DOL UNCOVERED

An exclusive event financial and wealth advisors

Meet the Experts

Henry A. Smith, III

Partner, Smith & Downey, P.A.

Henry is a partner of Smith & Downey, a law firm with a national practice concentrating in employee benefits, executive compensation, and labor and employment law. Smith & Downey has offices in Baltimore, New York, Washington, Charleston and Sarasota. Henry has been active in various American Bar Association and Maryland State Bar Association committees dealing with employee benefits and executive compensation, and he is a frequent lecturer and panelist at educational programs dealing with those areas.

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Larry Romano

Regional Sales Manager, eMoney

Larry has spent the last 6 years helping advisors see the value for themselves and their clients by leveraging technology solutions provided by eMoney. He has been in the financial services industry for 15 years. Before Larry’s time at eMoney, he was a wholesaler at Prudential Annuities and prior to that he was a manager for the inside sales team at Lincoln Financial Distributors.

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Aaron Klein

CEO, Riskalyze

Aaron’s career has largely been at the intersection of finance and technology. As co-founder and CEO at Riskalyze, he led the company to twice being named one of the world’s top 10 most innovative companies in finance by Fast Company Magazine. Today, over 115 Riskalyzers 15,000 advisors who have aligned the world's investments with millions of investors' Risk Numbers®. In his spare time, Aaron serves as a Sierra College Trustee, and co-founded a school project for orphans and vulnerable kids in Ethiopia. He has been honored by Investment News as one of the industry’s top 40 Under 40 executives.

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Kyle Van Pelt

Managing Director of Partnerships & Integrations, Riskalyze

As the “Ironman of FinTech,” Kyle keeps Riskalyze at the forefront of the industry with best-of-breed integrations to maximize efficiencies for firms and advisors of all stripes. Riskalyze is the company that invented the Risk Number™ and was twice named as one of the world’s 10 most innovative companies in finance by Fast Company Magazine. Kyle is a graduate of Liberty University and when he is not in super-hero mode, can be found spending time with his family and a finely crafted cup of coffee.

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Michael Sefscik

Director of Institutional Alliances, Riskalyze

Michael has nearly a decade of experience in the financial industry and holds his FINRA Series 7, Series 66, Series 63 and Series 6 licenses. Mr. Sefscik has previously held positions with Absolute Capital Management, PNC Investments, and Federated Investors and earned his Bachelor’s in Economics from Allegheny College. With a passion for problem solving and innovation, he enjoys the high energy, dynamic environment and fast pace of working to help drive the rapid growth of a startup company.

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Robbie Cannon

President & CEO, Horizon Investments

Robbie’s career in finance began in 1994, and has encompassed various aspects of portfolio management including asset allocation, equity analysis and risk management. During his 18-year tenure with the company, Horizon has grown from a small retail RIA firm to a multi-billion dollar third-party investment management group with a national footprint based on its strong relationships with independent advisors, independent broker/dealers and institutional clients. Robbie is a national speaker on topics ranging from asset allocation and risk management to market dynamics.

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Josh Bartholomew

Managing Director & Principal, Horizon Investments

Josh is responsible for Horizon’s national sales. During his 17 year tenure with the firm, Josh has been responsible for a multi-billion dollar sales goal, key account development, and territory management. Prior to Horizon, Josh was a regional account executive at Renaissance World Wide, Inc., a national consulting firm. Josh holds a B.A. from North Carolina at Greensboro and an M.S. from Appalachian State.

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Bradley M. Shepherd

President, Founders Financial Securities, LLC

As the company’s visionary, Brad is responsible for upholding the company’s mission, overseeing Founders’ strategic growth, and Member Partner development. Before joining Founders in 1997, Brad was the Senior Financial Planner with Brooks Financial Group, Inc., specializing in wealth management planning for individuals and business owners. Brad has served on the Board of Directors for the Baltimore Chapter of the Society of Financial Services Professionals, and has served as Vice President for the Financial Planning Association of Maryland. He holds a Bachelor of Arts in Economics from Dickinson College. He also holds the Series 4, 6, 7, 24, 53, 63 and 65 licenses from Financial Industry Regulatory Authority.

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Peter J. Murphy, CFA

Chief Investment Officer, Founders Financial Securities, LLC

Peter leads the firm’s innovative asset management platform, Freedom Capital Management Strategies®, and oversees the comprehensive investment strategies available through the platform. Before joining Founders in 2012, Peter was a member of the University of Notre Dame’s Investment Office with responsibility for overseeing investments in the University’s multi-billion-dollar endowment fund. Peter earned his B.B.A in Finance from the University of Notre Dame and holds the Chartered Financial Analyst® designation.