Herbert Moore is the sole advisor at Olive Tree Ridge Investment Advisors in Sharon, CT, holding Series 65 and Series 63 credentials with 15 years of industry experience. He previously worked at WiseBanyan, Inc. for 10 years and founded Premier Construction, a residential remodeling business which he actively manages alongside his advisory role. Olive Tree Ridge Investment Advisors offers discretionary portfolio management primarily to high-net-worth individuals and charitable organizations, focusing on mutual funds, equities, and ETFs. The firm’s investment approach is based on Modern Portfolio Theory, emphasizes asset allocation and long-term strategies, and incorporates options trading when appropriate.

Brian Schmidt is a financial advisor at Hudson Delaware Planning LLC with 13 years of industry experience. He holds the CFP® designation as well as Series 63 and Series 66 licenses. Prior to founding Hudson Delaware Planning in 2019, Schmidt worked at Ameriprise Financial Services Inc. and The Depository Trust & Clearing Corp. Outside of advisory work, 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. The firm focuses on comprehensive, written financial plans covering areas such as retirement, tax, estate, and business consultation, operating on a planning-only model without managing or custodial responsibilities.

John Duval Jr. is a financial advisor at Bantam Inc. with 13 years of industry experience. He holds Series 63 and Series 65 designations and has worked at Bantam Inc. since 2017 and at Accelerant LLC since 2004. In addition to his advisory work, he manages a securities litigation consulting firm where he serves as an expert witness. Bantam Inc. provides investment management and financial planning primarily to ultra-high-net-worth individuals, families, select institutional clients, and high-trajectory athletes. The firm employs a combination of fundamental, quantitative, technical, and macroeconomic analysis augmented by AI, offering services that include discretionary portfolio management, pension consulting, and tailored CFO services for athletes.

Michael Vanikiotis is a CFP® and ChFC® with two years of industry experience. He is the principal of Vanik Capital LLC, an independent advisory firm founded in 2025. His prior roles include positions at Northwestern Mutual, Wells Fargo Clearing, and involvement with Vanikiotis Group Restaurant Owners and Operators. Vanik Capital LLC provides investment management, comprehensive financial planning, and retirement plan consulting to individuals, pension and profit-sharing plans, charitable organizations, and businesses. The firm offers both project-based and ongoing planning services, using a mix of passive and active strategies with options for ESG considerations, and provides ERISA fiduciary and 3(38) investment manager services.

Robert Swigert is a financial advisor at Goodstead with seven years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Tyr Partners LP since 2016 and Cityblock Health, Inc. from 2018 to 2019. Swigert also serves as a lecturer in Finance and Economics at Columbia Business School and SUNY Maritime College and is involved in operational oversight for El Menudo Cuenta. Goodstead provides investment management and financial planning to a range of clients including individuals, trusts, and nonprofit organizations. The firm employs a risk-budgeting framework that balances lower- and higher-risk strategies, uses a combination of quantitative models and fundamental analysis, and maintains a unique registration with the CFTC as a Commodity Trading Advisor supporting commodity and systematic trading within its investment approach.

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.

Mark Palmrose Krieger is a financial advisor at PK Financial Services in Pawling, NY. He holds a Series 65 credential and has 10 years of experience at the Pension Benefit Guaranty Corp. PK Financial Services offers personalized financial planning and discretionary investment management primarily to individuals and small businesses, alongside a separate tax preparation and tax-planning practice. The firm uses a core-and-satellite investment approach with formal risk-profiling tools and quantitative performance metrics, and it makes both hourly and performance-based fee arrangements available for eligible clients.

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.

Donald Bourne is a financial advisor at Bourne Lent Asset Management, Inc. with four years of industry experience. He has been with Bourne Lent since 1991. Bourne Lent Asset Management provides discretionary investment management and advisory services to individuals, trusts, estates, charitable organizations, businesses, and municipal entities. The firm employs a fundamental analysis approach with customized portfolio construction, emphasizing individual equities and bonds, and serves a range of clients including high-net-worth individuals and state and municipal clients.

James Daly is a financial advisor with Bluering Advisors, Inc, holding Series 63 and Series 65 licenses and bringing 38 years of industry experience. He previously worked at Stifel Nicolaus & Co Inc for 10 years. Bluering Advisors provides fee-only portfolio management to individuals, businesses, trusts, estates, and charitable organizations. The firm focuses on non-high-net-worth individuals and small institutional accounts, using a dynamic investment process that combines fundamental, technical, and cyclical analysis and offers discretionary portfolio management.

Benjamin Edmund is a financial advisor at Pasnau Investment Management, Inc. with one year of industry experience. He holds a Series 65 designation and has worked at Pasnau Investment Management since 2023. Prior to this, he was involved with 1610 Capital, a firm focused on short-term equities trading for its own capital, and he operates Cronk Studios, a web design agency specializing in building online stores for small businesses on Shopify. Pasnau Investment Management provides discretionary portfolio management and individualized investment advice to individual and high-net-worth clients, managing approximately $129 million in discretionary assets. The firm develops investment strategies through client-specific consultations and employs a combination of fundamental, technical, and cyclical analysis alongside buy-and-hold and asset-allocation approaches.

James Mcfadden is a financial advisor at Bluering Advisors, Inc. He holds Series 63 and Series 65 designations and has five years of industry experience. In addition to his advisory role, he serves as a compliance consultant for JADM Compliance Services Inc., a position he has held since 2013. Bluering Advisors provides fee-only portfolio management services to individuals, businesses, trusts, estates, and charitable organizations. The firm manages approximately $14.9 million across 31 discretionary accounts, employing a dynamic investment process that integrates fundamental, technical, and cyclical analysis and caters primarily to non-high-net-worth individuals and small institutional clients.

William Pasnau is the principal advisor at PASNAU Investment Management, Inc. in New Milford, CT, with 26 years of industry experience. He has led PASNAU Investment Management since 1999. PASNAU Investment Management, Inc. provides discretionary portfolio management and individualized investment advice to both individual and high-net-worth clients, managing approximately $129 million in discretionary assets. The firm develops client-specific investment strategies using fundamental, technical, and cyclical analysis, and employs buy-and-hold and asset-allocation approaches.

Guy Ule is a financial advisor with Wellington Shields & Co., LLC, holding Series 63 and Series 65 designations and bringing 54 years of industry experience. He has been with Wellington Shields & Co., LLC since 2009 and has worked with Shields & Company since 2000. Wellington Shields & Co. provides discretionary and non-discretionary portfolio management to clients including individuals, corporations, trusts, estates, pension and profit-sharing plans, and charitable organizations. The firm uses a combination of fundamental and technical analysis, third-party manager selection, mutual funds and ETFs, and both long- and short-term strategies, with accounts monitored regularly.

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 29 years of industry experience. He holds Series 63, Series 65, and Series 66 licenses. His prior experience includes roles at JPMorgan Chase Bank and Fieldpoint Private Securities. Jonker also refers clients to Fieldpoint Private Bank for lending services. Summit Financial, LLC is a multi-team SEC-registered advisory firm managing approximately $26.35 billion in assets for around 17,800 clients. The firm offers both discretionary and consultative investment management programs, financial planning, and retirement plan advisory services.

Kevin Barletta is a financial advisor with International Assets Investment Management, LLC, holding Series 66 and Series 65 credentials and over 22 years of industry experience. His prior roles include positions at Royal Alliance Associates and LPL Financial. 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 through a national network of independent representatives. The firm focuses on customized, long-term portfolio construction using mutual funds, ETFs, individual equities, and fixed income, and employs third-party money managers or wrap programs as appropriate.

Walter Murphy is a financial advisor at AlphaCore Capital LLC with 27 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Calamos Financial Services LLC, Charles Schwab, Harrisdirect LLC, and BNY Mellon Securities Corporation. AlphaCore Capital is an independent wealth advisory firm with approximately 70 advisors managing around $13 billion, serving individuals, entities, and institutional investors. The firm combines alternative investments with traditional assets through fundamental and macro analysis, employing both in-house and external managers in multi-asset portfolios, and offers a range of services including financial planning, investment management, and retirement plan advisory.