accounts.
Both Volkholz and Zecevic joined from Capital Group, where Volkholz was a managing director responsible for relationships with banks, wealth managers and multi-family offices. He has more than a decade of investment industry experience, including roles at MainFirst Asset Management, JP Morgan and Helaba Landesbank Hessen-Thüringen. Zecevic was a business development associate covering financial intermediaries, global financial institutions, banks, multi-family offices, independent asset managers and IFAs.

Saffery Champness appointed partner Emma Hendron as head of the firm’s international practice group. An Edinburgh-based partner, Hendron specialises in international private client matters, advising a client base that includes entrepreneurs, high net worth individuals and family offices. 

The chief operating officer of Credit Suisse in Switzerland, Maria Kamber Borens, left the firm after just over two years after joining the bank from rival UBS. Anke Bridge Haux, in her role as head of digitalisation and products, and Robert Wagner, designated CCO of the Swiss business of the bank, were appointed to the executive board of Credit Suisse (Switzerland) Ltd. Wagner took over Kamber Borens’s role.

Vanguard appointed Marco Corsi to lead a new London-based global research centre that will serve exchange traded fund investors. Before joining the new London operation, Corsi was a director at BlackRock’s iShares family of ETF funds, leading the EMEA product research and innovation team. He has also worked at Decura, Barclays, and Merrill Lynch. In the new post, he will report to Vanguard’s head of international ETFs, Axel Lomholt.

Rowan Dartington appointed Bryan Parkinson as managing director for Rowan Dartington Intermediaries (formally Rowan Dartington Signature) and international. He joined from Barclays Wealth and Investment Management in December 2016 as regional director for the north. The role is a new one for the firm.

Fulcrum Asset Management appointed Akio Ohtsuka as senior advisor to provide Fulcrum with insight into the Japanese asset management sector. He was executive advisor of Sumitomo Mitsui Trust Bank. Ohtsuka has worked in many of the most senior roles at Sumitomo Trust & Banking since joining the firm in April 1976, and latterly at Sumitomo Mitsui Trust Bank Ltd. 

Schroders appointed Philipp Kauer as a quantitative portfolio manager in its newly-renamed Schroders Systematic Investments (SSI). He reports to Ashley Lester, head of multi-asset research and systematic investments. Kauer, who has over 23 years of quantitative investment experience, joined from Man AHL, where he was a portfolio manager and senior quantitative researcher. He also worked at Salomon Brothers, Credit Suisse and Brevan Howard.

BNP Paribas Asset Management appointed Corinne Massuyeau as global head of client services. She is based in Paris and reports to Sandro Pierri, global head of the client group. In this newly-created position, Massuyeau leads an international team of almost 70 professionals responsible for all services provided to BNPP AM clients. Massuyeau spent much of her career at Pioneer Investments in various marketing roles.  She joined the company in 2001 as senior financial business analyst, before becoming head of finance in 2003, and then head of international business analysis in 2005.

The Society of Trust and Estate Practitioners named a new worldwide chairman, Vistra’s Simon Morgan TEP. Morgan, who is director and head of private clients at Vistra Jersey, has been elected to the role, taking up the post at the start of next January. He succeeded Patricia Wass TEP, who has been in the role since the start of 2017. Working in the international fiduciary business since 1982, Morgan has worked in Jersey and the Cayman Islands and has been a STEP member since 1994. He is a fellow of the Chartered Institute of Financial Services (London Institute of Banking & Finance).

EFG International melded its legal and compliance functions into a single division to be led from 1 May next year by former Edmond de Rothschild senior figure Yves Aeschlimann. He took over from Vittorio Ferrario, group compliance chief, who was to leave in early 2019. At Edmond de Rothschild, Aeschlimann was group head of legal compliance, a position he held from 2013. Prior to this, he was a senior financial sector specialist at the World Bank, Washington DC, and before that, he spent eight years at the Geneva Criminal Justice Department as an investigating magistrate, from 2001 to 2009.

HSBC Private Banking made several European hires to expand its exchange-traded funds and fund management team. The following hires are based in London:
- Muna Abu-Habsa - head of multi-asset and ESG funds. Abu-Habsa has 12 years’ experience in funds research and ratings across asset classes, and joins from Morningstar.
- Yassar Ali - head of fixed income funds. Ali has 15 years’ industry experience in fixed income markets as a portfolio manager and investment specialist. He joins HSBC from Aberdeen Standard Investments, where he was director, fixed income. 
- Brendan Ashe - head of ETFs. He has 19 years’ industry experience, and joins HSBC from Coutts, where he was senior product specialist of passive investments and structured products. 
- Guy Boden - head of equity funds. Boden has 27 years’ experience in funds research, analysis and selection. He joins HSBC from Stamford Associates, where he as a senior research analyst..
- Ashis Dash - senior fixed income funds analyst. Dash has 9 years’ experience and joins HSBC from Morningstar, where was the lead analyst for fixed income strategies.
- Simon Dorricott – senior equity fund analyst. He joins HSBC from Morningstar, where he was the lead analyst for equity strategies.
- Reshma Moloo - senior multi-asset funds analyst. Moloo joins HSBC from Citi Private Bank, where she was a senior fund research analyst. She has over 18 years’ experience in manager research across equity, fixed income and alternative investments.

In Zurich, the firm appointed Mehmet Zengin as funds and ETFs specialist. He rejoined HSBC from Julius Baer in Zurich, where he was a fund marketing specialist. He previously worked at Lombard Odier.

KPMG promoted two members of its private client team in its tax practice in a bid to bolster services to its private clients and family office clients. Chris Luckett, who is based in Leeds, and Tom Whybrow, who is based in Birmingham, were promoted to director.

BNP Paribas Real Estate appointed Paul McNair as a senior director in its London markets team. McNair concentrates on West End investment following 19 years at Fineman Ross, the property investment practice, where he has been a partner since 2007. He is experienced in advising private investors, property companies and institutions including Aberdeen Standard Investments, CBRE Global Investors, Derwent London and private wealth management clients. 

Brown Shipley appointed Nish Patel as a lending specialist and Tony Conway to join its international team as a client director. Both are based in London. Patel joined from HSBC Private Bank. Conway, who has over 30 years’ industry experience, specialises in the Middle East and North Africa market and will strengthen the international team’s expertise in the region. Prior to joining Brown Shipley, he held positions at Credit Agricole, Julius Baer and UBS Wealth Management.

Kempen Capital Management hired Alastair Greenlees as senior investment strategist and Craig Stevenson as consultant relations director to bolster its UK team. Prior to joining Kempen, he was head of institutional and consultant relations at Old Mutual Global Investors. Greenlees works with Kempen’s institutional fiduciary clients. Prior to joining Kempen, Greenlees was a senior investment consultant at Willis Towers Watson.

Dolfin, the independent wealth management platform, appointed Simon Black as a senior wealth manager. Black joined Dolfin following 11 years at Hassium Asset Management.

London-based Capital Financial Markets appointed Andrew Stancliffe to join its board and Robin Boyle as an investment manager. Stancliffe, who took a stake in the firm, recently left Macquarrie Bank, where he was head of cash trading Europe. He has also held senior positions at Investec and Merrill Lynch. Boyle, who has managed private client portfolios for over 40 years, manages bespoke portfolios on behalf of private clients. He recently stepped down as managing director of investment trust Athelney Trust. He also founded stockbroker Dunbar, Boyle and Kingsley in the 1980s then eventually sold the firm.

Societe Generale appointed Anne Marion-Bouchacourt as group country head for Switzerland and chief executive of SG Zurich; she replaced Hugues de La Marnierre in the post. Marion-Bouchacourt is based in Zurich and reported to Thierry d’Argent, head of coverage and investment banking. From July 2016, Hugues De la Marnierre was group country head for Societe Generale in Switzerland, as well as the CEO of SG Zurich - a position he had held since September 2013.

Crux Asset Management appointed Lord Howard of Penrith as chairman. Before joining Crux, Philip Howard was senior independent director of Schroders, having served as a non-executive director since 2008. He was also chief investment officer of Beazley, the Lloyds Insurer, from 2013 to 2015. He was chairman of Tarchon Capital Management and spent a number of years as deputy to the chairman of Lehman Brothers in Europe until 1997. He was also the partner in charge of international fixed income at Phillips & Drew. Charles Ferguson stepped down as chairman to become a non-executive director for Crux.

ADCorp Ltd appointed Mohammed Al Khaja as its senior executive officer. Al Khaja reports to ADCorp’s board of directors. He has overall responsibility over the company’s activities, driving the strategy as set out by the board and leading its strategic and operational activities. He has more than 18 years of experience in financial advisory, asset management, wealth management, private banking, compliance and operations, having held senior management positions at Credit Suisse AG-Bahrain and Dubai, Merrill Lynch-Bahrain, and most recently Osool Asset Management in Bahrain.

Amundi appointed Philip Philippides as head of third party distribution for the UK. He is based in London. Philippides joined Amundi in 2014 as head of exchange-traded funds and indexing sales for UK and Ireland. He started his career in private wealth management at Old Mutual in 1997, before moving to Morgan Stanley where he worked in sales from 2001 to 2007. He then spent four years at BlackRock as head of institutional iShares sales for UK and Ireland, before joining Morgan Stanley again as executive director in ETF Sales. Before joining Amundi, he worked as a consultant for two years.

Global asset manager Russell Investments appointed Chris Davies as head of UK distribution for retail and wholesale. Davies is responsible for overseeing Russell Investments’ intermediary business in the UK, working closely with a wide range of wholesale and retail clients. Davies reports directly to Joe Linhares, head of Europe, Middle East and Africa. He joined Russell Investments from Candriam Investors Group, where he led its UK and Ireland sales team for the past three years.

Wells Fargo Asset Management made four appointments to its international distribution team. WFAM named Sylvain Agar as head of international financial institutions; Maja Jankovic as director for WFAM international business development; Matt Craddock as a director on its institutional client and consultant relations team; and Gabriel Gilarranz as a senior associate, responsible for consultant relations coverage in Europe, Middle East and Africa.

Barclays Wealth Management appointed Ellen Cornelious and Ian MacKinnon as wealth managers. Cornelious and MacKinnon are responsible for supporting and driving the Barclays Wealth Management offering forwards across Bristol, the South West and Wales. Cornelious joined Barclays from Santander, where she worked as a financial planning manager. Prior to this, she was based in Hong Kong with HSBC, where she catered for the investment, protection, banking and FX needs of clients across South East Asia. She will be located in Bristol. MacKinnon joined Barclays from Brown Shipley, where he worked as the private client director. He also held various senior positions at HMRC and Grant Thornton, specialising in pensions and taxation. He is based in Exeter.

Seven Investment Management hired Martyn Surguy as chief investment officer. He replaced Ian Jensen-Humphreys, who took on the acting CIO role last year from Chris Darbyshire. Prior to joining 7IM, Surguy was head of investment management at Credit Suisse - London. Previous roles include CIO, private wealth management division for Europe, Middle East and Africa at Morgan Stanley. He also spent 16 years at Morgan Grenfell/Deutsche Bank, latterly as CIO international and head of portfolio management UK.

Close Brothers Asset Management hired Hugh Adlington as managing director. Adlington, who has more than 25 years of experience in managing the investments of private clients, family offices and charities, joined from Rathbones where he was an investment director. Prior to that he worked at Fleming Private Asset Management.

Loomis, Sayles & Company, an affiliate of Paris-based Natixis Investment Managers, named Aziz Hamzaogullari as the chief investment officer of the Growth Equity Strategies team. Hamzaogullari has been a portfolio manager and founded the GES team’s investment process and approach. Before joining Loomis Sayles in 2010, he worked at Evergreen Investments where he had been a senior portfolio manager and managing director. He joined Evergreen in 2001.

UBS’ financial intermediaries team in Jersey appointed three new employees to join its external asset manager (EAM) business. It appointed Jean-Paul Coutanche and Emma Gouyette as client advisors, and Charlotte Hervé as a client advisor assistant. Coutanche has over 14 years’ experience in the finance industry. Recently he was at a wealth management firm looking after ultra-high net worth clients.  Gouyette has 20 years’ experience in financial services in wealth management, investments, onboarding and compliance. 

Eaton Vance Management International, a subsidiary of Eaton Vance Corp, appointed Dónal Kinsella to the newly-created role of institutional portfolio manager for Eaton Vance corporate credit strategies. Based in London, Kinsella reports to Christopher Remington, director of income product and portfolio strategy. He began his career in the investment industry in 2010. He joined from Janus Henderson Investors, where he was a client portfolio manager responsible for multi-sector, structured and corporate credit strategies for pension schemes and insurance companies across Europe.

SANNE, the global provider of alternative asset and corporate administration services, appointed Jamie Villiers as a new business development director. Villiers joined SANNE’s team in London. In his new role, he is responsible for the sourcing of new business and key intermediary relationship initiatives across the Europe, Middle East and Africa, and Americas. He has more than 22 years’ experience. Prior to joining SANNE, he served as vice president of senior sales and relationship manager at BNY Mellon.

Barclays Wealth Management re-hired Chris Arbuthnott. He joined the Edinburgh office as a director of wealth management. Arbuthnott was a former director of HSBC Private Bank’s Aberdeen office. Prior to HSBC, he worked as a vice president of private banking at Barclays between 2011 and 2014.

Canaccord Genuity Wealth Management promoted Simon Raggett as head of its Worcester office. Raggett has over 25 years’ experience in wealth management. He started his career in stockbroking at Harris Allday, where he later became a partner. He joined Hargreave Hale in 2015 prior to CGWM’s acquisition last year. Mike Davies decided to step down from his current role as head of the Worcester office, to concentrate on the day-to-day management of his portfolio of wealth management clients. 

Mirabaud Asset Management appointed Puneet Singh as senior portfolio manager. He supports Daniel Moreno, head of emerging market debt. Singh has 13 years of experience in emerging markets. He started his career at UBS Investment Bank in London as a financial accountant, before moving onto a consulting role for Commerzbank AG and Barclays Capital in 2008. Prior to joining Mirabaud, Singh was a portfolio manager at BlackRock in London, focusing on EMD within the global fundamental fixed income group.

Ocean Dial Asset Management, a London-based investment company, appointed Amul Pandya as head of business development. Having initially joined Ocean Dial in 2012 as a sales and marketing manager, Pandya subsequently helped to launch Cape Wrath Capital, a UK equity deep value firm in 2016.

Barclays Wealth Management appointed Robin Taylor as head of its South Central division. His appointment followed an extensive career in financial services. Having started at Prudential, he subsequently moved to Barclays’ banking division where he held a number of senior roles, with responsibility for corporate and high value clients, before moving to Barclays Wealth Management in 2007. Among other moves in the south of the UK were those of Jane Stokes, who joined as a wealth manager in the Bournemouth team, having returned home from Australasia. She previously held various senior roles across private banking for the Commonwealth Bank of Australia and Westpac Private, and also has eight years of experience with HSBC Private Bank in the UK.

Karan Berry, wealth manager, also joined the team after spending nine years in London, followed by seven years in the Channel Islands working as a private banker for Société Générale.

UK-based wealth manager Tilney recruited five managers handling ultra-high net worth clients. The team is based in the firm’s offices in New Street Square, London.

The new managers are Joanna Hunt, Stephen Bristow, David Man, Stewart Richardson and Tracy Browne. They come from a number of firms but share in common the fact that they all worked previously at Coutts and Citi Private Bank.

London & Capital, the wealth management house appointed two new partners. Robert Paul, who co-leads the US Family Office alongside managing director Daniel Freedman, who was promoted to partner having joined the firm in 2013. Kate Miller, head of the firm’s Institutional division, was named as a partner; she joined the firm in October 2017. 

Smith & Williamson appointed David Barfoot as head of fund sales - a newly-created role. Barfoot joined from JP Morgan Asset Management, where he was executive director (sales) covering discretionary clients including wealth managers, fund of funds, and private banks.

Legal & General Investment Management named Richard Lee as its new chief financial officer. He took the helm from Siobhan Boylan, who announced in August that she was leaving to join Brewin Dolphin as finance director. Lee reports to Mark Zinkula, chief executive.

Most recently, Lee was group performance director for Legal & General Group and he held a number of positions across the organisation since joining L&G in 1997. Michael Rallings, a group capital director, moved into Lee’s former role.

REYL Overseas, which is based in Zurich with an office in Dallas, Texas, appointed René Marty as its chief executive; he came from a similar business at UBS. He replaced Romain Krief. Marty has over 25 years of experience in the financial industry, most of which has been spent dealing with North American clients. He served as managing director and chief executive of UBS’s SEC-licensed subsidiary, Swiss Financial Advisers, from 2009 to 2017.

Coutts created the new role of head for digital, design and experience. The appointee is Jonathan Brierley. Prior to this he was head of user experience, design and innovation at Deutsche Bank Asset Management. Before that, he led user experience for a cloud platform start-up and prior to that, worked at JP Morgan. He reports to James Clarry, chief operating officer in private banking.
Lockhart Capital Management LLP, which has offices across the UK, appointed Pete Johnson as head of investment operations - a new role for the firm. He was formerly operations, risk and reporting manager in the central investment team at Tilney.

(The business is not connected to Lockhart Capital Management LLC, of Tampa, Florida.)

London law firm Wedlake Bell added Matthew Braithwaite, a partner to its private client group. He joins from Bircham Dyson Bell and has more than 13 years of experience in the field. Braithwaite also co-chairs the Business Families Special Interest Group of the Society of Trust and Estate Practitioners.

Northern Trust Asset Management hired Wouter Sturkenboom as chief investment strategist for its Europe, Middle East, Africa and Asia-Pacific regions. In this newly-created role, Sturkenboom is responsible for designing, implementing and communicating global investment strategy for the firm’s growing investor base. The move followed that of Marie Dzanis, who was named as the head of Northern Trust Asset Management’s business for EMEA in July. Sturkenboom is based in the Netherlands and reports to Jim McDonald, chief investment strategist. He most recently spent six years at Russell Investments as a senior investment strategist, first based in London and then in New York. Prior to this, he spent six years in Amsterdam where he was a senior investment strategist at Kempen Capital Management.

Carey Olsen appointed Bernadette Carey to head up its trusts and private wealth practice across the British Virgin Islands and Cayman Islands. Carey previously worked at Conyers Dill & Pearman. 
Boodle Hatfield named Adam Chamberlain as a property finance partner. Previously he worked at Shoosmiths where he was a partner in its property practice. He is experienced in financing the acquisition and development of real estate assets, with a particular emphasis on development finance, hotel finance and property finance involving private wealth. 

Artemis Investment Management appointed Ross Millar as a partner and chief risk officer. Prior to this, Millar worked at Deloitte, starting in 2006.

Allfunds, has named a new team in Singapore. It appointed Oliver Stewart-Malir, joining as Asian chief operating officer; Vinita Badlani, head of the funds group for Asia, and Edwin Tan, serving as new head for client services in Asia. The trio are based in Singapore. Tan and Stewart-Malir report to Alexis Fosler, regional manager for Asia at Allfunds, and Badlani reports to Borja Largo, global head of funds groups at the company.

Cameron Hume, the independent fixed-income manager, appointed Sir Sandy Crombie as non-executive chairman. A former chief executive of Standard Life, Crombie has more than 50 years of experience in financial institutions.

UK private banking group Hampden & Co hired Duncan Buchanan as a banking director. Buchanan joined from Bank of Scotland Private, a division of Lloyds Banking Group, where he specialised in providing lending to high net worth individuals.

Citi Private Bank appointed Jacopo Eydalli as head of investment counselling for Northern Europe, and Simon Macdonald as director of cross-asset alpha team. Eydallin, based in Zurich, reports to Laurence Stoppelman, head of Investments for Citi Private Bank Europe, Middle East and Africa. Eydallin has 17 years of cross-asset capital markets experience and joins from Goldman Sachs Private Wealth Management. Macdonald, based in Geneva, reports to David Carrera de Manuel, head of the private bank EMEA’s cross asset advisory team. He began his career in 1998 at Deutsche Bank London.

First Names Group appointed Matthew Satchell as funds director of its funds business, Moore Management. Before joining Moore, Satchell spent over ten years successfully developing his career with an offshore law firm.

Quilter made several changes to its executive committee. All new executive committee members report to Paul Feeney, chief executive. 

After 15 years of leading Quilter Cheviot, Martin Baines left as CEO. He stays as a senior advisor to the Quilter Cheviot board. Accordingly, Baines relinquishes his roles on the Quilter Cheviot and Quilter executive committees and from the day-to-day running of the business. He reports to Paul Feeney and Ian Buckley, the newly appointed independent non-executive director and chairman of the Quilter Cheviot board. 

---

Asia-Pacific
Barings appointed Mandy Lui to manage wealth and retail distribution for China and Southeast Asia. Lui joined from BNP Paribas Asset Management, where she led wholesale distribution for China, Hong Kong and Singapore. Before this, she held positions at Russell Investments and Schroder Investment Management (Hong Kong) Ltd. She remains in Hong Kong and reports to the group’s wider regional head Jon Millin.

Julius Baer named executive board member Philipp Rickenbacher as the head of intermediaries and global custody, a new unit concentrating on serving external asset managers and independent financial advisors, an area already considered an important hunting ground for banks. Nicolas de Skowronski succeeded Rickenbacher as head of advisory solutions and became a member of the Swiss bank’s executive board. A Julius Baer figure since 2004, Rickenbacher held various senior leadership roles, including the responsibility for the structured products area. In 2016 he was appointed to the bank’s executive board and to his current role as head of advisory solutions.

Eastspring Investments, the Asian investment management arm of London-based Prudential, hired Michelle Qi as chief investment officer for China, a newly-created role. Qi is responsible for the growth and development of Eastspring's onshore equities investment offering in China. She is based in Shanghai and reports jointly to Virginie Maisonneuve, Eastspring's CIO and Michael Lu, general manager for China. She was previously a senior fund manager at Bank of Communications Schroder Fund Management and has also held Shanghai-based roles at ING Barings Securities.

Asset management firm DWS Group appointed Asoka Woehrmann as chief executive. At the same time, DWS‘ parent group Deutsche Bank apointed Woehrmann as a senior group director for its asset management business. Woehrmann assumed  tasks previously performed by Nicolas Moreau, who left his role as managing director of DWS Group. Woehrmann has spent many years in a variety of global leadership roles at the Frankfurt- based asset manager. Until 2015, he was global chief investment officer responsible for the entire fund management platform. Woehrmann moved from DWS Group to Deutsche Bank’s private and commercial bank (PCB) that year to head the private clients business in Germany.

UBS appointed Edmund Koh as president of UBS Asia-Pacific and to join the executive board. This followed Kathy Shih's decision to retire after 32 years at UBS. Koh was head of wealth management APAC and country head Singapore. He has worked for more than 30 years in senior roles in financial services. He joined UBS in 2012 from Taiwan-based Ta Chong Bank. After joining UBS in 1987 from Citibank as a client advisor in Hong Kong, Shih held various leadership positions in wealth management in APAC.

The Labuan Financial Services Authority, an independent financial centre off eastern Malaysia, appointed Datuk Oh Chong Peng as the new chairman. The previous chairman was Tan Sri Muhammad bin Ibrahim. Datuk Oh is the non-executive director of British American Tobacco (Malaysia) Berhad, Malayan Flour Mills Berhad, Dialog Group Berhad, Kumpulan Europlus Berhad, PUC Berhad and a trustee of UTAR Education Foundation.  He was Chairman of the Alliance Financial Group until his retirement from its board last year.

Fulcrum Asset Management appointed Akio Ohtsuka as senior advisor to provide Fulcrum with insight into the Japanese asset management sector. He was executive advisor of Sumitomo Mitsui Trust Bank. Ohtsuka has worked in many of the most senior roles at Sumitomo Trust & Banking since joining the firm in April 1976 and latterly, Sumitomo Mitsui Trust Bank Ltd.

Indosuez Wealth Management, the global wealth management brand of Crédit Agricole Group, appointed Shirley Lau as head of structured products in Asia. Based in Hong Kong, Lau leads the structured products teams in Hong Kong and Singapore to develop and expand Indosuez Wealth Management’s structured products and OTC derivatives platform in different asset classes. 

Lau’s banking career spans over two decades, most of which were in private and investment banking. She was most recently with ABN AMRO Private Banking as head of special product. She has also held management roles at NATIXIS ASIA and BBVA.

Australia and New Zealand Banking Group appointed Mitchell Mason as its Japan chief executive, reporting to Farhan Faruqui, group executive for the bank’s international arm. Mason, who is based in Tokyo, brings 18 years of banking experience to ANZ, having worked previously at Bank of America Merrill Lynch and Deutsche Bank.

JP Morgan Asset Management appointed Dan Watkins as chief executive of Asia-Pacific. Watkins replaced Michael Falcon, who left the firm to pursue other opportunities. Watkins, who  reports to George Gatch, CEO of JP Morgan Asset Management’s global funds and global institutional businesses, relocated from London to Hong Kong in late 2018. His successor will be named in due course.

Watkins has more than 20 years of experience with JPMAM and served most recently as global head of client services as well as deputy CEO of JPMAM Europe.

HSBC Private Banking appointed Virginia Devereux Wong as regional head of funds and exchange-traded funds based in Hong Kong, and Stacey Wong as funds and ETFs specialist based in Singapore. Devereux Wong has over 30 years of experience in the wealth and asset management industry. She joined HSBC from Aberdeen Standard Investments, where she was head of the Asia wholesale business. She previously worked at Goldman Sachs Asset Management (GSAM), SEI Investments, and Citibank. Wong joined HSBC from Citibank, where she was a member of the wealth management mutual funds team in charge of fund selection and product management.

HSBC Bank (Singapore) appointed Mukhtar Hussain as its director and chairman. In addition to being HSBC Bank (Singapore’s) chairman, Hussain is head of belt and road initiative (BRI) for HSBC Asia-Pacific. Prior to this appointment in April 2018, he was chief executive for HSBC’s businesses in Malaysia – a position he held had since 2009. Hussain first joined HSBC in 1982 and, during his 36 years with HSBC, has worked in a number of businesses and geographies including the UK, the Middle East and North Africa.

French banking group Societe Generale appointed Hugues de La Marnierre as chief executive of Societe Generale China and Pierre-Yves Bonnet as group country head for China. Based in Beijing, De la Marnierre reports to Bonnet. De la Marnierre had been group country head for Societe Generale in Switzerland since July 2016, a position he held in addition to the previous role as CEO of SG Zurich, which was from September 2013. During a transition period, Bonnet was acting CEO of Societe Generale China. In his new role, De la Marnierre focuses on the management and the development of corporate and investment banking activities of Societe Generale in China. 

Bonnet replaced Marion-Bouchacourt. He chairs the board of directors of Societe Generale China and, in addition to governance topics, oversees the group’s activities in China. Based in Beijing, Bonnet reports to Hikaru Ogata, CEO for Societe Generale in Asia-Pacific. Bonnet was appointed global head of financial institutions group in April 2012 and formerly had been global head of strategic and acquisition finance since 2008.

Commonwealth Bank of Australia appointed Alan Docherty as chief financial officer. Docherty has been acting CFO since May 2018; before that, he was CFO of the institutional banking and markets division and held senior roles in group finance, group treasury and in the business and private bank. Prior to joining CBA, Docherty worked in PwC’s financial services practice in the UK and with Arthur Andersen and EY in Sydney.

JP Morgan Asset Management (JPMAM) appointed Prema Basoor to join its Australian distribution team. Basoor joined as an executive director, institutional client advisor, based in Melbourne and will report to Rachel Farrell, chief executive of Australia asset management, JPMAM. Prior to JP Morgan, she was a director of the Australian institutional team at BlackRock for five years.

Northern Trust Asset Management appointed Scott Bennett as head of quantitative research for Australia, New Zealand and the Pacific islands, a newly-created role. Bennett is based in Northern Trust’s Melbourne office, and reports to Bert Rebelo, head of Northern Trust Asset Management for Australia and New Zealand. Prior to joining Northern Trust Asset Management, Bennett spent 14 years at global asset manager Russell Investments, where he was a director of equity strategy and research.

Citi Private Bank appointed Sally Yeh as global market manager for Taiwan. Based in Hong Kong, Yeh reports to Rudolf Hitsch, Citi Private Bank’s North Asia head. As global market manager for Taiwan, Yeu is responsible for growing Citi Private Bank’s business with ultra-high net worth individuals from Taiwan, and managing teams based in Hong Kong and Singapore. She joined from UBS, where she most recently led a team of offshore bankers working with entrepreneurs from Taiwan. She has over 20 years of experience in various financial fields focused on the needs of business owners and investors from Taiwan.

Yeh started her career in Taiwan in asset management, before moving on to work in investment banking for eight years. In 2009, Sally joined UBS as a private banker based in Hong Kong and covered the bank’s UHNW segment.

HSBC appointed Graham FitzGerald as president and chief executive for HSBC Philippines, subject to regulatory approval. FitzGerald replaced Wick Veloso, who left to pursue other interests. The new CEO, who joined HSBC UK in 2004, had been the senior executive of international, a unit overseeing more than 10 of the group's network markets in Asia.

Eastspring Investments made two appointments to join its Multi Asset Solutions team. Jason Hepner joined as a director – senior portfolio manager, and Mary Nicola was appointed director - G10 foreign exchange and Asian fixed income strategist. Both report to Colin Graham who joined Eastspring as chief investment officer for multi-asset solutions in January this year. Most recently, Hepner worked with Standard Life Investments (now Standard Life Aberdeen), having joined the firm in 1997. Nicola comes from Aviva Investors in Singapore. She has also worked at Standard Chartered Bank in Dubai and Hong Kong, and BNP Paribas in New York.

M&G Investments named two investment directors from its London headquarters to join the Asia team. Ajay Patel joined the Hong Kong office and continued his role as an investment director with the private funds investments team whose portfolio is currently invested across Europe, Asia, Australia and Latin America. Pierre Chartres joined the Singapore office as an investment director and will continue to work with M&G’s Retail Fixed Interest team in London.

Allfunds, a firm that provides intermediation and investment services to banks and other financial players, named a new team in Singapore, who are moving into new offices to handle expansion.

The firm appointed Oliver Stewart-Malir as Asian chief operating officer; Vinita Badlani, as head of the funds group for Asia, and Edwin Tan as new head for client services in Asia. The trio will be based in Singapore. Tan and Stewart-Malir report to Alexis Fosler, regional manager for Asia at Allfunds, and Badlani reports to Borja Largo, global head of funds groups at the company.

Stewart-Malir previously spent 13 years at Goldman Sachs, based in Singapore, Tokyo, New York and London. During his time at the US firm, his leadership roles included being Asia-Pacific head of liquidity and collateral operations, and head of Asia for derivative projects.

Badlani was previously a senior figure at Navigator, an investment platform managed by Aviva and, before that, Badlani worked at Citibank and co-founded and managed RDJ Investment Group.

Tan has 16 years of financial services experience, including client relationship and fund services roles, and will join from Citco Fund Services. Prior to that, Tan worked at State Street Bank and Trust and UBS.

Australian firm NAB appointed Suzana Ristevski as executive general manager of marketing and customer experience. The firm combined marketing and customer experience teams to help drive a single customer experience strategy. Ristevski first joined NAB in January 2017 as general manager of business bank marketing and customer strategy, and has been acting executive general manager of marketing since July 2018. Prior to joining NAB, Ristevski worked in various marketing and product leadership roles at GE, Optus Telecommunications, Medical Benefits Private Health Insurance Fund and 20th Century Fox in London.

State Street appointed Qi Wang as Asia-Pacific head of research. Wang is responsible for developing and expanding State Street Associates’ regional research capabilities and investable indices. Based in Singapore, Wang reports to Singapore-based Dan Gerard, head of innovation and advisory solutions, APAC, State Street Global Exchange, and Boston-based Will Kinlaw, global head of State Street Associates. Wang joined from EDHEC Infra, where she was head of risk modelling, leading the development of risk and portfolio construction models. Prior to that, Wang was a quantitative analyst at JP Morgan and a senior risk analyst at Standard Chartered.

International law firm Withers bolstered its Asia practice by hiring two new teams led by six partners specialising in real estate and funds for its Tokyo and Hong Kong offices.

Funds team
Funds partners, Koji Yamamoto and Omori Yoshiyuki are based in Withers' Tokyo office. Yamamoto has experience of advising clients in investment funds and investment management. Yoshiyuki has advised on domestic and foreign financial investment institutions, investment funds, and on Japanese securities regulations for over 10 years. 

Both of them joined from Deloitte along with their team members Rie Nitta (counsel), Wataru Sasaki (associate) and Noriko Narahara and Hirokazu Miyamoto (paralegals).

Junko Shiokawa (partner), who joined Withers from Harneys, works from the firm's Hong Kong and Tokyo offices. She has experience of acting as lead counsel for Japanese and other Asian financial institutions and investment managers in the structuring and formation of various types of funds, including private equity and hedge funds. She is joined by May Ng-Quinn (paralegal) from Harneys. 

Real estate team
The real estate team is led by partners Gerald Fujii, Naoki Ueyama and Steven Wheeler. Fujii joined the firm from White & Case's Tokyo office. Ueyama joined the firm from Masuda & Partners and has experience in advising Japanese banks and financial institutions. Wheeler joined from Kaynex and will focus on property M&A and financing transactions.

HSBC Private Banking added a number of members to its investment services and product solutions group in the Asia-Pacific region.
The appointees: 
- Virginia Devereux Wong was made regional head of funds and ETFs, HSBC Private Banking, Asia; 
- Adam Lau was appointed regional head of equities and structured products, HSBC Private Banking, Asia; 
- Jeffrey Yap was named regional head of fixed income, currencies and commodities, HSBC Private Banking, Asia; 
- Michael Chow is made regional head of advisory and sales management, HSBC Private Banking, Asia; and Yahong Wu was appointed ultra-high net worth solutions specialist, HSBC Private Banking, Asia.

Lombard International, a wealth planning solutions firm for high net worth individuals and institutions, appointed Shaun Chang to the new role of sales director and deputy chief executive of Asia. Chang is responsible for planning and implementing business development activities across existing and new markets in Asia. He works with Tammy Lu Tsui, chief executive of Lombard International Asia. Chang joined from Charles Monat Associates, where he was an executive director leading a team of sales consultants covering the Greater China market. He has over 20 years of banking and insurance sales experience, having worked for Standard Chartered Bank, Citibank, Credit Suisse and Willis Towers Watson.

---

North America
 

RBC Wealth Management brought in a new team, with the latest coming from Beverly Hills. The Ciriello Group comprises Nick Ciriello, CIMA®, managing director – financial advisor, who has 18 years of industry experience; Elizabeth Zimmer, associate financial advisor, with three years of experience; and Richard Petrie, senior registered client associate. The team, who were previously at Merrill Lynch, manage about $550 million in client assets.

RBC Wealth Management also hired a team in Bloomfield Hills, Michigan. They manage more than $1.4 billion in assets and join RBC from Wells Fargo. The Bosart Wealth Management Group consists of Eugene Bosart, managing director – financial advisor; Robert Bosart, managing director – financial advisor; Brad Bosart, managing director – financial advisor; Joe Moynihan, senior vice president – financial advisor; Maddalena Parks, financial advisor; Timothy Gates, senior financial associate; Cathy Capozzo, senior registered client associate; Jennifer Connor, senior registered client associate; Diane Price, senior registered client associate; and Brianne Aubin, senior registered client associate.  

RBC Wealth Management recruited a new team in Mequon, Wisconsin. The WE Wealth Management Group comprises Paul Westphal, CIMA®, senior vice president – financial advisor; Tyler Briggs, CFP®, AAMS®, first vice president – financial advisor; Blaine Gibson, CFP®, AWMA®, vice president – financial advisor; Olinda Ayala, financial advisor; Paula Burns, senior registered client associate; and Bridget Lee, senior registered client associate. They manage more than $280 million in client assets and joined RBC from Baird.

RBC Wealth Management US named Nick Angilletta as its new head of equity for middle markets/institutional middle markets, based in New York. Angilletta has 30 years of experience in the financial services industry, with a particular focus on the wealth management capital markets space. Most recently, he was MD and head of capital markets Americas, wealth management at Deutsche Bank, which included overseeing fixed income, equities, and equity capital markets.

The firm in Seattle named Michael Foody as senior vice president and financial advisor. He has more than 30 years of industry experience and oversees about $120 million in client assets and comes from Wells Fargo Advisors. In Syracuse, the firm brought in a team at Buchan Wealth Management Group, led by Grady Buchan, managing director, financial advisor, who has 21 years of industry experience. Katie Ansonia, senior financial associate, is also part of the team. The team manages about $195 million in assets and joins from Wells Fargo. Finally, in Denver, Chris Coburn, a financial advisor, rejoined RBC from Baird. He has worked in the sector for 28 years and manages about $150 million in client assets.

LPL Financial added Seattle First Asset Management to its broker-dealer and corporate registered investment advisor platforms. The firm serves about $800 million of client brokerage and advisory assets as of October 26, 2018. Previously, Seattle First Asset Management was with Signator Investors. 

Raymond James recruited financial advisor James Wildman to join Raymond James & Associates (RJA) – the firm’s traditional employee broker/dealer – in Denver, Colorado. Wildman, senior vice president, investments, joined from Wells Fargo, where he previously managed approximately $160 million. He started his financial services career in 1998 with Everen Securities after serving four years in a security force company in the United States Marine Corps. He later worked at Prudential Securities, and prior to joining Raymond James, he served as a financial advisor at Wells Fargo for nearly 18 years.

Wilmington Trust appointed Rhonda Pirvulescu as a senior private banker in the company’s office in New York City. In this role, she provides lending strategies and cash management advice to high net worth clients. She is responsible for coordinating a range of specialized services available through Wilmington Trust’s wealth advisory team and M&T Bank. Pirvulescu was previously a senior vice president and private client manager for 15 years at US Trust, Bank of America Private Wealth Management. Earlier in her career, she spent five years with JP Morgan Private Bank.

Bank of America appointed Clayton Rose to join its board of directors. He is a member of the audit and compensation and benefits committees. Rose served as a director from 2013 until 2015, when he was appointed to his current position as president of Bowdoin College in Brunswick, Maine. He is a former senior executive with JP Morgan & Co. During his approximately two decades with the firm, he headed two of the five major lines of business – global investment banking and global equities – and was a member of the senior management team.

The chief executive of JP Morgan’s US private bank, Kelly Coffey, left the bank after being in the role for five years. Coffey, who has spent 25 years at JP Morgan in a range of segments, including asset and wealth management, left to pursue other opportunities. Barry Sommers, CEO of its wealth management operation, assumed responsibility for her direct reports.

Global financial services firm Northern Trust appointed Pamela Lucina as executive vice president and chief operating officer for the trust and advisory practice. She reports to trust and advisory services practice executive, David Williams. Lucina is based in Northern Trust’s Chicago office, where she continues to build the firm’s fiduciary and advisory operation, and drives the strategy for future business delivery. She has expertise in wealth, tax, philanthropic and business owner planning, as well as next generation education, governance and global family office matters. Prior to Northern Trust, Lucina was at BNY Mellon, where she was executive director for its wealth management advice, planning and fiduciary services practice. Previously she worked at JP Morgan, providing wealth and estate planning services, she spent 10 years in private practices as a tax consultant with Arthur Andersen, and in the trusts and estates departments of both Levin Schroeder and Mayer Brown law firms.

Spouting Rock Financial Partners, a financial services firm, appointed John Coyne as chairman of its asset management group. This is a new role for the firm which recently announced the launch of its asset management arm. Coyne was formerly vice chairman of Brinker Capital, a position which capped a 30-year career with the firm he co-founded. In his new role, Coyne has primary oversight for Spouting Rock Asset Management’s distribution platform. The firm also appointed John Dodd as head of institutional distribution in its asset management arm.

Evansville-based Old National Bank appointed Rafael Sanchez as president of private banking. Sanchez, who is based in Indianapolis, leads a team that focuses on the needs of its private banking clients throughout Old National’s five-state operation. He began his professional career in 1999 as a retail banker with National City Bank in Fort Wayne. Most recently, he was president and chief executive of IPL. As CEO of IPL, he was responsible for stakeholder management, community relations, customer experience, legislative and government affairs, energy-efficiency initiatives and strategic accounts.

Capco, a management and technology consultancy firm focused on the financial services industry, appointed Bryant Fuller as a partner in the firm’s US wealth and asset management practice. Fuller is based in Capco’s Charlotte office. He was previously executive director in wealth and asset management at EY. Fuller also served as Americas digital leader for the practice, leading and coordinating teams across service lines to support clients. 

Raymond James hired financial advisors Kenneth Judd, Robert Gonzales and Joseph Klauzar to join Raymond James & Associates, the firm’s employee broker/dealer in California. Judd and Gonzales operate as Charted Course Wealth Management of Raymond James in San Diego. The team joined RJA from Wells Fargo Advisors, where they previously managed approximately $136 million in client assets. Also joining them at Raymond James is Anne Gotingco, a registered client service associate.

Judd, first vice president of investments, began his financial services career in 1993 with Prudential Securities. Prior to joining Raymond James, he worked as an advisor at AG Edwards and later at Wells Fargo. Gonzales, first vice president of investments, has more than 41 years of industry experience, beginning at Merrill Lynch and later working at Prudential and AG Edwards. Most recently, he worked at Wells Fargo Advisors.

Klauzar joined the firm’s Los Angeles operation. Klauzar joins the firm from Morgan Stanley, where he managed approximately $62 million in client assets. 

Camden National Wealth Management hired Stephen Olore and Patrick White-Thomson. Olore is senior vice president and director of technical research and analysis. He has over 30 years of investment experience. Olore previously served as senior portfolio manager at People’s United Bank. White-Thomson has over 10 years of investment experience. He is vice president and portfolio manager. Most recently, White-Thomson served as senior portfolio manager and investment strategist at Holly Street Wealth Advisors.

Rockefeller Capital Management appointed Brian Cuneo as a managing director in the Rockefeller Global Family Office. Cuneo was previously a senior vice president in the Ayco Family Office, a Goldman Sachs Company. Prior to joining Rockefeller, Cuneo spent more than 22 years at Ayco where he led a team that delivered advisory services to current and former Fortune 500 CEOs, private equity professionals, entrepreneurs and other high net worth families.

Union Bank appointed Carrie Vilaplana as a vice president, private wealth advisor of its San Diego wealth management. She reports to Stephen Sherline, private wealth markets executive, Southern California.

Oppenheimer & Co, the wealth manager and investment bank, appointed Ed Harrington as executive vice president for its private client division; he will join the firm’s management committee. He took over from Mark Whaley, who has been EVP for the private client business. Harrington was previously managing director and head of sales and marketing for Oppenheimer Asset Management. Harrington spent 25 years with the firm, in a number of roles. Whaley has been at the firm for over a decade.

Independent Solutions Wealth Management hired Paul Meeks to join its investment team. Meeks has over 30 years of research, equity analysis, and portfolio management experience.

Madison Wealth Management appointed Heather Molloy to its team as a wealth advisor. Based in Madison’s Leesburg office, Molloy has nearly 25 years of experience in financial, tax and strategic planning services. Most recently, she ran her own tax and business advisory firm. Previously, she was employed as a controller, finance, and human resource professional by several small- to mid-sized companies in the Washington, DC area.

Littlejohn & Co, a private investment firm based in Connecticut, appointed Beth Pollack as vice president of its special situations team, Thomas Bennet as vice president of its private equity investment team, and promoted Bart Stout as vice president of its special situations team. Pollack was previously at Marble Ridge Capital, where she focused on cross capital structure idea generation and analysis with an emphasis on portfolio construction and risk management. Stout joined Littlejohn in 2011 in the private equity group as an associate and moved to the special situations team as a senior associate. Bennet started his career with Littlejohn in 2011 and re-joined the firm, having spent time recently as managing partner for ScenarioTwo, an independent investment firm.

BNP Paribas Asset Management appointed Adam Kanzer as head of stewardship in Americas, within its sustainability centre. Based in New York, Kanzer reports to Helena Viñes Fiestas, BNPP AM’s global head of sustainability research and policy.

Wealth Dynamix, a client lifecycle solution provider added senior figures to its North America team. Kevin Jennings and Chad Jennings joined as senior vice presidents. The duo previously worked at Boston Consulting Group’s subsidiary, Expand Research, which BCG bought in 2011. Kevin Jennings recently led the business development function for Expand’s asset and wealth management division in North America. Chad Jennings led the asset and wealth management benchmarking practice at Expand Research.

Wilmington Trust appointed Sharon Klein as Eastern Region president for family wealth, and James O’Hoppe as president of the Tri-State Region, which includes New York City, Westchester, Connecticut, Long Island, and Northern New Jersey markets. Klein was promoted from president of the Tri-State Region to the newly-created role,. Klein works with Wilmington Trust and M&T Bank colleagues to serve high net worth clients across that region, and continues to be based in Wilmington Trust’s New York City office. She has more than two decades of experience in the wealth management industry. Prior to joining Wilmington Trust, she was managing director and head of wealth advisory for Lazard Wealth Management.

As president of the Tri-State Region, O’Hoppe is responsible for overseeing wealth advisory services in the Greater New York area. He leads a team of professionals who provide planning, trust, investment management, family governance and education, family office, and private banking services to high net worth clients. Prior to joining Wilmington Trust, O’Hoppe was senior vice president and managing director in the New York office of Bernstein Private Wealth Management, where he helped lead the New York Area private client business. O’Hoppe is also based in Wilmington Trust’s New York City office.

Key Private Bank appointed Steven Storey as market president and leader for Idaho. Story leads a client-facing team based in Boise, reporting to Thomas Tulodzieski, regional sales executive for KeyBank’s Rocky Mountain Region. Most recently, Storey served as senior vice president of commercial banking and market leader for Home Street Bank in Spokane, Washington and Northern Idaho. Previously, he was senior vice president and private bank director for Umpqua Bank (formerly Sterling Bank) in Washington and Idaho. He also served as senior vice president and wealth management regional director for Wells Fargo Bank for nine years.

Raymond James hired financial advisors Tamar Mogilski and Brian Bedford to join Raymond James Financial Services, the firm’s independent broker/dealer in Rochester, New York. Mogilski and Bedford operate as Legacy Financial Planning and join from LPL, where they managed more than $285 million in client assets. Joining them at the firm were office manager Martha Trumbull, investment consultant Samuel Zito, client service manager Lisa Mercadel, client relations associate Kaitlyn Kuder and digital marketing associate Shayne Mogilski. The team is based in Rochester, with offices in Shelton, Connecticut, and Oswego, New York. Mogilski and Bedford founded Legacy Financial Planning while at MetLife, making the practice independent in 2012 .on affiliating with LPL.

Raymond James hired financial advisor Ian MacClure to Raymond James & Associates, the firm's employee broker/dealer, in Denver, Colorado. MacClure joined Raymond James from Wells Fargo, where he began his financial services career. While at Wells Fargo, he managed more than $114 million in client assets. He serves a variety of clients, including business owners, high net worth individuals and families, and retirees.

Bernstein Private Wealth Management appointed William Dugdale as vice president and financial advisor in the Philadelphia office. In this role, he serves clients in Delaware and parts of Southern Pennsylvania. Dugdale has over two decades of experience in the financial services industry. Prior to joining Bernstein, he was a partner, portfolio manager and head of business development for the Delaware office of Brown Advisory, where he provided investment solutions and advice to families, foundations and endowments.

PIMCO, the fixed income investment manager, appointed Erin Browne as managing director and portfolio manager focused on asset allocation. Browne reports to Mihir Worah, managing director and chief investment officer for asset allocation and real return, and is based in Newport Beach. She has 16 years of investment experience. She most recently led asset allocation for UBS Asset Management, where she helped drive macro research and created a framework for allocation across asset classes.

SunTrust’s Private Wealth Management added two advisors and associates to its team serving the Charlotte metropolitan area. Joining the firm were Walter A Kennedy IV and Patrick Long, who are based at the SunTrust regional headquarters in Charlotte, North Carolina, along with their associates Amanda Mayhew and Jennifer James. Kennedy earned his bachelor’s and master’s degrees from North Carolina State University. 

Argent Financial Group opened a new office in Oxford for Argent Trust Company and its Argent Family Wealth Services division. The location at 613 South Lamar Boulevard is a National Historic Landmark building. Family Wealth Services managing director, Mark Hartnett, leads the expanded team whose focus is on increasing Argent’s presence in Mississippi. He has more than 20 years of experience in trust management and administration. Harnett founded Family Wealth Practices in Oxford in 2008 and merged his company with Argent in 2014. Joining Hartnett at the new office are Brooks Campany, vice president and director of public relations, recruiting, engagement and culture for Argent Financial Group; and Blair Hull, associate of philanthropic services for Argent Institutional Services. 

The company also hired Austin McCarty as a trust assistant. Before joining Argent, McCarty was a portfolio analyst with CBRE Group, a commercial real estate services and investment firm. He earned a bachelor’s degree in finance from Mississippi College.

Argent Trust Company appointed Timothy Quinn as a senior vice president/trust officer in its Shreveport office. Reporting directly to Gary Moore, president of Argent Trust’s operations in Louisiana, Quinn is responsible for managing personal and institutional relationships. With nearly 40 years of experience in the trust industry, Quinn came to Argent from JP Morgan Chase in Shreveport, where he was vice president and trust officer.

SANNE, the global provider of alternative asset and corporate administration services, appointed Jamie Villiers as a new business development director. Villiers joined SANNE’s team in London. In his new role, he is responsible for the sourcing of new business and key intermediary relationship initiatives across Europe, Middle East and Africa, and Americas. He works with Zena Couppey, managing director of business development. He has more than 22 years’ experience. Prior to joining SANNE, he served as vice president of senior sales and relationship manager at BNY Mellon.

Deutsche Bank Wealth Management appointed two senior figures for its operations in the US West Coast. Wendy McMillan joined as a managing director and private banker based in San Francisco, and Richard Aguiar joined as a managing director and private banker based in Los Angeles. McMillan, who has more than 20 years of experience, joined from Wells Fargo Securities Group, where she was a managing director in the investment solutions group, responsible for the distribution of investment products to registered independent advisors, high net worth investors and financial advisors in San Francisco. She was previously at Bank of America Merrill Lynch, Bankers Trust and Chase Bank. 

Aguiar was previously a senior relationship manager at US Trust, providing solutions to ultra-high net worth families and medium to large endowments and foundations.

tru Independence, the US-based consulting and services platform for wealth management firms, brought in another client, Paces Ferry Wealth Advisors, a business launched as a recently as September 20.

Paces Ferry, led by founders Jeff Diamond and Zachary Morris, is based in Atlanta, Georgia, and offers wealth management and financial advice. At the time of writing, it advises on more than $200 million of client assets. Before they set up this business, Diamond and Morris were part of the eponymous Diamond Morris Group at JP Morgan Securities, a wealth management division of JP Morgan, where Diamond was managing director and Morris was a financial advisor. They were joined at the new firm by senior client associate Connor Jabs.

US-based wealth management firm Baird added a group to its business in Abilene, Texas, and brought in a senior financial officer to join its business in Indianapolis. Joining the Abilene business was the Galbraith Group, including financial advisors Gerald A Galbraith and Cathie G Coleman, CFP®, both managing directors. The team oversees $220 million in assets and generates more than $1.5 million in annual production. Kris Callaway, MD, joined the Indianapolis business and she oversees more than $390 million in assets and generates nearly $4 million in annual production.

Rockefeller Capital Management named the first person to join its newly-opened office in Florida. Douglas R Dubiel joined Rockefeller Wealth Management as a managing director and senior wealth management advisor. Dubiel has 27 years of wealth management experience and reports to Michael Outlaw, who the firm previously announced leads Rockefeller Wealth Management’s growth strategy in the Eastern US, including opening Rockefeller Capital Management’s Atlanta office.

Prior to this, Dubiel was at a billion-dollar family office in West Palm Beach, Florida, where he was the chief operating officer and trustee for the past four years, and before that he spent nine years as the chief investment officer and trustee. Previously, Dubiel was a senior vice president for Merrill Lynch Wealth Management, working with corporate executives, business owners and wealthy families on all facets of wealth accumulation, distribution and transfer strategies for 14 years.

US-licensed REYL Overseas, based in Zurich with an office in Dallas, Texas, appointed René Marty as its chief executive; he came from a similar business at UBS. Marty replaced Romain Krief. Marty has over 25 years of experience in the financial industry, most of which was spent dealing with North American clients. He served as managing director and chief executive of UBS’s SEC-licensed subsidiary, Swiss Financial Advisers, from 2009 to 2017.

Citi Private Bank opened a new office in Atlanta, based in Georgia’s Buckhead region. Austin Koenen, a private banker serving ultra-high net worth individuals, and Doug Poetzsch, an investment counselor, initially lead the office. They report to Luke Palacio, regional market manager – Southeast US.

Koenen joined Citi from JP Morgan Private Bank in Atlanta, where he was a banker responsible for advising ultra-high net worth relationships throughout the Southeast. He has over 15 years of industry experience. Prior to JP Morgan, Koenen worked in Hong Kong, London and New York for Nomura International and Lehman Brothers. Poetzsch joined Citi Private Bank as an investment associate in 2017. Previously, he was an associate equity sales trader at Citi, where he covered hedge funds and wealth management firms up to $5 billion in assets under management. 

Rockefeller Capital Management appointed former Bank of America Merrill Lynch senior figure R Mitchell Theiss as vice chairman of the Rockefeller Strategic Advisory side of the business. Theiss has worked in investment banking for more than three decades. He worked at BoA Merrill Lynch for 19 years, most recently was chairman of global industrials. Before that, he worked for about 10 years at Goldman Sachs. He gained an MBA from The Wharton School at the University of Pennsylvania.

Newly-created Cresset Family Office hired former Abbot Downing senior managers Jill Shipley and Vimala Snow to join its team. Shipley, who is based at West Palm Beach, heads the family office’s “Family Culture, Impact and Governance” operation. Her new firm is drawing on her experience as managing director of the Institute for Family Culture at Abbot Downing, where she was a family wealth consultant focused on family dynamics, education and governance, family business transitions and social impact analysis. Previous to that, she served as director of Next Generation Education for GenSpring Family Offices.

Freshly-minted Correct Capital Wealth Management set up, led by founder and chief executive Brian Pultman and based in St Louis, Missouri. It advises on more than $600 million of assets under management. Before he founded this firm, Pultman founded the eponymous Pultman Wealth Management Group at Wells Fargo Advisors. Pultman was joined by John Biedenstein, financial advisor and retirement plan specialist, Maggie Badolato, financial advisor and retirement plan educator, Rose Marie Gennaro, senior client associate and service/ lending specialist, and Megan Riggin, client associate and service/ operations specialist, who were also part of the Pultman Wealth Management Group team.  

Goodwin, the global law firm has elected 22 of its lawyers to become partners. Among those promoted at Goodwin were the following who work in areas related to the activities of high net worth individuals:

Charles A Brown (securities litigation and white collar defense; New York) represents issuers, underwriters, and individuals in securities class actions, shareholder derivative actions, and criminal and regulatory proceedings. He also has extensive experience of representing investment advisers in mutual fund litigation.

Jason F Monfort (financial industry; Washington, DC) represents investment companies, independent directors of registered investment companies, registered investment advisers, broker-dealers, private investment funds, insurance companies, and other financial institutions in the full spectrum of financial services regulation applicable to developing, marketing, and offering financial products.

Morgan Mordecai (securities litigation and white collar defense; Boston) concentrates on government and internal investigations, including civil and criminal investigations by the DOJ, the SEC, and other regulatory agencies, M&A-related litigation, securities litigation, and complex business litigation matters. Her clients include public and private healthcare, life sciences, and technology companies, their boards and officers, private equity and venture capital firms, and financial services providers.

Windham Brannon, which provides tax, audit and advisory services, promoted Laura Berry to principal. Berry, who joined the firm 10 years ago, previously served as senior manager of tax, and leads its manufacturing and logistics segment. She was previously an accountant for Turner Broadcasting.

US wealth management firm Oppenheimer & Co named Christopher Lappas as branch manager of its Stamford, Connecticut branch. Lappas assumed responsibility for overseeing and managing day-to-day operations for the Connecticut branches, recruiting and expanding the firm's number of financial advisors. Prior to joining Oppenheimer, Lappas was a senior managing director and branch manager with Stifel/Sterne Agee and Leach, where he helped build its first wealth management office in New York City. Additionally, he has held prominent roles with financial institutions such as Bank of America Merrill Lynch, Snowden Capital Advisors, and Citibank.

MG Capital, the real estate private equity investment manager specializing in Manhattan luxury residential properties, appointed Greg Taylor to join its management advisory board. Taylor has over 30 years of experience in both the US and Europe. He serves as a founding partner of Sequoia Investment Management, an asset manager based in London. He has experience raising capital in global markets for a wide range of infrastructure projects, including airports, toll roads, rail lines, student housing, fiber optic cables, renewable energy, regulated utilities and rolling stock.

Bryn Mawr Bank Corporation, parent of The Bryn Mawr Trust Company, appointed Mark Bradford as senior vice president and director in the wealth management division. Bradford reports directly to Jennifer Dempsey Fox, president of BMT Wealth Management, and maintains an office in Bryn Mawr. He leads a group of wealth professionals – wealth advisors, portfolio managers, and relationship managers. He joined BMT Wealth Management after eight years at PNC in Philadelphia. 

Signature Bank, a New York-based full-service commercial bank, hired three private client banking teams to join its offices in Manhattan and Long Island. Lisa Vazquez-Kailey and Noel Vazquez were both named group directors and senior vice presidents as part of a three-person private client banking team, based at the bank’s private client banking office in its midtown Manhattan headquarters.

Vazquez-Kailey has more than 25 years of experience. She was a vice president and Citigold private client relationship manager at her former employer, based in Midtown. Vazquez, with 24 years of banking and investment experience, spent the past six years as vice president and Citigold private client relationship manager in Stamford, Connecticut. Also joining the team was Milagros Rodriguez, who was named senior client associate. Rodriguez spent her entire 19-year banking career at Citibank in Midtown Manhattan. 

Second team
A Signature Jay Young and Ling Li, both named as group director and senior vice president, are part of a three-person team at the bank’s private client banking office at 261 Madison Avenue in New York City. The two have known each other for nearly 10 years while working at the same banks throughout their careers. Young, with 15 years of banking experience, was a vice president and senior mid-corporate relationship manager at HSBC on Long Island, and earlier spent five years at Capital One Bank in New York City.

Most recently, Li, with more than a decade of business banking experience, served as vice president and senior business banker at Capital One Bank in Midtown Manhattan for more than five years. She was also a vice president and senior business relationship manager at HSBC.

Third team
Another team joined the Woodmere private client banking office. It is headed by Naor Boxer, group director and senior vice president, and Lisa Murphy and Michael Weinberg who are both group directors and vice presidents. The team worked together for the past five years at Citibank.

Boxer, having spent a decade in banking, was most recently a Citigold relationship manager. He originally joined Citibank as a personal banker and was promoted to Citigold relationship manager within several years. Murphy spent nearly eight years at Citibank as a Citigold relationship manager in both Midtown Manhattan and Long Island. With 11 years in banking, previously she was a financial specialist at Wells Fargo.

Weinberg has 19 years of financial services experience. Before joining the bank, he was a Citigold relationship manager in Long Beach, Long Island for six years. Previously, he was a financial advisor and private banker at UBS.

BNY Mellon appointed Sabet Elias in the newly-created role of chief technology officer. He joined the firm's technology executive committee and is based in New York. Elias reports to Bridget Engle, senior executive vice president and chief information officer. He has more than 20 years of experience in building and operating tech. He joined from Bank of America, where he was the sales and trading CTO for global banking and markets.

Also, BNY Mellon appointed Avi Shua as technology lead for wealth management. Shua reports to Engle, and wealth management chief executive, Catherine Keating. He joined from Goldman Sachs, where he was the global head of private wealth management technology and was a member of the Goldman Sachs technology executive leadership group.

Sanctuary Wealth Partners hired RiceBarrett Family Wealth. Founded by wealth advisors Martin Rice, and Beau Barrett, and joined by registered administrative partner, Jan Lasiter, Indianapolis-based RiceBarrett serves local, regional, and national families. Rice and Barrett previously spent more than two decades at Merrill Lynch.  Lasiter will continue to address the preferences and priorities of each family. 

Merrill Lynch Wealth Management appointed Stanley Stephens as market executive for its Texas West community market. The newly-created market consists of seven Merrill Lynch offices in Abilene, Lubbock, Midland and Amarillo, Texas, Hobbs and Roswell, New Mexico; and Lawton, Oklahoma. Stephens will lead the Texas West market’s team of Merrill Lynch financial advisors.

He joined Merrill Lynch as an advisor in 2010 and has since served in a variety of leadership roles for the firm. Prior to working in the financial services industry, he held management roles for the Goodyear company for 11 years. He also served for four years in the US Army.

Raymond James hired financial advisor James Melstrom to join Raymond James & Associates in Bloomfield Hills, Michigan. Melstrom joined from UBS, where he previously managed more than $110 million. He has been in the financial industry for more than 25 years, having worked at Prudential Securities and later, Morgan Stanley.

Union Bank appointed Jason Whong as director and senior wealth strategist in its wealth markets team in San Francisco. He reports to Jason Liu, head of wealth planning, and director of sales development and training for wealth markets. Prior to joining the bank, Whong served as a wealth planning strategist at US Bank in San Francisco.

Aviva Investors, the global asset management business of Aviva, appointed Susan Schmidt as head of US equities. These appointments follow the arrival in January 2018 of David Cumming as chief investment officer of equities. Schmidt, who has over 25 years’ experience in the investment industry, will be based in Chicago and reports to Cumming.