Herbert Moore is a financial advisor with Olive Tree Ridge Investment Advisors in Sharon, CT, holding Series 63 and Series 65 licenses and 14 years of industry experience. He previously worked at WiseBanyan, Inc. for ten years and was with Independent Brokerage Solutions LLC from 2020 to 2022. Outside of financial advising, Moore is the founder and operator of a residential remodeling contracting business. Olive Tree Ridge Investment Advisors provides portfolio management primarily for high-net-worth individuals and charitable organizations, focusing on asset allocation, selection, and ongoing monitoring. The firm employs modern portfolio theory, generally recommends ETFs, and uses long-term trading and options strategies, including covered and uncovered options.

Brian Schmidt is a CFP® with 12 years of industry experience, currently serving as the sole advisor at Hudson Delaware Planning LLC. His prior roles include positions at Ameriprise Financial Services Inc and The Depository Trust & Clearing Corp. Outside of financial advising, he is involved with Redbud Farms LLC. Hudson Delaware Planning provides financial planning and consulting services to individuals, high-net-worth clients, and business entities through both ongoing and project-based engagements. The firm focuses on a planning-only model without discretionary portfolio management or custody, offering services that include retirement, tax, and estate planning, while clients retain full discretion over their implementation.

John Duval is a financial advisor at Bantam Inc. in Staatsburg, NY, holding Series 63 and Series 65 licenses with 12 years of industry experience. He has worked at Bantam Inc. since 2017 and also manages a securities litigation consulting firm where he serves as an expert witness without providing investment advice. Bantam Inc. serves ultra-high-net-worth individuals, families, and select institutional clients, offering asset management, financial planning, and pension consulting with a focus on documented client objectives and discretionary strategies that include equity, fixed income, and alternative investments.

Michael Vanikiotis is a CFP® and ChFC® with one year of experience, currently serving as the sole advisor at Vanik Capital LLC. His prior roles include positions at Northwestern Mutual and Wells Fargo Clearing, along with experience in the restaurant ownership and operations sector. Vanik Capital LLC provides investment management, financial planning, and retirement plan consulting to employer plan sponsors, charitable organizations, corporations, and individual clients. The firm employs asset-allocation driven portfolios combining passive and active strategies and offers services including ERISA investment management for employer plans.

Robert Swigert is a financial advisor at Goodstead with six years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Tyr Partners LP, Cityblock Health, Inc., and Brandon Point Industries, Inc. Swigert is also an adjunct lecturer in Finance and Economics at Columbia Business School and SUNY Maritime College. Goodstead provides investment management and financial planning services to individual investors, trusts, foundations, endowments, estates, nonprofit organizations, and business entities. The firm employs a risk-budgeting framework that balances lower-risk and higher-risk strategies, combining quantitative models and fundamental analysis to manage accounts, often on a discretionary basis.

Edvard Jorgensen is a financial advisor at Seahorse Financial Advisers Inc. with 29 years of industry experience. He holds a Series 65 credential and has maintained a law license in New York since 1977, though he does not currently practice law actively. Jorgensen has led Seahorse Financial Advisers since 1993 and serves as a trustee of three family trusts. Seahorse Financial Advisers provides discretionary management of separately managed brokerage accounts primarily for high-net-worth individuals, families, trusts, estates, and retirement plans. The firm employs a long-term, buy-and-hold investment strategy informed by fundamental analysis and market-timing considerations, managing approximately $86.7 million across about 20 client relationships.

Jonathan Edelman is a CFP® with four years of industry experience, serving as the sole advisor at Nonesuch Advisors in Kent, CT since 2013. He is also Co-Managing Partner of Inflection Vintners, a winery involved in production, sales, and finance. Nonesuch Advisors primarily serves entrepreneurs, small-business owners, and principal executives, offering financial planning, investment strategy, and start-up consulting through fixed-fee or hourly engagements. The firm emphasizes fundamental analysis and diversified portfolios using mutual funds and ETFs, focusing on the intersection of personal and business financial issues without providing discretionary portfolio management.

Jonathan Stephens is a financial advisor at New Line Capital, LLC with five years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Stires, O'Donnell and Co., Inc. since 1998. New Line Capital provides investment advisory and portfolio management services primarily to individuals, trusts, estates, and charitable organizations, as well as businesses and pension and profit-sharing plans. The firm offers customized advice based on a combination of fundamental, technical, and cyclical analysis, managing both discretionary and non-discretionary accounts.

James Daly is a financial advisor at BlueRing Advisors, Inc. with 38 years of industry experience. He holds the Series 63 and Series 65 designations and has been with Stifel Nicolaus & Co Inc since 2011. BlueRing Advisors, Inc. provides fee-only portfolio management to individuals, businesses, trusts, estates, and charitable organizations, primarily serving non–high-net-worth clients. The firm employs a dynamic allocation process combining fundamental, technical, and cyclical analysis, and emphasizes active, technically driven trading with selective use of higher-risk instruments for appropriate clients.

Benjamin Edmund is a financial advisor at Pasnau Investment Management, Inc. He holds a Series 65 credential and has been with Pasnau since 2023. He also operates 1610 Capital, a short-term equities trading business for firm capital only, and runs Cronk Studios, a web design agency specializing in online stores for small businesses on Shopify. Pasnau Investment Management provides discretionary investment management and advisory services to individual and high net worth clients, managing approximately $114 million across about 203 accounts. The firm’s approach is client-specific, utilizing fundamental, technical, and cyclical analysis with an emphasis on asset allocation and buy-and-hold strategies.

James Mcfadden is a financial advisor with Bluering Advisors, Inc. He holds Series 63 and Series 65 licenses and has four years of industry experience. In addition to his advisory role, he has been a compliance consultant at JADM Compliance Services Inc. since 2013. Bluering Advisors, Inc. provides fee-only portfolio management primarily for non-high-net-worth individuals, businesses, trusts, estates, and charitable organizations. The firm employs a dynamic allocation process that integrates fundamental, technical, and cyclical analysis, managing accounts on a discretionary basis while allowing for the selective use of higher-risk instruments for appropriate clients.

Guy Ule is a financial advisor at Wellington Shields & Co., LLC with 53 years of industry experience. He has been with Wellington Shields since 2009 and has worked at Shields & Company since 2000. He holds Series 63 and Series 65 licenses. Wellington Shields & Co. provides discretionary and non-discretionary portfolio management and brokerage services to individuals, corporations, trusts, pension and profit-sharing plans, and other institutional clients. The firm manages approximately $470.9 million across about 514 client relationships and employs a variety of investment methods, including fundamental and technical analysis, options strategies, and third-party manager selection.

Amy Pender is a CFP® with 13 years of industry experience, currently serving as an advisor at Natural Investments since 2017. She previously worked at SRI Investing LLC from 2015 to 2017. In addition to her advisory role, she provides strategic planning consulting for nonprofit organizations. Natural Investments is a values-focused advisory firm managing roughly $2.05 billion for individual clients, institutions, and charitable entities through a team of 24 advisors. The firm emphasizes asset-class diversification and socially responsible investments, offering both discretionary management and project-based financial planning.

Jason Fedak is a Series 65-licensed financial advisor with Core Planning in New Milford, CT, where he has worked since 2021. He has five years of experience in the financial industry and concurrently serves as a Physician Assistant at New Milford Hospital, a role he has held since 2018. Prior to joining Core Planning, he worked in emergency and urgent care settings for over a decade. Core Planning provides fee-based financial planning and wealth management services to individuals, retirement plans, trusts, estates, charitable organizations, and business entities. The firm customizes investment strategies based on client goals and risk tolerances, utilizing a mix of in-house advice, third-party money managers, and model portfolios.

Daniel Jonker is a financial advisor at Summit Financial, LLC with 28 years of industry experience. He holds Series 63, Series 65, and Series 66 licenses. Prior to joining Summit in 2022, he worked at Fieldpoint Private Securities, LLC and JPMorgan Chase Bank. He also refers clients to Fieldpoint Private Bank for banking services. Summit Financial, LLC provides investment advisory and financial planning services to a diverse client base, including individuals, corporations, pension plans, and charitable organizations. The firm offers a combination of discretionary managed portfolios and advisor-directed programs across multiple platforms, managing approximately $15 billion in client assets.

Kevin Barletta is a financial advisor with International Assets Investment Management, LLC, holding Series 65 and Series 66 licenses and possessing 21 years of industry experience. His prior roles include positions at Royal Alliance Associates and LPL Financial, LLC. Outside of his advisory work, he is a passive investor in the multi-location restaurant chain Dig Inn. International Assets Investment Management provides investment advisory services to individuals, high-net-worth clients, retirement plans, corporations, and other business entities. The firm employs a network of independent investment adviser representatives who offer customized, long-term portfolio management using mutual funds, ETFs, equities, fixed income, and may utilize third-party managers or wrap programs as appropriate.

Walter Murphy is a financial advisor at AlphaCore Capital LLC with 27 years of industry experience. He holds the Series 63 and Series 65 licenses and has previously worked at Calamos Financial Services LLC, Calamos Wealth Management LLC, and Charles Schwab. AlphaCore Capital LLC is an independent wealth advisory firm serving individuals, high-net-worth clients, entities, and institutional investors. The firm manages multi-asset portfolios combining traditional equity and fixed income with alternative strategies and private-market allocations, and provides a range of services including investment management, financial planning, tax preparation, and trustee services.

Nicolas Dufresne is a financial advisor at HSBC Securities (USA) Inc. with 32 years of industry experience. He holds Series 63 and Series 66 licenses and has previously worked at Merrill and Morgan Stanley in various roles. Outside of his advisory work, he owns a real estate condo in Myrtle Beach, which he uses occasionally. HSBC Securities (USA) Inc. offers managed account programs to a diverse client base, including individuals, retirement accounts, nonprofits, and corporations, with a range of client-directed and discretionary options. The firm combines strategic and tactical asset allocation with global fund due diligence and provides specialized offerings such as an Offshore Spectrum program for qualified non-resident aliens.

Harlem Valdez is a CFP® with 15 years of industry experience, currently serving as a financial advisor at William Blair since 2025. Prior to this, he worked at Private Client Resources, LLC, Masttro, JP Morgan Securities, and Credit Suisse Group AG, among other firms. Outside of finance, he has experience in the hospitality sector through involvement with ssa group llc/POURHOUSE BAR GRILL. William Blair’s Private Wealth Management division provides investment management, financial planning, and wealth services to individuals, foundations, pension, and corporate clients. The firm employs an active, research-driven approach across multiple asset classes and offers proprietary model portfolios and access to private funds and co-investment opportunities.

F Masri is a financial advisor at Oppenheimer with 33 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Oppenheimer since 2016. Outside of his advisory work, he contributes creative writing to the Millbrook Independent newspaper. Oppenheimer serves a diverse client base including individuals, corporations, pension plans, and charitable organizations, offering advisory and brokerage services such as discretionary and non-discretionary investment management, consulting, and retirement services. The firm employs strategic and tactical asset allocation, manager selection, and various investment strategies, with a notable role as a qualified custodian and a mix of commission-based and fee-based programs.