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Mark S

Series 63, Series 65

Stone Ridge, NY

Stone Ridge Advisors

Mark Stern is a financial advisor at Stone Ridge Advisors with 24 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Laurel Wealth Advisors and Integrated Wealth Concepts, LLC. Stone Ridge Advisors is an independent, SEC-registered solo-practitioner firm managing approximately $36.5 million for individual, high-net-worth, and institutional clients. The firm offers discretionary portfolio management, financial planning, and retirement plan consulting, employing proprietary blended investment models that integrate multiple analytical approaches and emphasize diversification, rebalancing, and a long-term investment horizon.

Wealth management Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Retired
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David S

CFP®, Series 63, Series 65

New Paltz, NY

Huguenot Financial Planning

David Sterman is a CFP® professional with nine years of industry experience, currently operating as the sole advisor at Huguenot Financial Planning in New Paltz, NY. He has been associated with LPL Financial since 2016. In addition to his advisory work, Sterman contributes written content to industry publications and leads educational workshops and real-time planning sessions. Huguenot Financial Planning provides fee-only financial planning and periodic investment consultations to individuals, families, trusts, small businesses, pension, and charitable clients. The firm emphasizes a broadly diversified, long-term investment approach using Modern Portfolio Theory and Core + Satellite strategies, primarily with low-cost indexed vehicles tailored to client objectives and risk tolerance.

Cash flow / budgeting College savings (529s, UTMA, etc.) General retirement planning General estate planning guidance
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Takuya A

Series 65

Gardiner, NY

Benkei Asset Management

Takuya Arai is a financial advisor at Benkei Asset Management with 3 years of industry experience. He holds a Series 65 designation and has been associated with Benkei Asset Management since 2011. Outside of his advisory role, Arai is the CEO of an online newsletter focused on U.S. stocks for Japanese investors. Benkei Asset Management is an independent registered adviser serving affluent individual and business clients in the U.S. and abroad, particularly in Japan. The firm employs a combination of fundamental valuation and quantitative analysis to construct concentrated portfolios aimed at long-term capital appreciation.

Active portfolio management Concentrated stock management Founder/Business Owner Immigrants
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Daniel D

CFP®, Series 66

Rhinebeck, NY

DDO Advisory Services, LLC

Daniel D'ordine is a CFP® professional with 16 years of experience in the financial advisory industry, operating through his firm, DDO Advisory Services, LLC, since 2010. He is also a licensed insurance broker specializing in life, disability, and long-term care policies. DDO Advisory Services provides financial planning and fee-based investment management to individuals, families, working professionals, small business owners, retirees, and trusts. The firm primarily uses pooled investments such as mutual funds and ETFs, generally offers non-discretionary investment advice, and may engage third-party managers for specialized strategies with client oversight.

Cash flow / budgeting Life insurance needs analysis Disability insurance Long-term care insurance General retirement planning Founder/Business Owner Retired Mid-Career Professionals Approaching retirement
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Cathleen T

CFP®

Rhinebeck, NY

Moonbridge Financial Design, LLC

I work with women who feel unseen by traditional financial service providers, and are tired of being talked at instead of spoken to. This includes women breadwinners, who want to be sure they're doing all they can with their money to secure the future; and women who feel like they should be able to create a financial plan but aren't sure where to start. Outside of financial planning, I serve on the board of a non-profit affordable housing network in the metro New York area, am active in my local Rotary Club, and am slowly learning how to build a garden that is friendly to pollinators and unappealing to rabbits. My journey has included life and work in India, Vietnam and other places, an MBA from Cornell University, several years on a trading floor right out of college and stops along the way that contribute to the life experience that I bring to each of you.

Cash flow / budgeting College savings (529s, UTMA, etc.) Retirement income strategy Women Professionals Single Women Women's Finance Gen X (Born 1965-1980)
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Peter B

Series 65

New Paltz, NY

Beyond Wealth Management Group, LLC

Peter Banta is a financial advisor at Beyond Wealth Management Group, LLC in New Paltz, NY, holding a Series 65 designation with two years of industry experience. His prior work includes roles at KC Engineering and Land Surveying and RBT CPA's, LLP. Beyond Wealth Management Group provides investment advisory and planning services to individuals, trusts, retirement plans, endowments, and businesses. The firm develops customized Investment Policy Statements, employs a variety of analytical methods, and offers both discretionary and non-discretionary management tailored to client objectives.

Passive / index investing Active portfolio management Annuities College savings (529s, UTMA, etc.) Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Iseult L

Series 65

New Paltz, NY

Beyond Wealth Management Group, LLC

Iseult Laurore is a financial advisor at Beyond Wealth Management Group, LLC in New Paltz, NY, holding a Series 65 credential. Laurore has less than one year of industry experience and previously worked in various roles including residence life at SUNY New Paltz and positions in nonprofit and community service organizations. Beyond Wealth Management Group provides investment advisory and planning services to individuals, trusts, retirement plans, endowments, and businesses. The firm employs a written Investment Policy Statement for each client and integrates asset allocation models with manager selection and ongoing monitoring, using both discretionary and non-discretionary management strategies.

Passive / index investing Active portfolio management Annuities College savings (529s, UTMA, etc.) Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Christopher D

CFP®, ChFC®, Series 63, Series 65

New Paltz, NY

Beyond Wealth Management Group, LLC

Christopher Drouin is a CFP® and ChFC® with 20 years of experience in financial services. He has worked at Beyond Wealth Management Group, LLC since 2018 and previously spent 16 years at United/Mutual of Omaha. Outside of his advisory role, he serves on the executive committee of the New Paltz Regional Chamber of Commerce and is a board member of the Woodland Pond Continuing Care Retirement Community. Beyond Wealth Management Group provides investment advisory and planning services to individuals, trusts, retirement plans, endowments, and businesses. The firm develops tailored Investment Policy Statements and employs a variety of analytical methods and trading approaches to meet client objectives, offering both discretionary and non-discretionary management.

Passive / index investing Active portfolio management Annuities College savings (529s, UTMA, etc.) Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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David C

Series 63

New Paltz, NY

Beyond Wealth Management Group, LLC

David Cross is a financial advisor with Beyond Wealth Management Group, LLC in New Paltz, NY, holding a Series 63 designation and five years of industry experience. He has been with Beyond Wealth Management Group since 2018 and has extensive experience with Mutual of Omaha Investor Services, Inc. and Mutual/United Of Omaha Insurance Company dating back to 1997. Outside of advisory work, he is involved in longstanding business operations including managing local enterprises in the food and retail sectors. Beyond Wealth Management Group provides investment advisory and planning services to individuals, trusts, retirement plans, endowments, and businesses. The firm develops tailored Investment Policy Statements and employs a mix of analytical and trading approaches, offering both discretionary and non-discretionary management.

Passive / index investing Active portfolio management Annuities College savings (529s, UTMA, etc.) Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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Luke T

Series 65

Poughkeepsie, NY

Timm Financial Services

Luke Timm is a financial advisor at Timm Financial Services with one year of industry experience. He holds the Series 65 designation and previously worked as a Tradesman Program Manager. Timm Financial Services is a small, state-registered advisory firm that provides fee-based investment management and financial planning to individuals, trusts, estates, and other small entities. The firm combines portfolio management with in-house tax and accounting services and offers separate estate-planning engagements, managing accounts on a discretionary basis with a tactical allocation strategy.

General estate planning guidance Tax strategies for small businesses
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Frederick T

Series 66

Poughkeepsie, NY

Timm Financial Services

Frederick Timm is a financial advisor with Timm Financial Services holding a Series 66 designation and eight years of industry experience. Prior to joining his current firm, he worked at Equitable Advisors, The Leaders Group, Allstate Insurance, and Signator Investors. He also owns and operates Fred Timm CPA, providing tax and accounting preparation services. Timm Financial Services is a small, state-registered advisory firm serving individuals, trusts, estates, and small entities with fee-based investment management and financial planning. The firm combines portfolio management with in-house tax, accounting, and estate planning services, employing a tactical allocation strategy that uses fundamental, technical, and cyclical analysis.

General estate planning guidance Tax strategies for small businesses
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Dyer M

CFP®, ChFC®, Series 66

Rhinebeck, NY

Kilter Group

Dyer Mccabe Jr. is a CFP® and ChFC® with 22 years of industry experience. He is currently with Kilter Group, where he has been since 2024, following prior roles at Invst, LLC and Guardian Life. He also manages Kilter Consulting, LLC, which provides consulting services specializing in generational transitions, sale preparation, and exit planning. Kilter Group is an SEC-registered investment adviser serving individuals, foundations, trusts, estates, corporations, and pension/retirement-plan sponsors. The firm employs a top-down, macro tactical asset-allocation approach with sector rotation and a relative growth/value framework, offering discretionary and non-discretionary portfolio management along with financial planning and pension consulting.

Retirement income strategy Wealth management Founder/Business Owner
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Laura B

CFP®, Series 65

Poughkeepsie, NY

D'Arcangelo Financial Advisors, LLC

Laura Betros is a CFP® with six years of industry experience, currently serving at D'Arcangelo Financial Advisors, LLC as part of a six-advisor team. She worked at Willis Towers Watson for five years before joining D'Arcangelo Financial Advisors and has also operated as an independent insurance broker. D'Arcangelo Financial Advisors provides fee-based investment advisory and financial planning services to employer-sponsored retirement plans, trusts, estates, and charitable organizations. The firm emphasizes pension and 401(k) plan consulting and uses a long-term investment approach involving mutual funds, ETFs, and selected alternatives guided by written investment policy statements.

Wealth management General tax planning Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Retirement withdrawal strategies Founder/Business Owner
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John C

PFS™

Poughkeepsie, NY

D'Arcangelo Financial Advisors, LLC

John Cina Jr. is a financial advisor at D'Arcangelo Financial Advisors, LLC with the PFS™ designation and five years of industry experience. He has worked at Prager Metis CPAs since 2020 as a partner handling CPA-related duties and owns Exotic Hardwoods LLC, a woodworking and hardwood sales business. D'Arcangelo Financial Advisors provides fee-based investment advisory and financial planning services primarily to employer-sponsored retirement plans, trusts, estates, and charitable organizations. The firm emphasizes long-term allocations using mutual funds, ETFs, and selected alternatives, with a focus on pension and 401(k) plan consulting.

Wealth management General tax planning Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Retirement withdrawal strategies Founder/Business Owner
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Derek D

Series 65

Rhinebeck, NY

John G. Ullman & Associates, Inc

Derek Doyle is a financial advisor at John G. Ullman & Associates, Inc. He holds a Series 65 designation and has two years of industry experience. Prior to joining John G. Ullman & Associates, he worked at Rhinebeck Bank for two years and Subway for five years. John G. Ullman & Associates provides discretionary investment management and comprehensive financial planning to individuals, high-net-worth clients, charitable institutions, foundations, trusts, and U.S. corporations. The firm focuses on balanced, value-oriented portfolios with low-to-moderate risk allocations and manages over $1.38 billion in client assets.

Concentrated stock management Real estate investing
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Olivia S

Series 65

Poughkeepsie, NY

D'Arcangelo Financial Advisors, LLC

Olivia Santora is a financial advisor with D’Arcangelo Financial Advisors, LLC, holding a Series 65 credential and based in Poughkeepsie, NY. She has experience working at Burger Box and Mary Janes, totaling 11 years in her career. D’Arcangelo Financial Advisors provides fee-based investment advisory and financial planning services to clients including employer-sponsored retirement plans, trusts, estates, and charitable organizations. The firm emphasizes pension and 401(k) plan consulting and uses a long-term investment approach with mutual funds, ETFs, and selected alternatives.

Wealth management General tax planning Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Retirement withdrawal strategies Founder/Business Owner
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Philip B

Series 63, Series 65

Rhinebeck, NY

Sage Rhino Capital LLC

Philip Baran is a financial advisor with Sage Rhino Capital LLC in Rhinebeck, NY. He holds Series 63 and Series 65 licenses and has seven years of industry experience. Prior to joining Sage Rhino Capital in 2026, he worked at JP Morgan Securities LLC and JP Morgan Chase Bank from 2019 to 2026. Sage Rhino Capital LLC provides asset management, financial planning, and retirement plan consulting to individuals, trusts, pension and profit-sharing plans, and business entities. The firm manages approximately $883.7 million in discretionary assets and employs an investment process that includes individualized portfolio management with a focus on ongoing monitoring and rebalancing across a diverse range of securities, including the use of option strategies within separately managed accounts.

Options & derivatives strategies Active portfolio management
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Kaylee J

Series 63, Series 65

Rhinebeck, NY

Kilter Group

Kaylee Johnson is a financial advisor at Kilter Group with Series 63 and Series 65 credentials and four years of industry experience. She previously worked at LVW Advisors for five years and Sage, Rutty & Co., Inc. for five years before joining Kilter Group. Kilter Group is an SEC-registered investment adviser serving individuals, foundations, trusts, estates, corporations, and pension/retirement-plan sponsors. The firm employs a top-down, macro tactical asset-allocation approach with sector rotation and a relative growth/value framework, utilizing mutual funds, ETFs, alternatives, and individual securities, and incorporates technology-enabled tools and third-party resources in portfolio management and financial planning.

Retirement income strategy Wealth management Founder/Business Owner
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Geoffrey D

Series 65

Staatsburg, NY

Sheets Smith Wealth Management

Geoffrey Dann is a financial advisor at Sheets Smith Wealth Management with four years of industry experience. He holds a Series 65 designation and previously managed Dann Asset Advisors, LLC for 13 years. In addition to his advisory role, he co-manages a family real estate business and serves as treasurer and investment committee member for the Catskill Center for Conservation and Development, as well as a member of the investment committee for the New York-New Jersey Trail Conference. Sheets Smith Wealth Management serves individuals, families, and institutional clients, providing investment management, wealth preservation, and financial planning services. The firm emphasizes tailored asset allocation and a long-term, buy-and-hold investment approach, incorporating a range of asset classes including equities, fixed income, and alternatives.

Wealth management Real estate investing Executive
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Thomas B

CFP®, CFA®, Series 63, Series 65

Poughkeepsie, NY

D'Arcangelo Financial Advisors, LLC

Thomas Betros is a CFP® and CFA® with eight years of experience in financial advisory. He is currently with D'Arcangelo Financial Advisors, LLC, where he has worked since 2025. His prior experience includes roles at Fidelity Investments, Northwestern Mutual, TD Ameritrade/Charles Schwab, and Commonwealth Financial Network. D'Arcangelo Financial Advisors provides fee-based investment advisory and financial planning services to a range of clients, including employer-sponsored retirement plans, trusts, estates, and charitable organizations. The firm focuses on pension and 401(k) plan consulting, using a long-term investment approach that incorporates mutual funds, ETFs, and selected alternatives guided by written policy statements and periodic reviews.

Wealth management General tax planning Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Retirement withdrawal strategies Founder/Business Owner
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