Family Wealth Report Summit, October 2014

As regional managing director of Ascent’s Cincinnati office, Chuck brings a leadership approach that reflects both his can-do attitude and a depth of professional experience and insight gained over 24 years of work with institutional clients and families of significant wealth. With a particular focus on portfolio management, his career has spanned the key areas of portfolio construction, hedging and risk management, manager selection, and professional staff development. He has developed a rich experience set across various fund management roles and as a chief investment officer of a multi-family office organization.

Frequently sought out for his insights and perspective, Chuck has been featured in Bloomberg, The Wall Street Journal, CNBC and USA Today. He is a qualified chartered financial analyst.

Daniel Goldstein has been advising UHNW families, their entities and private trusts on direct deals, liquid investments, business strategy, structuring, real estate, family dynamics and philanthropy since 1994. His experience spans several continents, many jurisdictions and multiple languages in his roles as CEO, CIO and board director.  For 15 years he was director of a European global SFO. Previously, he was the investment analyst on a two-person team managing a $1.25 billion portfolio for a US family foundation.  Daniel is a frequent speaker at family office conferences and has presented in, chaired, and moderated over 100 events on five continents.

David Bellaire is the Financial Services Institute’s executive vice president & general counsel. In this role, David leads FSI’s team of lawyers and lobbyists in pursuit of a healthier business environment for its member broker-dealers and financial advisors. David has nearly 20 years of broker-dealer compliance, legal, and operations experience. Most recently, he was vice president of operations and general counsel at Securities Service Network, Inc. He also previously served as compliance manager and special investigations attorney with InterSecurities (now known as Transamerica), assistant director of compliance at Commonwealth Financial Network, Inc. and assistant to the executive director at the Institute of Certified Financial Planners (ICFP). He is admitted to practice law in the states of Massachusetts and Tennessee.

Ira Hammerman is executive vice president and general counsel of SIFMA. Prior to joining SIFMA, Ira was a partner of Clifford Chance US LLP, the global law firm, where he specialized in securities regulatory and enforcement matters. His practice focused on US securities regulation of US and foreign financial institutions, including broker-dealers, investment advisors, banks and investment companies. A substantial part of his practice included representation of financial institutions with respect to trading, compliance and enforcement matters.

Ira has over 25 years of experience representing the financial services industry on a wide variety of matters before the US Securities and Exchange Commission, the Financial Industry Regulatory Authority, NYSE Regulation, Inc. and state regulatory authorities. In addition, Ira has represented public companies with respect to general corporate law, securities and transactional matters.

James “Jamie” McLaughlin founded J. H. McLaughlin & Co., LLC, a management consulting firm focused on strategy and practice management for wealth management and investment advisory firms, private banks, trust companies, single and multi-family offices, in 2010.  He is a co-founder of The UHNW Institute, an independent “think tank” directed at the needs of ultra-high-net-worth families and their advisors.  Previously, he was CEO of Geller Family Office Services, a partner at Convergent Wealth Advisors, the regional president of Mellon Private Wealth Management’s New York region, and a financial advisor at Sanford C. Bernstein & Co., Inc.

Jeffrey Mortimer is the director of investment strategy for BNY Mellon Wealth Management. In this role, he leads a team that sets capital market expectations and is responsible for making asset allocation recommendations.

Jeff has more than 25 years of experience in the financial services industry. Prior to joining the firm, Jeff worked for Charles Schwab for 13 years in increasingly senior positions, culminating with his appointment as chief investment officer. He also worked for nearly 10 years in boutique firms in the Boston area, serving high net worth individuals and families.

Jennifer Dempsey Fox is senior vice president and national managing director of wealth strategy for Hawthorn, PNC Family Wealth, a business dedicated to serving clients with investable assets in excess of $20 million. Jennifer is responsible for managing the firm’s Wealth Strategy practice, which leads the planning process of integrating clients’ financial, estate, tax and philanthropic considerations and preferences. She also leads the Hawthorn Institute, which provides analysis on topics including multi-generational education, family governance and business succession planning.

Prior to joining Hawthorn, Jennifer worked with J.P. Morgan’s Private Wealth Management Group and served as regional director for Wachovia’s wealth management team. With over 20 years’ wealth management experience, Jennifer worked as a consultant to the Aresty Institute of Executive Education at The Wharton School regarding wealth management programming, and served as a manager in the Financial Counseling Services division of the tax practice for Deloitte & Touche. She is a Certified Financial Planner.

Mr. Reilly is an investment and strategy consultant to family offices and the host of the Private Capital Podcast. He was the co-founder and founding president of the Family Office Association, a global forum for single-family offices that is based in Greenwich, Connecticut. Previously Mr. Reilly helped to start a single-family office and foundation in New York where he was an investment manager for five years. He was an energy specialist focused on options and futures trading at Credit Agricole Indosuez in New York prior to that and started his career at Salomon Smith Barney. Mr. Reilly has spoken on family office issues at many conferences and has been quoted in the Wall Street Journal, The Financial Times, Forbes, and Bloomberg, and currently does a monthly interview series with notables in the family office world for Family Wealth Report, where he is on the global editorial board.

Michael Delgass is a managing director at Sontag Advisory where he serves as an advisor and the firm’s primary resource in trust and estates. Michael is a frequent author and speaker on his topics of expertise. He has authored or edited treatises such as Settlement of Estates in Connecticut and Illinois Estate Planning, and articles such as HEET Wave, Pecuniary Dynastic Offshore Trusts and Financial Reporting for the Family Office. Before joining Sontag in 2005, Michael was a partner at prominent New York Metro and New England law firms, including Day Berry & Howard, and Cummings & Lockwood.

Rebecca guides family enterprises as they navigate the complexities of intergenerational ownership and planning for transitions. With the benefit of a systems perspective, she helps family enterprises address the need for evolving governance while enhancing leadership and collaboration skills among family members. This work enables families to embrace the gifts and talents of all family members to help ensure a sustainable enterprise. A key part of her focus is preparing next generation family members to take on new roles. Prior to joining Relative Solutions, Rebecca spent over 15 years as a business leader working in and with family offices, advising families on governance, communication, and family learning. She also wrote a guidebook for social impact investors as part of the Center for High Impact Philanthropy at the University of Pennsylvania. Rebecca enjoys contributing to industry publications and speaking at conferences. Her focus is exploring practical approaches to helping enterprising families address the challenges that arise from sharing financial resources. Rebecca earned her BA from the University of Pennsylvania and her MBA from the University of Maryland. She trained at the Bowen Center for the Study of the Family in Washington, DC, is a 21/64 Certified Advisor, and a member of the Family Firm Institute (FFI).

Rick Flynn is an international authority on the family office space who has helped to transform the sector by designing and implementing outsourced solutions that bridge financial and lifestyle objectives. Rick works with families, entrepreneurs and entertainers amongst others to create customized strategies that build and protect fortunes and legacies while unlocking the power of personal brands. Rick advises clients on matters including advanced planning, wealth enhancement and asset protection. Rick manages and integrates all aspects of business and personal financial management for optimal efficiency.

Rick is co-author of three books - Taking the Reins: Insights into the World of Ultra-Wealthy Inheritors, Fame & Fortune: Maximizing Celebrity Wealth and The Family Office: Advising the Financial Elite.

Prior to founding FFO, Rick was principal-in-charge of the family office group at Rothstein Kass. Previously, Rick was the chief operating officer of a Nasdaq small-cap entertainment company.

As one of the leading experts in the fine wine and spirits industry, Rickesh combines a strong network of private clients with the experience of creating successful businesses across Asia and the US. In 2014 Rickesh launched the world’s first private equity whisky fund - Platinum Whisky Investment Fund – which offers investors a unique opportunity to capitalize upon the exponential, world-wide growth in demand for rare single malt Scotch whisky. He also currently serves as chief executive of Platinum Wines, a premium wine and spirits distributor established in 2006. Headquartered in Hong Kong, Platinum Wines has a dedicated team of in house wine/whisky specialists managing over 3,000 private clients in Hong Kong, Singapore, Mainland China, Malaysia, Vietnam and Australia

Stephen Lee is a regional vice president in the private wealth division for Columbia Management Distributors. Stephen joined the firm in 2006 and has been a member of the investment community since 1995, and holds the Certified Investment Management Analyst designation.

Prior to joining Columbia Management, Stephen spent several years as a consultant to the hedge fund industry, specializing in marketing and distribution. He has worked in alternative investments at Citigroup Alternatives Investments and KPG Investments, and in private banking at JP Morgan, Deutsche Bank and Swiss Bank Corporation in New York.

Stephen has taught at City College of the City University of New York and Lafayette College.