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Robyn S

Series 63, Series 65

Hinsdale, IL

Prairie Capital Management Group, LLC

Robyn Schneider is a financial advisor at Prairie Capital Management Group, LLC with 42 years of industry experience. She holds Series 63 and Series 65 designations and has worked at Prairie Capital Management Group since 2021. Her prior experience includes roles at Umb and Prairie Capital Management. Prairie Capital Management Group primarily serves high-net-worth individuals and families, as well as institutional clients such as pension plans, trusts, and charitable organizations. The firm employs a multi-manager, multi-strategy investment approach, focusing on asset consulting and investment supervisory services while generally not directly investing client assets for most multi-manager accounts.

Private / alternative investments Active portfolio management Concentrated stock management Retirement income strategy Founder/Business Owner Executive
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Mike A

Series 63, Series 65

Chicago, IL

B. Riley Wealth Advisors, Inc.

Mike Angelopoulos is a financial advisor with B. Riley Wealth Advisors, Inc. in Chicago, IL, holding Series 63 and Series 65 licenses and bringing 26 years of industry experience. He has been with B. Riley Wealth Advisors since 2016 and previously worked at National Securities Corp. Angelopoulos is president of Porchlight Real Estate PLLC, a real estate investment venture. B. Riley Wealth Advisors provides investment advice and portfolio management to a diverse client base, including individual investors, pension and profit-sharing plans, trusts, estates, charitable organizations, and businesses, managing approximately $4.21 billion in assets across a variety of programs and strategies.

Wealth management Retirement income strategy Executive Founder/Business Owner Retired
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Nicholas G

Series 66

Chicago, IL

Fourstar Wealth Advisors, LLC

Nicholas Ginnodo is a financial advisor at Fourstar Wealth Advisors, LLC in Chicago, IL, holding a Series 66 credential with three years of industry experience. His prior roles include positions at Riverpoint Wealth Management and The Vanguard Group. Fourstar Wealth Advisors serves individuals, retirement and profit-sharing plans, trusts, estates, charitable organizations, and business entities with financial planning, discretionary portfolio management, and retirement-plan consulting. The firm employs a combined fundamental and technical analysis approach, managing diversified portfolios tailored to clients’ risk tolerance and time horizon.

Charitable giving & philanthropy
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Jennie F

Series 66

Winfield, IL

HBW Advisory Services LLC

Jennie Fleming is a financial advisor with HBW Advisory Services LLC, holding a Series 66 designation and 21 years of industry experience. She previously worked at Ameriprise Financial Services, Inc. for 16 years before joining HBW Advisory Services in 2021. Fleming is also a notary public and is involved with the Greater Winfield Chamber of Commerce. HBW Advisory Services manages approximately $1.75 billion in client assets, providing asset management, financial planning, and consulting services to individuals, families, charitable organizations, businesses, and retirement plans. The firm utilizes a blended investment approach with third-party money managers and emphasizes a client servicing model that includes institutional and intermediary roles.

College savings (529s, UTMA, etc.)
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Regan B

Series 63, Series 65

Elmhurst, IL

LaSalle St. Investment Advisors, L.L.C.

Regan Beaver is a financial advisor at LaSalle St. Investment Advisors, L.L.C. with 22 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at LaSalle St. Securities, L.L.C. since 2003. LaSalle St. Investment Advisors serves individuals, trusts, estates, pension and profit-sharing plans, corporations, and charitable organizations with fee-based financial planning and a range of portfolio management services. The firm employs both passive and active investment strategies across various asset classes and is notable for its predominance of non-discretionary assets and its use of fee-sharing and co-advisor arrangements.

Active portfolio management Options & derivatives strategies Executive Founder/Business Owner
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Ronald F

Series 63, Series 65

Elmhurst, IL

LaSalle St. Investment Advisors, L.L.C.

Ronald Feltes is a financial advisor with LaSalle St. Investment Advisors, L.L.C., holding Series 63 and Series 65 licenses and bringing 41 years of industry experience. He has worked at LaSalle St. Securities LLC since 2015 and has been with Heartland Investment Associates, Inc. since 1990. Outside of advisory work, he is involved in fixed insurance activities. LaSalle St. Investment Advisors serves individuals, trusts, estates, pension and profit-sharing plans, corporations, and charitable organizations with fee-based financial planning and portfolio management services. The firm employs a range of investment strategies across various asset classes, managing accounts primarily through non-discretionary authority and utilizing both active and passive approaches.

Active portfolio management Options & derivatives strategies Executive Founder/Business Owner
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Douglas S

Series 63, Series 65

Downers Grove, IL

HighPoint Planning Partners

Douglas Schaffnit is a financial advisor with HighPoint Planning Partners and holds Series 63 and Series 65 licenses. He has 43 years of industry experience and has been with HighPoint Planning Partners since 2012. Prior to that, he has been associated with LPL Financial since 2004 and has operated Schaffnit and Associates since 1994. Outside of his advisory roles, he is involved in selling group life, disability, and medical insurance, and provides employee benefits through Schaffnit and Associates, Inc. HighPoint Advisor Group offers discretionary asset management, financial planning, and consulting services to a diverse client base, including individuals, pension plans, trusts, and charitable organizations. The firm manages approximately $4.0 billion in client assets and employs a fundamental analysis-based investment approach across various securities and program solutions.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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Emily P

Series 63, Series 66

Chicago, IL

Oxford Financial Group, LTD

Emily Pattee is a financial advisor at Oxford Financial Group, LTD with 13 years of industry experience. She holds Series 63 and Series 66 licenses and previously worked at Morgan Stanley and Northwestern Mutual Investment Services LLC. Oxford Financial Group serves ultra-high-net-worth individuals, families, and institutional clients by providing family office services, CIO-led portfolio construction, and fiduciary support. The firm emphasizes asset allocation, diversification across public and private markets, and offers both discretionary and non-discretionary management, alongside in-house private-investment platforms and affiliated trust services.

Private / alternative investments Business exit / sale strategy Business ownership considerations Family Business Wealth management Founder/Business Owner
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Travis B

Series 66

Chicago, IL

Northern Trust Securities, Inc.

Travis Bennett is a financial advisor with Northern Trust Securities, Inc. in Chicago, IL, holding a Series 66 designation and three years of industry experience. His prior work includes roles at Northern Trust Bank, Paylocity Inc., and Technical Source. Northern Trust Securities, Inc. serves high-net-worth individuals, retail investors, and institutional clients by providing discretionary portfolio management through model-driven investment programs that utilize a combination of proprietary and third-party products, with a focus on separately managed accounts and strategically managed portfolios.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
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Thomas C

CFP®, Series 66

Downers Grove, IL

HighPoint Planning Partners

Thomas Carroll is a financial advisor at HighPoint Planning Partners with nine years of industry experience. He holds the CFP® designation and Series 66 license. His prior roles include positions at LPL Financial, Parkview Asset Management, Bank of America, Merrill, and Edward Jones. HighPoint Planning Partners serves individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and corporate entities. The firm provides discretionary asset management, financial planning, retirement plan advisory, and wrap-fee program management, utilizing a diversified investment approach that includes mutual funds, ETFs, equities, debt securities, REITs, options, and independent managers.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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Luis P

Series 65

Chicago, IL

Chicago Capital, LLC

Luis Pereda is a financial advisor at Chicago Capital, LLC with two years of industry experience and holds a Series 65 credential. His prior roles include positions at Corient Services LLC, CIPW Service Company, Gofen and Glossberg, L.L.C., and Northern Trust. Chicago Capital provides discretionary investment management, financial planning, and consulting services to individuals, families, corporations, foundations, and registered investment advisers. The firm employs an active management approach combining fundamental and technical research to construct diversified portfolios, and manages over $4.8 billion in client assets with a team of 11 advisors.

Active portfolio management Options & derivatives strategies
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Nora D

Series 66

Chicago, IL

IHT Wealth Management LLC

Nora Dudash is a financial advisor at IHT Wealth Management LLC with 12 years of industry experience. She holds the Series 66 designation and has been with IHT Wealth Management and LPL Financial since 2014. IHT Wealth Management serves individuals, pension and profit-sharing plans, charitable organizations, trusts, and corporate clients. The firm combines fundamental stock selection with quantitative tools and diversified model portfolios, offering discretionary asset management, financial planning, and ERISA fiduciary services through a network of approximately 153 advisors.

Concentrated stock management Options & derivatives strategies Tax-loss harvesting Founder/Business Owner
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Mark H

CFP®, Series 63, Series 66

Chicago, IL

Concurrent Investment Advisors, LLC

Mark Hofstetter is a CFP® with 35 years of industry experience, currently serving as a financial advisor at Concurrent Investment Advisors, LLC. His prior roles include positions at Purshe Kaplan Sterling Investments, Next Retirement Solutions, Raymond James Financial Services Advisors Inc., and Wells Fargo Advisors. Outside of his advisory work, he is a paid performing musician through his part-time involvement with And Beyond LLC. Concurrent Investment Advisors is an enterprise-scale firm with approximately 161 advisors serving over 10,000 clients and managing about $9.9 billion in assets. The firm provides wealth management, financial planning, and retirement advisory services, employing a long-term investment approach with customized portfolios across various asset classes.

Wealth management Retirement plans for business owners (SEP, solo 401k)
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James B

ChFC®, Series 63, Series 65

Downers Grove, IL

Independent Wealth Network, Inc.

James Bey is a financial advisor with Independent Wealth Network, Inc. He holds the ChFC® designation and Series 63 and 65 licenses, with 36 years of industry experience. His prior roles include positions at Emerson Equity LLC and Brokers International Financial Services, LLC. Outside of financial advising, Bey volunteers as an official at swim meets for USA Swimming. Independent Wealth Network, Inc. provides wealth management, financial planning, and consulting services to individuals, trusts, plans, estates, charitable organizations, and corporations. The firm’s advisors oversee approximately $518 million in client assets and employ a range of investment strategies, including discretionary management using third-party models and direct portfolio implementation.

Options & derivatives strategies
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Meghan N

CFP®

Lombard, IL

Forum Financial Management, Lp

Meghan Nolan is a CFP® professional with seven years of industry experience, currently serving as a financial advisor at Forum Financial Management, LP since 2016. She is based in Lombard, IL, and has spent her entire advisory career with Forum Financial Management. Forum Financial Management, LP provides investment advisory and related services to individuals, retirement plan sponsors, charitable organizations, and institutional clients. The firm employs model asset-allocation portfolios based on Modern Portfolio Theory and offers a range of services including portfolio management, financial planning, and sub-advisory solutions, with a focus on supporting independent advisors and RIAs through its turn-key asset-management platform.

Wealth management Passive / index investing ESG / Sustainable investing Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Retired Mid-Career Professionals
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Loren P

Series 63, Series 65

Chicago, IL

Associated Investment Services, Inc.

Loren Piotrowski is a financial advisor at Associated Investment Services, Inc. with 26 years of industry experience. His work history includes roles at TD Ameritrade and U.S. Bancorp Investments prior to joining his current firm in 2021. He holds Series 63 and Series 65 credentials. Associated Investment Services, Inc. provides advisory and brokerage services to individual investors, small corporations, trusts, estates, and charitable institutions. The firm offers model portfolio and separately managed account programs through third-party managers and its affiliate Kellogg Asset Management, delivering services primarily via the Envestnet/NFS platform.

Tax-loss harvesting Passive / index investing Active portfolio management Factor investing / smart beta Retired Founder/Business Owner
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Thomas V

CFP®, Series 63

Downers Grove, IL

HighPoint Planning Partners

Thomas Vislisel is a CFP® professional with 27 years of experience in the financial services industry. He is currently with HighPoint Planning Partners and previously worked for Vantage Financial Partners Limited for 20 years. HighPoint Advisor Group provides discretionary asset management, financial planning, and consulting services to a diverse client base, including individuals, pension plans, trusts, charitable organizations, and corporations. The firm manages approximately $4.0 billion in client assets and employs fundamental analysis to create individualized investment policies across various asset classes and managed solutions.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k) Wealth management Founder/Business Owner Executive
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John H

Series 63, Series 65

Downers Grove, IL

Ausdal Financial Partners, Inc.

John Hicks is a financial advisor with Ausdal Financial Partners, Inc. in Downers Grove, IL, holding Series 63 and Series 65 licenses and bringing 36 years of industry experience. He has been with Robert B. Ausdal & Co., Inc. since 2008. In addition to his advisory role, he serves as a trustee executing trust assets. Ausdal Financial Partners is an SEC-registered investment adviser and FINRA-member broker-dealer managing approximately $2.13 billion in client assets through a network of 152 advisors. The firm offers investment advisory programs, retirement plan services, and financial planning to individuals, trusts, corporations, pension plans, and charitable organizations, providing both discretionary and non-discretionary investment strategies across a range of products and account types.

Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Retired
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Edward C

Series 63, Series 66

Chicago, IL

Northern Trust Securities, Inc.

Edward Constance is a financial advisor at Northern Trust Securities, Inc. in Chicago, IL, holding Series 63 and Series 66 credentials with two years of industry experience. Prior to joining Northern Trust Securities, he worked at Morgan Stanley for one year. Northern Trust Securities, Inc. is a registered investment adviser and broker-dealer serving high-net-worth individuals, retail investors, and institutional clients. The firm offers model-driven discretionary portfolio management, including Separately Managed Accounts and Fund Strategist Portfolios, utilizing a mix of proprietary and third-party investment products.

Passive / index investing Active portfolio management ESG / Sustainable investing Tax-loss harvesting Founder/Business Owner Executive
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Daniel L

Series 63, Series 65

Lombard, IL

Capital Analysts

Daniel Laya is a financial advisor with Capital Analysts in Lombard, Illinois, holding Series 63 and Series 65 registrations and bringing 26 years of industry experience. He has worked with Lincoln Investment Planning, Inc. for 20 years. Outside of his advisory role, he is a member of a ski and snowboard rental, tuning, and delivery business. Capital Analysts serves a broad client base including individuals, retirement plans, trusts, foundations, and corporate clients, providing both discretionary and non-discretionary portfolio management. The firm employs an in-house investment management team that oversees model portfolios using a proprietary mutual-fund screening process and offers a variety of advisory services, including custom portfolios and ERISA retirement plan advice.

Wealth management Tax-loss harvesting ESG / Sustainable investing Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Educators, Teachers, and Academics Founder/Business Owner
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