Speaker Profiles

Ms. Cruz leads IN Adviser Solutions and oversees our studies and consulting engagements. She brings more than 20 years of financial services industry experience. She is a highly-rated speaker at national industry conferences and a regular columnist for InvestmentNews on practice management related topics. Prior to joining IN Adviser Solutions, Kelli was a director in Advisor Services at Charles Schwab where she focused on Business Consulting Services, Schwab’s practice management solution for advisors. She was responsible for developing and managing practice management programs including Marketing & Business Development, Transition/Succession Planning Services, Compliance Resources, and Human Capital. As the Director of Business Consulting for Schwab Advisor Services, Kelli led the effort to develop and implement a comprehensive human capital program to cover issues from organizational strategy and design, recruiting, compensation design, talent management, and succession planning for RIA advisory firms. In this role Kelli consulted directly to advisory firms on human capital related issues including incentive compensation plan review and design.

Before Schwab, Kelli was with Wells Fargo for 15 years where she was responsible for managing human resources for Private Client Services. She led the development of several investment products for the Institutional Investment Group. As the Director of Human Resources for Wells Fargo’s Private Client Services, Kelli served as the chair of the Sales Incentive Compensation Committee leading the efforts to create a comprehensive sales incentive compensation plan for private bankers, financial consultants, portfolio managers, and trust officers.

Scott has over 25 years of experience providing human capital solutions to the financial services industry and works nearly exclusively with small to large market wealth management firms, banks and their custodians.

Scott’s engagements frequently include the design and implementation of compensation plans, equity reward development, sales incentives, succession planning, organizational development change management, and performance measurement.  Scott’s skill set provides clients with expertise in both the financial and human elements of talent management.

Prior to founding Pepin Consulting, Scott was Managing Principal with the Seabury Group, providing solutions to the global financial services industry, and Managing Director of HR Global Services Group where he worked on global planning and design engagements for mergers, acquisitions and reorganization initiatives. Prior to HR Global Services, Scott led the rewards department and was a director of the talent transformation team at Best Buy, Co. Inc.

Scott is a Senior Professional of Human Resources (SPHR) and is master certified in multiple talent management disciplines. He is a frequent speaker at industry conferences on talent and compensation related issues facing the financial services industry.

Thomas D. Giachetti, Shareholder, is Chair of the Securities Practice Group. A former investment banker and NASD registered representative, Mr. Giachetti’s legal practice is devoted to investmentrelated matters, including the representation of investment advisers, financial planners, broker-dealers, public and private investment companies (e.g., mutual funds, hedge funds, etc.), CPA firms and registered representatives throughout the United States. He also advises claimants and respondents in securities regulatory, arbitration and litigation matters.

Mr. Giachetti is a recognized author and commentator on investment-related legal matters and a frequent lecturer at securities industry compliance seminars, annual meetings, and educational programs throughout the country. He also serves as an expert witness in securities litigation/arbitration matters throughout the United States.

The Securities Practice Group of Stark & Stark represents investment advisers, financial planners, broker-dealers, CPA firms, registered representatives, public and private investment companies (e.g., mutual funds, hedge funds, etc.), and investors throughout the United States. The firm, with over 125 attorneys, and offices in Princeton, Marlton, Philadelphia, Newtown, and New York City serves clients located across the United States and Canada.

Eric Schwartz is the founder, Chairman, and CEO of Cambridge Investment Research, Inc. Over thirty years ago, Schwartz acted with an inspired vision to wholeheartedly embrace the fee approach – long before the term “hybrid advisor” became an industry norm – and in turn led the industry-wide paradigm shift: the development of a hybrid model to support freedom of choice and open architecture fee and commission platforms.

Intent on problem solving, Schwartz continues as an innovator as he leads an industry-wide focus on solving one of the greatest challenges facing independent advisors – business continuity and succession planning. Under Schwartz’s leadership, Cambridge has uncovered a way to help their advisors develop customized and written commitments for long-term succession plans designed with guarantees for funding that include backing by the home office, as well as an executable, multi-level process designed to increase business value and create smooth transition plans.

A graduate of the University of Massachusetts, Boston Schwartz is a member of the founding board of directors of the Financial Services Institute (FSI) and served as the 2009 FSI Chairman of the Board. As a founding member of the FSI, Schwartz helped unify the entire IBD industry, and is particularly proud of bringing smaller firms into the FSI fold. In May 2010, he was honored by Investment Advisor magazine as an icon and one of the 30 most influential people in the industry over the past 30 years.

Daniel Seivert is the CEO and founder of ECHELON Partners – one of the leading investment banks and consulting firms to the wealth and investment management industries. Prior to starting ECHELON, Mr. Seivert was one of the initial Principals of Lovell Minnick Partners, and a buy-side analyst at The Capital Group (American Funds).  Mr. Seivert began his career in the M&A department of Skadden Arps Slate Meagher & Flom. 

Over the past 20 years, Mr. Seivert has worked with over 200 executive teams and boards to help them envision, initiate, and execute a diversity of complex business strategies and transactions.  Mr. Seivert has conducted detailed valuations on over 450 companies; evaluated more than 2,000 acquisition targets and authored 25 reports dealing with the wealth and investment management industries.  During this time Mr. Seivert has served on the Board of Directors of Occidental College, AssetMark Investment Services, and BridgePortfolio.  He has an Advanced Bachelor’s degree in Economics from Occidental College and a Master of Business Administration degree from UCLA’s Anderson School of Management.

At ECHELON, Mr. Seivert has responsibility for all of the firm’s investment banking and consulting activities, which keeps him on the leading edge of the industry’s transactions, strategic initiatives, and the latest in deal structuring.