Advisory firms continued to reshape their leadership benches this week, with two organizations announcing high-level appointments aimed at supporting growth initiatives and reinforcing operational oversight.
Atlanta-based Aprio Wealth Management has appointed Courtney Holt as chief compliance officer, adding senior oversight as the firm expands its wealth platform.
Holt will oversee the firm’s compliance program, supervise regulatory risk management and enhance internal supervisory controls. The move signals the firm’s focus on pairing business growth with strong governance infrastructure. She joins from a similar role at Compound having also being chief compliance officer at Perigon Wealth Management for three years.
“Courtney’s background in compliance ensures that as we grow, we do so with discipline, integrity, and a client-first mindset,” said Keith Greenwald, CEO of Aprio Wealth Management. “Her ability to align regulatory rigor with operational excellence strengthens the foundation of AWM. Clients can trust that the strategies we deliver are supported by robust oversight, thoughtful processes, and a culture of accountability.”
Meanwhile, California based World Investment Advisors, a division of World Insurance Associates LLC, has named Jeffrey Sheftic as chief growth officer, placing a veteran wealth executive in charge of organic expansion and advisor engagement strategy.
In the role, Sheftic will direct recruiting efforts, advisor relationship management and firmwide growth initiatives spanning retirement and wealth management businesses. The appointment is designed to align expansion plans with scalable operations.
Sheftic brings more than 30 years of industry leadership, having overseen complex middle-office and investment operations teams serving broker-dealers, RIAs, institutional platforms and retail clients. His experience includes operational restructuring, regulatory framework development, technology modernization and management of multi-location teams in the U.S. and India.
Before joining the World, Sheftic held senior positions at Prudential Financial, Charles Schwab & Co., ADP, Credit Suisse, Capital One and Lincoln Financial, where he worked closely with advisory teams and executive leadership to improve onboarding processes, increase platform utilization and support disciplined, long-term growth.
The firm also announced that Mike Woods, co-founder of Pensionmark and former chief growth officer during the acquisition transition, has been appointed executive vice president of corporate development at World Insurance. In that role, he will oversee M&A activity for the advisory division while continuing to collaborate with firm leadership on growth strategy.
Chicago-based Mesirow Fiduciary Solutions adds flexPATH's plan-level outsourced fiduciary book, boosting its retirement market reach to $164 billion.
Also, Raymond James's employee advisor channel adds breakaways from Wells Fargo and Stifel, while UBS welcomes an ex-Morgan Stanley duo in Indiana.
It promised guaranteed principal and 10% monthly returns. The SEC says it invested nothing.
Ten years after entering the fee-based annuity market, MassMutual Ascend says nearly half its lifetime sales came in the past two years alone – but barriers remain among fee-only advisors.
Amplify, WealthReach, Zeplyn and Zocks have unveiled partnerships aimed at automating portfolio management, content creation, account opening, and client communication.
Northern Trust’s Ken Lassner shows advisors how to convert volatility into after-tax portfolio gains
Dan Biagini of American Equity says the steady decline of pensions, longer lifespans and a reset in interest rates are rewriting how advisors build retirement income
