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New York City Advisors

Morgen Beck Rochard
Brooklyn, NY
Firm
Origin Wealth Advisors LLC
Biography

Morgen Beck Rochard, CFA, CFP® serves as the Managing Member for Origin Wealth Advisers. Morgen has extensive experience in capital markets, trading, and risk management. Prior to founding Origin, Morgen managed portfolios at UBS Financial Services for high net worth investors. She also worked at Merrill Lynch providing financial analysis for a large private wealth team. Morgen previously traded for Trinity Derivatives Group as an equity options market maker. She focused on arbitrage and trading volatility in a market neutral portfolio. Throughout her career, Morgen has emphasized disciplined risk management. 

Morgen holds the Chartered Financial Analyst® designation and is also a CERTIFIED FINANCIAL PLANNER™ practitioner. She earned a Bachelor of Science Degree in Health Science from Boston University. Active in the New York community, Morgen is a member of the NY Society of Security Analysts where she serves on the Private Wealth, Global Investment and Alternative Investment Committees. She is also a member of CFA Institute. In her free time, Morgen spends time with her husband in Brooklyn. She enjoys martial arts, plays the piano and loves to cook.

Carl Friedrich
New York, NY
Firm
FCE Group, Inc.
Biography

Carl Friedrich joined FCE Group in 2014, and serves as Managing Director. He has an extensive background in portfolio management and client advisory services, having previously served as Chief Investment Officer of Piermont Group. Carl helped launch the Equities Relative Value Team at Goldman Sachs, where he advised and traded for hedge fund clients from 2001 to 2009. Earlier in his career, Carl also worked as a derivatives trader and investment banking analyst.

Carl oversees portfolio management, which includes screening, recommending and monitoring investments including equities, fixed income and alternative investments.  He also researches, designs and implements derivative hedges to minimize portfolio volatility. He manages ongoing due diligence for model portfolios, performs risk analytics including beta decomposition, risk attribution and Monte Carlo analysis, and develops portfolio analysis tools including “correlation-spike” sensitivity analyses.

 Carl holds a Bachelor of Science in Economics from the Wharton School at the University of Pennsylvania. Carl is a CFA® charterholder, Financial Risk Manager (FRM), Enrolled Agent (EA), and Certified Financial PlannerTMProfessional (CFP®).

Cindy Sterling
ChFC, RLP
New York, NY
Firm
Sterling Financial Planning
Fee Structure
Fee-Only
Biography

Cindy Sterling founded Sterling Financial Planning with a vision in mind: to provide clients with unbiased, objective, Fee- Only Financial Planning Advice. Since starting the firm in 2004, Cindy has helped hundreds of clients explore their dreams, evaluate their goals, and then develop understandable plans to achieve them. According to Cindy, 

A graduate of the University of Pennsylvania in economics (B.A.) and psychological services (M.S.Ed), Cindy secured her Chartered Financial Consultant (ChFC) certification in 1997. Cindy is also one of a very small number of advisors who earned the Registered Life Planner (RLP) certification from the Kinder Institute.

 Cindy is also a member of the Garrett Planning Network, a network of Fee-Only advisors, and the National Association of Personal Financial Advisors (NAPFA), an internationally recognized organization for financial service professionals dedicated to championing the financial planning process.

 Prior to starting Sterling Financial Planning, Cindy served as the director of gift planning at Vassar College for nine years. As a published authority on women’s philanthropy and non-traditional financial, estate, and gift planning, Cindy is also a frequent and award winning speaker at financial, educational, and gift planning conferences around the country. She still consults on charitable gift planning with Washburn & McGoldrick, LLC., a comprehensive development consulting firm. 

 Cindy splits her time between New York City and Portland, Maine. She is also an avid fitness enthusiast and distance runner.

Ken Nuttall
New York, NY
Firm
Acorn Financial Services, Inc.
Biography

Ken Nuttall received a Bachelors of Science degree with a double major of Finance and Marketing from University of Delaware in 1999 and a Masters of Business Administration from Pace University in 2006.  After college, Ken spent 17 years working in various risk and trading roles at JP Morgan Chase.  All throughout his career at JP Morgan Chase, he had a strong interest in helping people with their personal finances and decided to pursue this interest by moving to Acorn Financial, where he could assist families and businesses in financial planning, investments, retirement and insurance.

Ken enjoys helping families with strategies for the accumulation, distribution and the protection of wealth, college funding and retirement planning.  Ken enjoys learning about his clients’ needs and goals and then educating them as to the different options available by using the appropriate financial products and services to help to achieve that goal.  To achieve financial goals, Ken believes that everyone should have a financial plan  and works with clients to create and implement these plans.

Ken also works with businesses in the design and implementation of employee benefits, retirement plans, 401(k) and group benefits.

In addition to holding his Series 7 and Life & Health Insurance licenses, Ken holds a CERTIFIED FINANCIAL PLANNER™ designation.

Ken was born in Wilmington, Delaware and raised in Hockessin, Delaware. He currently resides in New York City with his wife Brenda.    

Wen Jie (Jackie) Lin-Ham
Brooklyn, NY
Firm
Brewster Financial Planning LLC
Biography

Jackie Lin received her B.A. degree in Computer Science from the University of Rochester in 2000. After graduation, she worked as a computer programmer and business analyst for six years at a large insurance company. In 2005, Jackie decided to follow her passion and changed her career to fee-only financial planning. She started as an associate at Eldridge Financial Planning LLC, a fee-only planning firm, and joined Brewster Financial Planning LLC in 2008.

After obtaining her Certified Financial Planner™ certification in 2009 and her Enroll Agent license in 2012, Jackie has gained extensive experience in financial planning and investment management.  In addition to her financial planning responsibilities, Jackie oversees the operation of the firm and trains new financial advisors. 

Jackie is also an active member of the Financial Planning Association of New York and a long-time volunteer in their community service program.

Troy Dixon
New York, NY
Firm
Hollis Park Partners
Biography

As Troy Dixon sees it, the dream of a house with a white picket fence is quintessentially American. Because of his background in structured products trading, specializing in the mortgage market, he has seen the ebb and flow of American Dream—particularly in a volatile, dynamic mortgage market.

With over 20 years of experience in trading structured products, Troy Dixon is a seasoned, accomplished investor who has managed multi-billion dollar portfolios and traded in a variety of agency pass-throughs securities such as TBAs, specified pools of mortgages, and other mortgage derivatives. He has created significant value and return on investment for his shareholders.

In particular, Troy is notable for his deep understanding of the complex, varied nature of the mortgage world—a market that has seen considerable change and turmoil since the 2008 global financial crisis. From his time in dealing with this ever-changing market, Troy is well-positioned to offer guidance on its many nuances.  This includes minimizing risk in unstable portfolios, how the market has changed in light of new government regulations, and how to take advantage of today’s technology to maximize consistent, long-term returns through structured products.

He is currently the Founder, Managing Partner, and Chief Investment Officer of Hollis Park Partners LP (“Hollis Park”), a registered investment firm named after his hometown in Queens, NY and where he lived in Duane Park, Tribeca. Hollis Park specializes in managing strategies that include the entire spectrum of structured products including both agency and non-agency securities.  These include and are not limited to structured rates, structure derivatives, and structured credit.

As testament to its long-term outlook and value proposition, as well as Troy’s steady leadership, Hollis Park received $50 million in seed funding from GCM Grosvenor; one of the world’s largest independent alternative asset management firms.

Troy believes that diversity is what makes all organizations strong, allowing them to be adaptive and flexible by drawing on a wide range of views, beliefs, and mindsets. In every facet of his work, Troy has made an effort to include minorities and women in prominent positions and create more opportunities for these historically underrepresented groups in business.

Prior to founding Hollis Park, Troy was the Head of the RMBS Trading Group at Deutsche Bank, leading a team of 70 traders and about 100 business staff.  During this time, he also served on two executive committees within Deutsche Bank: the Corporate Banking and Securities Americas Executive Committee and the Rates and Credit Trading Executive Committee.  In both committees, Troy helped manage the business and provide strategic direction for his group and the firm.

Additionally, during his time at Deutsche Bank, Troy Dixon served on the RMBS Executive Board of the Securities Industry and Financial Markets Association (SIFMA), an industry-wide trade association for the finance sector. SIFMA communicates and coordinates with various federal, state, and local authorities, providing representation and a single, unifying voice for the interests of asset management firms, securities, and banks.

Prior to his time at Deutsche Bank, Troy was the head of Pass-Thru Trading, first at Credit Suisse and later at UBS.

As further proof of Troy Dixon’s experience and prominence in the finance world, a number of industry trade groups and outside observers have bestowed a variety of awards and recognition upon him.  In 2015, he was named as one of Institutional Investor’s Hedge Fund Rising Stars. He is also one of Investment Dealers Digest’s “Top 40 under 40.” Black Enterprise Magazine named Troy Dixon one of the “Top 75 Most Powerful Blacks on Wall Street” and one of the “Most Powerful Players Under 40.”

Shannon McLay
New York, NY
Firm
Financial Gym
Biography

Shannon McLay is the founder and CEO of the Financial Gym. Shannon graduated cum laude with a degree in Business from Wake Forest University in 2000 and has since worked in financial services for the last 17 years. Her experience is in Institutional Sales, Retail Sales, Hedge Fund Sales and management. She is the author of 'Train Your Way To Financial Fitness' and her own blog Financially Blonde as well as a contributor to AOL, LifeHacker, Huffington Post, US News & World Reports, Budgets Are Sexy, Frugal Rules and others.

After years of working for a big bank including working as a financial advisor for Merrill Lynch, Shannon was inspired to create a financial services company that actually cared for it’s clients and provided them the services they needed. Most financial services companies only care about you as far as they can sell you products like investments, bank accounts, credit cards, loans and insurance policies. They also want to give you technology and apps to solve your financial problems; however, something Shannon and her team know at the Financial Gym is that money is personal and people aren’t algorithms.

Shannon hosts the award winning Business and Investing Podcast – Martinis and Your Money – Living a Better Life One Cocktail At a Time and is dedicated to helping people achieve financial freedom, which is how the Financial Gym came to be.

Robert Hernandez
New York, NY
Firm
Main Street Associates
Biography

Robert Hernandez and his team at Main Street provides financial planning and CFO-style strategy services by CERTIFIED FINANCIAL PLANNER™ professionals to small business owners and entrepreneurs. They make small business finance accessible and as simple as possible. Entrepreneurs, solo-preneurs, freelancers, side-hustlers, independent contractors, franchisors and small business owners of all types.

Robert and his team love small businesses, their owners and their families because after all - they are one too. Their small business focus gives them special insights into their challenges and needs, especially when the business provides primary income to the family. Their approach uses an integrated planning model to support small business owners and their families as they make important life decisions.

So if you find the idea of financial reporting, taxes, and bookkeeping a distraction and has your head spinning, leverage the expertise of Robert's CERTIFIED FINANCIAL PLANNER™ professional to bring it all together and take the guesswork out of growing your business.

Zachary Scott
New York, NY
Firm
Clearfront Advisory
Biography

Zach feels strongly about helping clients achieve their financial goals, taking pride in providing superior customer service to ensure that their needs are continuously met and expectations are exceeded. He enjoys developing strong relationships that improve clients' financial peace of mind and inspire trust. He holds FINRA Series 7 and 66 securities registrations through Commonwealth Financial Network®.

Prior to joining Clearfront Advisory, Zach spent seven years working in a variety of non-governmental and philanthropic positions, including roles at the Rockefeller Foundation, Open Society Foundations, and the Aga Khan Foundation USA. Through these opportunities, he obtained firsthand experience in the management of charitable donations, grants, and cooperative agreements. He continues to be involved in the non-profit sector and serves on the Board of Directors for Powering Potential Inc., an NGO focused on providing schools in Tanzania with solar-powered computers and digital libraries to improve educational outcomes. 

Zach lives on the Upper West Side with his wife, Abby, and son, Noah. He graduated from Indiana University with a BA in history and Spanish. He also attended Georgetown University, receiving an MA from its School of Foreign Service. Additionally, Zach served as a Peace Corps volunteer in Romania. He is conversant in Spanish and Romanian.

Matthew Hague
CFP®
New York, NY
Firm
Guide Wealth Management
Fee Structure
Fee-Only
Biography

Matthew Hague is passionate about financial literacy and helping people achieve their goals. Guide Wealth Management is a private wealth management firm headquartered in New York. The firm was born out of a desire to provide a sophisticated wealth management solution which puts the client first. Matthew and his team are trying to bring together the best of the industry, taking best practices from the CFP Board for their planning process, innovative solutions to investments, and tax savvy strategies to ensure their clients grow, and protect their wealth.

Matthew and his team goal is to help clients lead a great life, and be a long term partner to help clients navigate the financial decision making process. They work with retirees, successful entrepreneurs and individuals and families of high net worth.  At Guide, Matthew also appreciates that those starting out have important financial decisions to make, and he is happy to work with the emerging generation should the fit be right.

In his spare time he loves travel, having visited around 60 countries already with his wife Allison, and is looking forward to dragging along their son Dylan with them on many more adventures. He is always happy to hear from you, so feel free to reach out with your questions and if he can help, he will.

Steven Abernathy
New York, NY
Firm
The Abernathy Group II Family Office
Biography

Founded in 1989, The Abernathy Group II is a highly rated professional investment firm with a longstanding audited track record. In June 2010, the company launched The Abernathy Group II Family Office combining Asset Management, Asset Protection, Estate Planning, Financial Planning, and Tax Planning along with other customized services. The firm’s experience and expertise in healthcare led to the establishment of a Physicians’ division for thought-leading medical doctors whose goals include: improving the quality of healthcare, creating wealth, enjoying retirement, and passing assets to the next generation while ensuring their family’s assets are legally protected. 

The Abernathy Group II Family Office is distinguished by its integrated team approach that provides clients with conflict-free, fiduciary counsel from Portfolio Managers, Business Consultants, Accountants, Attorneys specializing in Tax, Estate Planning, and Corporate Law, Security Firms, and other concierge services. We, as the CFO, manage this process for the head of the family, the CEO. The firm does not sell products, yet, has access to nearly every product available publicly as well as an extensive list of select private offerings.

Mr. Abernathy has been featured in many publications, including Fortune, Forbes, The Financial Times, American Medical News, Nelsons Worlds Best Money Managers, Barron’s, Medical Economics, Family Office Magazine, Private Air, Family Office Elite, Private Asset Management, Physicians Money Digest, Ophthalmology Management, Orthopedics Today, The Physicians Personal Advisory, Money Manager Review, Podiatry Management, Anesthesiology News, Hedge Mar, CPA Wealth Advisor, Business Week, Journal of Financial Planning, American Way, Journal of Practical Estate Planning, Biotechnology Investing, Wealth and Retirement Planner, Financial Advisor Magazine, Advisor Today, Journal of Retirement Planning and the cover of Money Magazine, among others, and on various television programs, including CBS MarketWatch, CNN, MSN and Bloomberg.

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