Executive Recruiting
We match great people with great companies, and great companies with each other
Network. Learn. Grow.
Gladstone Group’s Annual M&A Conference is the wealth management industry’s premier event for successful Registered Investment Advisors who want to learn more about how to surpass their firm’s goals via a merger or acquisition.
The audience is RIAs, the format is engaging, and the business opportunities are plentiful.
CEO, Gladstone Group Inc Philadelphia
President, Gladstone Associates LLC Philadelphia
Senior Managing Director, Gladstone Group Inc San Diego
President, DAK Associates Philadelphia
Chief of Staff, Gladstone Group Inc Philadelphia
Senior Consultant, DAK Associates Philadelphia
Senior Advisor, Gladstone Group Inc Philadelphia
Analyst, Gladstone Associates LLC Philadelphia
Senior Advisor, Gladstone Group Inc. Philadelphia
Client Services/Recruiting Assistant, Gladstone Group Inc. Philadelphia
(Fractional) Chief Marketing Officer, Gladstone Group Inc. Philadelphia
Gladstone Associates, established in 2006, provides M&A advisory solutions to the national RIA sector, encompassing Wealth Managers and Asset Managers. As Founder of Gladstone, Dan shares in setting firm vision and strategy, works with Enterprise Clients, and oversees all operational and branding functions. Dan is also founder of D.A. Kreuter Associates, Inc. (“DAK Associates”), a national retainer-based executive search firm with decades of search success (2,500+ searches) on behalf of the global financial services community. He co-founded two successful FinTech Businesses, Coates Analytics (now BNY/Mellon Distribution Analytics) which provides productivity software on behalf of Money Managers and Advisory Platforms; and Gladstone Analytics (sold to Truelytics, purchased by Envestnet in 2022), a SaaS solution for Valuation analytics, benchmarking and business process improvement to the RIA space. Dan recently served as Chairman of the Advisory Board for Chalice Financial Network, a national peer-to-peer association group for Independent Advisors; and is on the Editorial Advisory Board of Real Assets Adviser, a leading Alternative Investments publication with over 65,000 readers in the wealth management sector. He currently serves on the Advisory Counsel for AlphaTrAI, a San Diego-based AI/Machine Learning quantitative asset manager.
Dan conducts his business & personal life by a simple maxim (credit to Karl Lagerfeld) “There are no problems – just good solutions and bad solutions”.
Mike serves as President of Gladstone and has more than 20 years of experience in the financial services industry. A 1994 graduate of Temple University, Mike was an Officer of Commerce Bank and Vice President for TD Ameritrade prior to joining Gladstone in 2006. Mike and his team have provided strategic guidance to hundreds of closely-held Advisory businesses and successfully navigated the sale of numerous RIAs inclusive of multiple Billion Dollar+ AUM firms. He focuses on providing timely, objective, and comprehensive business and financial advice to craft specific solutions that balance Clients’ needs while addressing the hard realities of running a successful business.
“When the time comes to monetize & transition the business you have built over a lifetime, engaging with Gladstone will ensure the best terms, structure, cultural match & consideration for you, your team, and your clients.”
Derek Bruton is Senior Managing Director of the Gladstone Group, based in our San Diego, CA office. He provides M&A advice and investment banking support, while also leading the Strategic Growth Consulting division of Gladstone Associates. Derek brings a unique combination of M&A, RIA, RIA custodian, and Broker/Dealer experience to the institutions and advisors he counsels.
A proven strategic and sales leader in the financial services industry for 30 years, Bruton has served in executive positions with leading RIA custodians such as Charles Schwab, TD Ameritrade, and LPL Financial. He has led the recruiting of over 10,000 financial advisors in his career, and has assisted with the strategy and growth of over 20,000 advisor businesses and institutions serving the wealth management industry. With a strong understanding of business models ranging from 1099 independent to captive W2, and compensation structures from commission to fee-based to hybrid, Bruton has deep strategic and operational experience which distinguishes the guidance he provides to clients.
Bruton graduated from Stanford University, and has completed executive business management course work at Harvard University. Bruton played collegiate basketball for Stanford, and professional basketball in Japan.
“After several decades of leading teams and personally helping RIAs optimize their Revenue Growth and Practice Management, I bring a distinct competitive advantage when the time comes to Buy, Sell, or Merge their business.”
As President of D.A. Kreuter Associates Inc, Steven is principally involved in driving firm revenues, managing client company relations, setting strategic direction, and managing and directing the day-to-day efforts of DAK’s team of search professionals. Never having strayed from the front-lines of the business, Steven personally manages key search initiatives for clients across all phases of the process, and has hands-on recruited hundred of highly regarded industry professionals. In addition to his primary role at DAK, Steven has also made a number of key contributions to the organization, including the creation of DAK Candidate Mapping, and has been a major contributor to the Envestnet Institute on Campus Initiative. He also acts as a Senior Advisor to DAK’s affiliated M&A Advisory firm, Gladstone Associates LLC. Steven resides in Philadelphia with his wife Jennifer, son Brannen, and daughter Isabel. Steven earned his FINRA 79 license in 2022.
“Information, Insight, and Intelligence — these are the common denominators for our clients and for us, whether you’re looking for the best candidate, the most competitive data, or a more elaborate lift-out or transaction to fulfill your company’s strategic vision.”
Every company has a foundation that they can count on to take care of internal administrative, service, and back office functions; Ashley fills that role for Gladstone. Prior to joining Gladstone, Ashley has worked in the financial services industry with Advisors and clients in Wealth Management and is highly committed to delivering the Gladstone value of exceptional client service working closely with the entire team on all operational aspects of client services in a timely, efficient, and professional manner. Ashley studied Accounting & Finance at Widener University.
“My day ends when my work is done. The more demanding the assignment or project, the better I like it!”
Following a successful career as an Insurance Broker, Mike joined DAK as a recruiter in 2011, supporting clients on key initiatives. His successful search accomplishments span Sales-Marketing-Analysts-Investment Bankers-Back Office & Leadership roles for myriad Financial Services firms inclusive of Asset Managers, RIA Wealth Managers, Crypto-Currency providers and Insurance Cos.
Mike attended the University of Scranton, graduating in 2007, with a BA in History, and was a four year member of their Basketball Team. He resides in suburban Philadelphia with his wife Breanne and their three children.
“Our clients don’t just hire us to do what they can do for themselves. They know we can truly get into a candidate’s head, looking beyond the edited highlights of a resume. It’s the time we spend and the intuition we bring that lets us identify & secure candidates who are both top talent and the right cultural fit for a company.”
Nick Worontzoff has over three decades of financial service experience. He is a Founder and Managing Partner of NW3, a placement agent in venture capital. Most recently he was the Managing Director for an Austin, TX based Private Equity Real Estate firm and prior to that Head of Business Development and a minority owner at Evermore Global Advisors, an asset management firm providing investment advisory services for mutual funds and institutional accounts in separate Global and European strategies. Nick was the director of sales at Clearbrook Financial, a leading provider of fee-based managed account services to the institutional investment community. From 1995 to 2007, served in a number of sales and senior sales positions at Fidelity Investments, directing sales and marketing for Fidelity’s Registered Investment Advisor Group in the Mid-Atlantic and East Coast regions.
“Significant long-term relationships in the RIA space don’t happen by chance. It takes mutual trust, follow-up and the proven ability to add value.”
Jaime is a Senior Advisor with over 25 years of experience in the financial services industry. In his current role, Jaime collaborates closely with Gladstone’s Senior Management on business development and execution of selected M&A, valuations, and other strategic advisory engagements.
Prior to Gladstone, Jaime co-founded Park Sutton Advisors, an investment banking boutique based in New York. At Park Sutton Advisors, Jaime focused on middle-market M&A and strategic advisory work in the financial services sector for over 10 years working with asset and wealth managers, broker-dealers, and fund administrators globally, advising on dozens of successful Sell-side and Buy-side engagements.
Prior to Park Sutton Advisors, Jaime spent a decade advising Latin American high-net-worth individuals and families representing over $500 million in assets on behalf of HSBC Private Bank and Citigroup Private Bank.
Jaime holds a Bachelor of Science in Business Administration from the University of Lima, Peru. He also holds a Master of Business Administration in Finance, Marketing, and Strategic Management from The Wharton School of the University of Pennsylvania.
“A seasoned and accomplished Investment Banker balances the Financial, Legal and People aspects of a transaction in a highly strategic manner. The result is a successful win-win for all parties.”
Lucas serves as an Analyst for Gladstone, where he is responsible for Research, Financial Modeling and Company Valuations. Prior to Gladstone, Lucas gained experience while working at FS Investments and Cigna Healthcare. Lucas graduated from Drexel University with a Bachelor’s of Science in Finance in 2019 (Cum Laude), and came to Gladstone’s attention as a participant in the Gladstone/ Drexel Co-op program.
“Mastering and integrating spread sheets, P&L’s and Balance Sheets while harboring technology will ensure a successful outcome; but truly listening to clients helps to add value to Valuations.”
Michael joined the Gladstone Group assisting DAK Associate’s executive search team in 2016, identifying new client engagement opportunities.
He is part of the Gladstone M&A Brokerage organization, with responsibility for advising prospective clients on matching up to Gladstone’s services.
A 1990 graduate of Fordham University, Michael was a successful Wholesaler across multiple products and channels on behalf of prominent Asset Management firms including Fidelity, Nuveen and Nationwide Financial.
He resides in Philadelphia and enjoys coaching his two young sons and managing his Real Estate investments.
“Spending multiple decades serving Advisors has put me in a unique position when the time comes to transition or expand their business.”
Ali is the founder and president of Amplify Your Voice, a consulting firm that provides fractional chief marketing officer services. As a corporate marketing advisor who has seen many sides of the business, Ali brings 22+ years of financial services marketing leadership experience along with her emotional intelligence expertise to help firms grow and thrive. Ali has developed people and teams (including marketing and practice management teams), helped build, merge, and grow businesses, implemented new ideas to grow brands, and partnered extensively with sales professionals. She holds a bachelor of science from Purdue University, a master of business administration from Texas A&M University, and a Ph.D. in advanced studies in human behavior from Capella University. She also holds certifications with Multi-Health Systems to administer EQ assessments and lead EQ training workshops.
RIA Wealth Managers, Private Equity Funds, Fin/WealthTech, Banks & Insurance Cos, Money Managers and Family Offices recognize that having the best advice and representation is critical to achieving success.
Valuations & Consultations
(Partial Listing)
Trust your most critical, confidential and complex searches to DAK ASSOCIATES: Intelligent Search® since 1979.
National Sales Manager
Secured a head of business development for the investment platform a prominent East Coast Broker-Dealer owned by a top-10 Insurance Company.
President Life Insurance Company
Successfully executed a presidency search for a Top 20 Life Insurance company with over 500 employees seeking to employ an aggressive growth strategy.
President and Chief Revenue Officer
Successfully installed a President for a “Top 5” global Property & Casualty Insurance Company and major Insurance brand. The President is responsible for leading strategic growth and multiple operating units including a national Agency force, Life Insurance Company, Insurance Brokerage Unit, and a Broker-Dealer.
Chief Administrative Officer
Successfully executed on a CAO search for a $55B AUM asset manager and majority-owned subsidiary of a leading regional banking institution. The CAO is responsible for leading all back office and operational infrastructure of the firm spanning Fund Administration, Trade Settlement, Client Reporting, Client Service, and IT, and bringing about process improvements in anticipation of organic/inorganic growth objectives.
Chief Compliance Officer
Successfully executed on a CCO search for a $55B AUM asset manager and majority owned subsidiary of a leading regional banking institution. The CCO is responsible for overseeing investment adviser compliance, mutual fund compliance, and leading and managing a team of 5 professionals.
Chief Financial Officer
Successfully executed on a CFO search for a multi-billion dollar Texas based financial services firm with business operations spanning Retirement, Wealth, Consulting and Cyber Security.
Chief Technology Officer
For a nationally recognized Values-based Financial Services organization that provides Retirement Solutions, Investment Products, Insurance and other benefits and services across its Affinity Group/Client Constituents (Individuals, Families, Ministries, Hospitals and Universities).
Chief Financial Officer
Successfully recruited a CFO for a cutting-edge Trading Firm with offices in Austin.
Director of Marketing
Installed the Director of Marketing for a Charlotte based financial services firm that has over $54 Billion in assets under management (Mutual Funds accounting for $5+ Billion) overseen by 150 investment and client service professionals. The Director of Marketing will manage staff, and bring an understanding of Asset Management distribution and client engagement.
Director, Corporate & Marketing Communications
Successfully secured a Director of Marketing for a $500 Billion AUM global asset manager. The Director is essentially the Chief Marketing Officer responsible for setting and executing a strategy around branding, marketing communications, digital marketing, product marketing, and investor relations, along with the management of a 25-person team.
Head of Internal Sales
Successfully carried out a search for a Head of Internal Sales for a $496 Billion AUM “Top 50” global asset manager. Firm has broad asset class capabilities spanning fixed income, equities, alternatives, and real assets and distributes across retail intermediary and institutional channel segments. Head of Internal Sales is responsible for leading a team of 22 sales professionals and managers within the intermediary channel, and responsible for implementing strategy, structure, process, skills development, and a culture of accountability within the internal sales ranks.
Head of Insurance Sales
Successfully carried out a search for a $47 Billion AUM asset manager and “Top 10” ETF provider. Firm manages unique and distinctive strategies spanning hard assets, emerging markets, fixed income and equities. The Insurance sales professional is responsible for forging relationships and building a business within the Insurance General Account sector with a suite of NAIC rated ETF strategies. Individual is also responsible for taking the reins of, servicing and growing an existing $3 Billion + Insurance sub-advisory business.
Head of Institutional Sales
Installed the Head of Institutional Sales for a $45B AUM New York based asset manager and “Top 10” ETF provider. The Head of Institutional leads a team of 6 professionals spanning Corporate/Public/E&F/Insurance/Bank Trust.
Head of National Accounts
Successfully executed on a Head of National Accounts search for a New York City based Real Estate investment firm specializing in institutional caliber real estate strategies in partnership with leading investment banks and private equity firms. The Head of National Accounts is a player /manager with responsibility to lead from the front in managing key relationships while also guiding and overseeing a team of 3 key account professionals.
Head of Relationships
Installed the Head of Relationships for a nationally recognized RIA aggregator and investment platform provider. The Head of Relationships is responsible for managing and servicing all affiliate wealth firms under the parent umbrella and helping to take their businesses to the next level.
Regional Director
Successfully secured a Regional Director-West Coast for a $200B+ AUM quantitative investment manager and leading provider of Alternative Investment strategies. The regional Director is responsible for covering large Wealth RIA’s, Multi-Family Offices and Regional Trust Banks.
Senior Channel Manager
Senior Channel Manager for a market share leader in Alternative Investments tasked with growing a presence in non-traditional distribution outlets (Law Firms, Trust Companies, RIA’s, and Association Groups).
(Partial Listing)
Trust your most critical, confidential and complex searches to DAK ASSOCIATES: Intelligent Search® since 1979.
Our client is a rapidly emerging and leading disruptor within the Digital Assets/Crypto realm offering a broad street of strategies spanning Bitcoin Trust, Polkadot Trust, and Algorand Trust. DAK performed the following searches…
Our client is considered to be the second largest Asset Manager within the Digital Assets/Crypto realm and now in its 5th year in operation. The firm offers a broad street of strategies and exposures spanning Trust and ETF/ETP delivery vehicles. DAK performed the following searches…
Our client is a leading service provider and the dominant market share player in Staking services for the Digital Assets/Crypto realm, and now in its third year of operation.
(Partial Listing)
Trust your most critical, confidential and complex searches to DAK ASSOCIATES: Intelligent Search® since 1979.
Senior Advisor – Identified and secured a HNW Advisor with a $150M aum book, exiting a Global Bank to a boutique Multi Family Office.
Portfolio Manager – Successfully installed a Portfolio Manager (PM) for a $1.4 Billion AUM Wealth RIA that builds and delivers customized and comprehensive investment portfolios for HNW/UHNW individuals and families. The PM is responsible for managing approximately 40 client portfolios in keeping with the firm’s investment process and philosophy.
CEO – Successfully installed a CEO for a $1.4 Billion AUM Wealth RIA that provides truly holistic wealth planning to ultra high-net-worth individuals and families ($25 Million +) spanning investments, sophisticated insurance and estate planning, charitable planning, and business consulting to owners of closely held businesses. The primary stakeholder is planning his exit from the business and is sunsetting within 3-5 years. The CEO has responsibility for a 30-person organization with the responsibility for bringing day-to-day leadership, strategic planning, and building and leading a sustainable business into the future.
Head of Wealth RIA – Successfully executed a search for the Wealth RIA affiliate of a Texas-based Financial Services firm. The Head of Wealth is responsible for managing the day-to-day efforts of a fast growing wealth operation, driving process improvements, and devising and executing a strategy for growth.
VP Investments – Successfully executed a search for an East Coast-based $5 Billion AUM Wealth RIA. The VP Investments is a CFA chartered role and responsible for manager search and selection and for vetting all outside investment strategies and solutions for the firm.
Client Advisor – Successfully executed a search for a multi-Billion dollar Wealth RIA that provides holistic wealth services to ultra high-net-worth individuals and families. The firm operates with a high touch “pod system”, and the client advisor is attached to a lead advisor and responsible for providing outstanding service and relationship management to high net worth individuals, households, and owners of closely held businesses.
Client Advisor – Assisted a $1.2 Billion multi-family office in the strategy and selection of “Nextgen” client support professional.
CFP, Fee-Based Financial Planner – Successfully performed a tuck-in of a CFP/Planner for a $200+ Million AUM Wealth RIA based in the Midwest. The firm was looking to bolster their service model and also address future succession planning with the hire.
M&A/Tuck-In – Successfully assisted a $600+ Million AUM Wealth RIA in the pursuit and engagement of $100+ Million AUM Fee-Based Wealth Advisors and Advisory Firms as part of their strategic growth plan.
Director of Investment Operations – Identified and recruited a “change agent” for a multi-billion dollar AUM RIA.
Identified and recruited Head of M&A for an emerging RIA Aggregator, subsidiary of $200 Billion AUM investing and retirement platform.
Whether you were referred by a trusted colleague or simply doing preliminary research, we look forward to a confidential conversation to discover if our skills match your needs. We service the national market with headquarters in suburban Philadelphia.
Thank you for visiting. We look forward to working together!
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