Waltz has more than 30 years of trust-based wealth management experience. Most recently, she served as director and wealth planning consultant for UBS Financial Services in Chicago. She also spent 20 years with Northern Trust Corporation in its Fort Lauderdale, Florida and Chicago offices.

Waltz is a certified financial planner , certified investment management analyst , certified private wealth advisor and certified exit planning analyst . She also holds Series 7 and 66 security licenses. In addition, she is a CPWA committee member, incoming national chairperson for the private CPWA designation and an item writer for the CIMA and CPWA exams.

Independent investment advisor RMB Capital relocated wealth advisor and vice president Benjamin Bremen to the firm’s Twin Cities office. Bremen joined the Minnesota-based team in early January and before that worked from RMB’s Chicago headquarters, joining the firm in 2012.

Broadridge Financial Solutions appointed Michael Alexander as its president of the wealth management division, a newly-created role. Alexander is responsible for bringing together Broadridge's Wealth solutions into an integrated business. He reports to Tom Carey, president of global technology and operations at the firm. Alexander heads up the Broadridge Wealth Platform. Since joining Broadridge in 2006, Alexander took on a number of senior roles. Prior to joining the firm, he was senior vice president of operations at Charles Schwab. He is a member of the SIFMA Operations and Technology Steering Committee.

Merrill Lynch Wealth Management appointed Kirstin Hill as chief operating officer, adding to her existing responsibility for leading strategic performance for the business. Hill took the reins from Mike Adornetto, who is retired in February after 33 years of service at the firm. During his career, Adornetto held positions across the company with leadership roles in wealth management, consumer banking and global banking. Prior to her existing role, Hill led the personal retirement solutions business for Bank of America Merrill Lynch and held leadership posts in the GWIM markets business.

Early in her career, she worked in the bank’s global markets division in the equity derivatives business in New York, London, Hong Kong and Australia. Hill holds a bachelor’s degree from Harvard University and is a First Mover Fellow with the Aspen Institute.

UBS Private Wealth Management, part of UBS, brought over a 17-member team Wickham Cash Partners to its embrace, based in Charlotte, North Carolina. The team, which is joining UBS’s private wealth management division, reports to Julie Fox and Brendan Graham and is based in the firm's wealth management Charlotte office run by Ron Fleischman. The team members joining the firm includes: R Mitchell Wickham; Gregory M Cash; Ronald E Bryson; Ray M Evans III; John North Moore; Trevor B Hoke; Cameron M Elliott; Emily M Dannenhoffer; Matthew G Mclaughlin; Holly M Giacobone; Jessica I Schumacher; Laura W Killette; Erin J Benedetto; Lincoln T Steelman; Brianna Stanley; Shareese Weldon; and Jonathan Brick.

The Financial Industry Regulatory Authority, or FINRA, the watchdog overseeing broker-dealers in the US, promoted Jessica Hopper to executive vice president and head of enforcement. Hopper was been acting head of enforcement after Susan Schroeder announced that she was leaving the post last September. Hopper reports to Robert Cook, FINRA’s chief executive.

Hopper joined FINRA in 2004 as an enforcement attorney, and was director in the Washington DC office from 2005 until 2011, when she was promoted to vice president in charge of the regional enforcement program. In 2016, she was named senior vice president and deputy head of enforcement before being named acting head of Enforcement in September 2019.

Raymond James brought over financial advisors James Ducharme and Michael C Rowland, to its employee advisor broker/dealer. They are based in Melbourne, Florida. The pair came from UBS Financial Services, where they previously managed $194 million in client assets. They joined the Melbourne office managed by Brent Peoples, which is part of the Central Florida Complex led by Steve Fricke. They were joined by practice business manager Michael J Rowland and senior registered client services associates Jackie Bartosz and Sherry Staley. The team operates as Rowland-Ducharme Wealth Management Group of Raymond James.

Key Family Wealth, the multi-family office division of Cleveland, Ohio-based Key Private Bank, named Jeff Palmese as family office director for the East Region. He is based in KPB’s Midtown office in New York City and reports to Doug Banbury, head of Key Family Wealth Investments. With almost 20 years of experience working with UHNW individuals and families, Palmese most recently spent 11 years at Tommy Hilfiger’s family office . 

Argent Financial Group, a fiduciary wealth management firm, promoted two of its corporate finance figures. Daniel Taylor was promoted to chief accounting officer and Briley Blazo became manager of the newly-formed corporate financial planning and analysis department. They both report to chief financial officer Laurie Parks.

A certified public accountant, Taylor has been Argent’s controller for 15 years, and will oversee daily accounting operations. His duties also include assisting with audits and financial reporting to federal and state regulatory agencies across the 12 states in which Argent operates. In addition, Taylor chairs Argent’s facilities committee, overseeing leases for all offices. Blazo joined Argent in 2017 as a senior financial analyst. She will be responsible for overall budgeting, planning, and forecasting and providing reports to senior executives to support decision making. Prior to joining Argent, she worked as a senior financial analyst for global IT company CenturyLink and was a senior product analyst for Dart Container. She has also worked as a client service representative at 1st Source Bank.

Manhattan law firm Robinson Brog Leinwand Greene Genovese & Gluck PC, which covers areas including private client work, named long-time partner Roger Raimond as a managing partner. 

Raimond, who has been serving in the firm’s litigation and dispute resolution department since 1992, succeeded Ron Goodman in the role. Goodman has served in this capacity for 12 years of his 32-year tenure at the firm and continues as chair of the firm’s litigation and dispute resolution department.  
 

Sarasin Asset Management, the US-client subsidiary of Europe’s Sarasin & Partners, hired investment professional Sean McCaffrey, based in the US. McCaffrey – who was appointed senior vice president, US distribution and consultant relations – leads growth of Sarasin’s US charities and institutional business. Prior to this, McCaffrey worked at CBIS, a New York-based socially responsible investment management group, where he developed key contacts across the institutional and consultancy space. He has more than three decades of experience working in investment sales and client relations, for companies such as APS Asset Management and Endowment Capital Group.

Boston Private, the US wealth management firm, named Allison Baird as chief marketing officer. She reports to Anthony DeChellis, CEO and president. Baird joined the firm in 2016 as senior vice president of marketing and client development to lead strategic programs designed to drive awareness and affinity among Boston Private clients and prospects. In 2019, she was appointed as senior vice president of products and solutions.

Raymond James' employee advisor broker/dealer business welcomed Daniel Kaschmitter and William Gelegotis, a firm based in Salt Lake City, Utah. Kaschmitter and Gelegotis came from Wells Fargo Advisors, where they previously managed $800 million in client assets. They joined the Salt Lake City office managed by branch manager Pam McComas and were accompanied by senior investment/portfolio analysts Alexander Kaschmitter, and Steven Pagoaga, as well as senior client service associate Jennifer Zuspan. The team operates as KPG of Raymond James.

Raymond James welcomed financial advisor Kenneth Haycraft to its West coast business. Haycraft joins from USAA Financial Advisors, where he managed more than $300 million in client assets. He serves a variety of clients, including professionals and business owners, focusing on clients such as those on active military duty, veterans, teachers, doctors or community leaders.

Haycraft has been in the financial services industry for more than 27 years, beginning his career as a financial advisor with Charles Schwab and most recently working at USAA, where he was a senior wealth manager. Prior to financial services, he served in the US Army as a first lieutenant. He received his bachelor’s degree in public administration and his MBA from George Mason University, as well as a master of science in financial services from the American College of Financial Services.

Tiedemann Advisors, the US wealth management house, appointed foundation and philanthropy sector luminary Richard Woo to join its Impact Advisory Council. Woo has more than 30 years' experience of working with foundations and charitable organizations, most recently at The Russell Family Foundation, where he served as chief executive for 20 years.

Managed Funds Association, the trade association for the global hedge fund industry, named Washington and alternative investments professional Bryan N Corbett as its new president and chief executive. Corbett succeeded Richard H Baker, who had served in the position since 2008. Corbett is based in Washington, DC. Corbett came to MFA from The Carlyle Group, the international private equity house, where he was a partner and managing director.

One of the top figures at Bernstein Private Wealth Management, Kathleen Fisher, retired as head of wealth and investment strategies, ending a career at the firm which dated back to 2001.

Fisher transferred her responsibilities to Aaron Bates, senior managing director; Alex Chaloff, head of alternative asset strategies; and Beata Kirr, head of core asset strategies. Bates became head of wealth strategies and Chaloff and Kirr became co-heads of investment strategies.

BNY Mellon Wealth Management made three senior appointments across different parts of the US. It named Stacie B Kuhlman as Midwest Regional president, based in Chicago, Illinois. Kuhlman is responsible for generating new business and increasing the visibility of its brand within the market, reporting directly to the president of Central Region, Andrew Paterson. She started on September 30, 2019. Kuhlman has advised wealthy families and business owners for 25 years. Prior to joining BNY Mellon Wealth Management, she served as a managing director at JP Morgan's Private Bank, where she created and ran JP Morgan's technology entrepreneur and executive practice for the Central Region.

The firm also named Kent C Moegerle as regional head of Client Strategy in Atlanta, Georgia. Moegerle reports to regional president Chris Hohlstein. Moegerle has 26 years of experience in financial services. Prior to joining BNY Mellon Wealth Management, he served as a private wealth management division executive at SunTrust, where he was responsible for driving revenue growth and development of key corporate and market initiatives. For the third role, BNY Mellon Wealth Management named Raymond J Janvier as a senior client strategist in Washington, DC. Janvier is responsible for acquiring and advising high net worth and family office clients, reporting directly to managing director Garrett Alton. 

Homrich Berg, the 30-year-old US wealth management firm, appointed industry veteran Thomas Carroll as president, having spent an extensive career at SunTrust Bank. At SunTrust, Carroll held posts including leading its wealth management division; he was also chief executive of GenSpring Family Offices, the multi-family office subsidiary of SunTrust Bank.