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New York City Advisors

Jay Rosenberg
New York, NY
Firm
Arrival Capital Management LLC
Biography

Jay Rosenberg is the Principal and Chief Investment Officer of Arrival Capital Management LLC. Jay has been a finance and legal professional for almost twenty-five years, as well as an active investor. Jay holds JD (law) and MBA (business) degrees from Columbia University, where he studied value investing, behavioral finance, and valuation techniques from some of the foremost practitioners and academics in the field. He has also passed the NASD Series 65 Exam.

Jay has served in government, as both a federal law clerk and as Deputy Chief of Staff for the Deputy Mayor for Finance and Economic Development of the City of New York. He has also been the Capital Finance Director of a publicly traded education management corporation. Jay graduated Magna Cum Laude from the University of Pennsylvania, where he studied economics and history.

Jay grew up in New York and New Jersey, and graduated from the Horace Mann School. He now resides in Manhattan with his wife, Lilli, and three children.

Lara M. Sass
New York, NY
Firm
Lara M. Sass, PLLC
Biography

Lara Sass graduated magna cum laudefrom University of Pennsylvania, where she minored in Legal Studies at the Wharton School of Business and first became enamored with the practice of law. After summer internships at Katten Muchin Rosenman LLP (formerly, Rosenman & Colin) and Schulte Roth & Zabel LLP, Lara confirmed her desire to become an attorney. She then attended New York University School of Law and participated in summer associate programs at Orrick, Herrington & Sutcliffe LLP and Willkie, Farr & Gallagher LLP. Upon graduating NYU Law, Lara began working in Manhattan at Willkie, Farr & Gallagher LLP, where she practiced trusts and estates law for many years, focusing on sophisticated planning for high net worth individuals and their families.

As a mother, Lara understands that the estate planning process is not about clients benefiting themselves; it is about the family members and loved ones who will be left behind when something happens to the client. Estate planning is truly a client's gift to their children and loved ones so that they can have the best transition possible upon the client's possible incapacity and inevitable death. It is for this reason that Lara works tirelessly to provide all of her clients with the most thorough and well-thought-out estate planning possible.

Lara is committed to providing her clients with top quality legal services, delivered in a professional, yet compassionate manner.  Lara drafts both simple and complex estate planning documents, including Wills, revocable living trusts, health care proxies, living wills, powers of attorney, insurance trusts (ILITs), special needs trusts, Crummey trusts, section 2503(c) trusts, testamentary and inter vivos credit shelter and generation-skipping transfer (GST) trusts, qualified terminable interest property (QTIP) trusts, spousal lifetime access trusts (SLATs), qualified personal residence trusts (QPRTs), charitable remainder trusts (CRTs), charitable lead trusts (CLTs), intentionally defective grantor trusts (IDGTs), grantor retained annuity trusts (GRATs), family limited partnerships (FLPs), limited liability companies (LLCs), domestic asset protection trusts (DAPTs) and prenuptial agreements.  Lara specializes in advising high net worth clients on lifetime and post-mortem strategies to reduce gift, estate and GST taxes on transfers of property. 

Every client of Lara M. Sass, PLLC is provided with a highly personalized, concierge level of service.  Lara has a strict policy of returning calls, emails and texts from clients within a few hours.  Lara M. Sass, PLLC has a 24-hour answering service to ensure that a client's needs are always met in a timely manner, even after hours.

Peter Vitale
Staten Island, NY
Firm
Wealth Protection Strategies
Biography

Peter Vitale is an account executive in Wealth Protection Strategies where he manages over 80 million dollars of clients money and advises them with the financial decisions they make in there daily life. His goal is to help his clients make informed decisions about issues that affect their financial well being so they can achieve financial freedom.

Peter believes that planning for the future is a process. It's about understanding what's important to the client, the future as they envision it and how they'll get there over time. It's important for Peter and his team to discuss and understand their clients' goals, objectives and aspirations.

The company's working environment is characterized by teamwork, trust and cooperation. Peter and his team work together to serve their clients. He honors their commitments and holds himself and each other accountable. He supports the best in each other and knows he can be part of the best financial services organization in the area. Peter is determined to succeed.

Maura Griffin
New York, NY
Firm
Blue Spark Capital Advisors
Biography

Maura Griffin, CFP®, MBA, is founder and CEO of Blue Spark Capital Advisors. She has held a number of positions in the financial industry over the past 20 years, including UBS Equities Research, Citigroup Private Bank, and The Capital Group Companies. Before that, she was a journalist, and a founder of the Globe Bookstore & Coffeehouse in Prague, Czech Republic.

Maura is a CERTIFIED FINANCIAL PLANNER™ and has signed the “Fiduciary Oath” to uphold and explain the firm’s fiduciary standards. She also has her CDFA™, Certified Divorce Financial Analyst, designation. She graduated from Georgetown University with a B.A. in Literature and earned her M.B.A. in Finance from Columbia University. Maura lives in the Chelsea neighborhood in Manhattan with her son and much of her time working in Lenox, Mass.

John O'Meara
New York, NY
Firm
InnerHarbor Advisors, LLC
Biography

John O'Meara is a principal of InnerHarbor Advisors, a fee based financial planning firm founded in New York City in 2008.

John’s expertise in finance was developed during his 13 years on the trading floor of The New York Stock Exchange. As an independent floor broker with John N. Seip and Company, John guided his institutional and private clients through the great bull market of the late 90’s, the Asian currency crisis, the internet bubble, and the housing generated financial collapse.

His formal education includes the prestigious Regis High School in New York City and SUNY Albany, where he earned his bachelor’s degree in history. John also has a Certificate in Financial Planning from Fordham University and a Master's of Science in Quantitative Methods and Modeling from Baruch College in New York City.

John is one of the select advisors across the country that has become a CERTIFIED FINANCIAL PLANNER™. The CFP® Board of Standards requires adherence to intensive ethical and educational principles.

John is a board member of the Financial Planning Association of New York (FPANY). 

Paul Tramontozzi
New York, NY
Firm
KBK Wealth Management
Biography

Paul Tramontozzi is a registered representative and investment advisor representative of Commonwealth Financial Network. Paul began his career in finance on the floor of the American Stock Exchange in 2001. As an equity options specialist, he upheld an efficient and orderly market and actively managed a book of listed equity options on several public companies. During this time, Paul acquired an advanced knowledge of equity options. After leaving the American Stock Exchange, Paul spent 10 years trading exchange traded funds. By focusing on arbitrage opportunities, he provided liquidity and contributed to an efficient market in several international and fixed income funds. In this role he came to appreciate the efficiency of index based investment products and has an expert knowledge of the mechanics of these products.

Paul is excited to be off of a trading desk, and working with clients to ensure their financial well-being. He believes in a holistic approach to financial planning, and providing a high level of service to help individuals and small businesses achieve their financial goals.

Paul received a Bachelor of Arts degree in Economics from Binghamton University in 2001 and currently resides with his wife and 2 children in Rye, NY.

Jonathan Shenkman
New York, NY
Firm
Oppenheimer & Co. Inc
Biography

Jonathan I. Shenkman is a Financial Advisor, OMEGA Portfolio Manager, and a member of the Shenkman Private Client Group of Oppenheimer & Co. Inc. Jonathan and his team work with clients to recommend an overall financial strategy and put them on track to work towards their financial objectives. In addition to advising more established clients who have already achieved a significant level of wealth, Jonathan is also passionate about working with individuals who are still building their nest egg. He enjoys educating and assisting these “emerging millionaires” to ensure that they develop the right investing and financial planning habits early in their careers.

Jonathan has spent his entire career in the investment business. Before joining Oppenheimer & Co. Inc., Jonathan ran a boutique wealth management practice at Morgan Stanley where he managed the liquid capital for C-level executives, real estate investors, entertainment professionals, and partners at major law and accounting firms. Prior to Morgan Stanley, Jonathan spent time at Merrill Lynch where he was a partner in a financial planning practice that worked with professional athletes and business owners. Additionally, Jonathan has experience working in the research department of several buy-side investment firms.

Jonathan received a B.S. in Finance from Yeshiva University, and an M.B.A. with a concentration in Real Estate from Baruch College. He holds the General Securities Representative License (Series 7) and the Uniform Combined State Law License (Series 66). Jonathan is licensed to sell Life, Disability, and Long-Term-Care insurance in New York, New Jersey, Florida, and California.

Jonathan is actively involved in the non-profit world, especially with his alma mater where he chairs the Yeshiva University Accounting & Financial Planning Network.

Jonathan resides in Riverdale, NY with his family and enjoys traveling, biking, and matchmaking.

Maureen Matamoros
New York, NY
Firm
Financial Partners Capital Management, LLC
Fee Structure
Fee-Only
Biography

Maureen Matamoros was born and raised in Boston, Massachusetts. Early in her professional career, she spent five years living and working in Latin America. She has 25+ years experience in market research and product development, both as a consultant and as a senior executive in the financial services, manufacturing, and consumer goods industries.

As a Financial Planning Advisor, Maureen's responsibility is to guide her clients through the development of a comprehensive plan that is unique to their specific life circumstances -- a plan that effectively provides for the clients' immediate needs and lifestyle, and that also sets in motion the longer-term strategies that will help them continue to build and protect their wealth, and to achieve larger lifelong goals.

Maureen's responsibility to her clients goes beyond just planning. She also partners with her clients and other professional advisors, to ensure their plans get implemented according to the clients' wishes.

Living in CT, with offices in NY and FL, Maureen works with high-net-worth individuals, families, business owners and executives up and down the East Coast. She is fluent in Spanish and has also worked closely with immigrating professionals and their families.

Maureen is an adjunct professor of personal finance, market research and business analysis at Westfield State and Bay Path universities, and is a member and former Education Chairperson for the Hispanic American Cultural Council of Hartford.

Pamela Capalad
Brooklyn, NY
Firm
Brunch & Budget, LLC
Biography

Pamela Capalad is a Certified Financial Planner™ and has been in the financial services industry since 2008. She has spent a lot of those years at wealth management firms. She's based in Brooklyn, NY and serves clients virtually in the New York City area and across the country. Pamela wanted to find a way to help the average person with their finances. She also realized it’s a pretty scary thing for people to face, even though its something people have to deal with every day. One day, she was sitting around a fire pit with a friend who said she really needed help with her money, but was afraid to talk about it. Pamela said they should do it over brunch. Immediately her shoulders untensed and her eyes lit up. “Yes! Let’s do, like, a brunch and budget!” And the rest is history.

Financial literacy education isn’t about investing in the stock market, or starting a business, or budgeting, or credit cards. It’s not about making sure a client is with the right bank, or having the best interest rate, or making the right investment choices.

It’s about empowering people who are normally made to feel vulnerable or weak or helpless, it’s about empowering her clients to take control and recognize that they have the knowledge and confidence to find true freedom and happiness. It’s about educating her clients enough to know who to trust not just with their money, but with their livelihoods.

Pamela has devoted her life to financial literacy. She devoted her life to it because she doesn't expect her clients to do the same. She expects her clients to devote their lives to what they're talented at, passionate about, and find purpose in.

Pamela devoted her life to financial literacy to help her clients get to that place in their life. Life isn’t about cringing every time someone runs their credit card through a cash register or dodging calls from bill collectors. It’s not about the next paycheck, next rent check, next job, next in line.

Kevin Peacock
CFP®, CAIA®
New York, NY
Firm
Astra Capital Management
Fee Structure
Fee-Only
Biography

Kevin Peacock, CFP®, CAIA® is the founding partner of Astra Capital Management. Kevin earned a Master of Science in Financial Engineering from Stevens Institute of Technology, where his research focused on the term structure of implied volatility in various market environments. Kevin is a CERTIFIED FINANCIAL PLANNER™ (CFP®) professional. He also holds the Chartered Alternative Investment Analyst® designation. He received a Master of Business Administration with a Finance Concentration through study at Monmouth University and WHU – Otto Beisheim School of Management. Kevin worked for Ernst and Young’s tax practice upon receiving a Bachelor of Science in Accountancy from Villanova University.

Kevin utilizes a quantitative, evidenced-based approach to investment management and financial planning customized for each client's unique wealth objectives while emphasizing client understanding in the advice he provides.  He also specializes in providing financial planning services for doctors and small business owners.

Mark Martiak
New York, NY
Firm
Premier Wealth Advisors, LLC
Biography

Mark Martiak's 15-year career spans financial services, media and retail. At Premier Wealth Advisors, he serves individual as well as institutional clients, with special focus on the financial planning issues related to family offices, divorce, retirement, trust and estate planning. Mark can be seen as a regular guest on CNBC and FOX BUSINESS NEWS, and is often quoted in The Wall Street Journal.

Mark joined the Premier Wealth Advisors team in April 2009 and is also an Investment Executive and Registered Representative of First Allied Securities, Inc. Member of FINRA SIPC. Mark holds his Series 7 and 66 licenses and is also licensed by various state insurance departments for life, annuities, health and disability insurance.

Mark brings his clients broad-based experience earned at such major corporations as UBS Financial Services Inc, Merrill Lynch, Forbes and Crains, as well as through co-ownership of a Madison Avenue retail clothing store. This unique perspective gives him a deep appreciation of the value of examining both sides of the balance sheet and weighing all aspects in a financial equation. Mark is a graduate of East Stroudsburg University with a dual BA/BS degree; he is fluent in both Russian and Spanish.

A resident of Manhattan for more than 20 years, Mark is a member of the FINANCIAL SERVICES INSTITUTE, fi360, IMCA, Rotary Club of New York and the Society for Human Resource Management. He participates in community and volunteer activities and pursues personal interests in feature film production, travel, weight training and contemporary art. Mark and his wife, Angela, are the parents of one daughter, Audrey.

Sallie Mullins Thompson
CPA/PFS, CFP®
New York, NY
Firm
Sallie Mullins Thompson, CPA PLLC
Fee Structure
Advisory fees, commissions, and fee-only financial plans
Biography

 Sallie Mullins Thompson is a CPA financial planner and tax strategist, who works with small business owners, families, and executive–level professionals who want to address tax, investment, strategic planning, and asset/cash flow protection issues.  Her comprehensive and holistic methodology, which includes a unique tracking mechanism and regularly scheduled life-cycle reviews, is a clarifying process that enables her clients to navigate their financial lives through effective tax strategies. What sets her apart from alternative solutions is that tax ramifications are incorporated into all decision-making, resulting in more disposable income.

In 1996, while in studying for her MBA, Sallie started her business management and consulting practice, providing financial services to professionals, families, and small business owners in the areas of accounting; tax return preparation; budgeting & cash flow projections; payroll reporting; income and asset protection; and college and retirement planning.

In addition, she is a fee-based financial planner and investment advisor; holds licenses to sell variable insurance and annuity products; and has managed the financial lives of her clients since 1994. Sallie reorganized as a NYS PLLC in June 2012. She joined HD Vest Financial Services in May 2012; prior to that, she was with Mass Mutual for two years. Before beginning her financial services practice, Sallie spent 20 years with IBM in NYC and Houston as a marketing representative, system engineer, and project manager.

In 2012, Sallie was awarded the PFS certification, given only to CPAs, by the American Institute of CPAs. She passed the CFP exam on her first attempt in 2011 and attained CFP certification in 2012. In 2002, she passed all four parts of the CPA at her first sitting and acquired her Texas and NY CPA certificates in 2005 and 2010, respectively.

She received her MBA in Accounting from Houston Baptist University in May 2001; has a M. Ed in Guidance and Counseling from Florida Atlantic University in Boca Raton, FL; and obtained her BA in Psychology, English, and Sociology, from Sweet Briar College in Virginia.

Sallie is currently Treasurer of her coop board, since 2008, and was a trustee on the board of the Morris-Jumel Mansion, Inc. from 2007-14, where she served as Treasurer and chair of the Finance, Governance, and Audit committees. She was recently appointed to the Leadership Advisory Council of Women Impacting Public Policy (WIPP), where she has been a member since its inception in 2001 and was a National Founding Partner.

In December 2014, Sallie was appointed by the US Treasury to a three-year term, representing New York, on the Taxpayer Advocacy Panel (TAP), a Federal Advisory Committee, composed of citizen advisers, who act on behalf of US taxpayers by making recommendations to the IRS regarding taxpayer service, satisfaction, and compliance improvements. In 2017 she is serving as the TAP Vice Chair.

Sallie joined the National Association of Women Business Owners (NAWBO), New York Chapter in 2006, where she was VP Governance, chair of the Audit & Nominating committees, Treasurer, and Controller. Prior to that, she served on the Board of the Greater Houston NAWBO Chapter where she held the positions of Treasurer & Public Policy Representative. At the national NAWBO level during the years 2004-06, Sallie was chair of the governing board of the NAWBO PAC and served on NAWBO’s national board of directors.

During her Houston years, Sallie was Director, Treasurer, and Business Manager for her homeowners’ association from 1995 until May 2001. From 1995 until 1999, she was on the Board of Directors and Chairperson of the Finance and Administration Committee at ESCAPE Family Resource Center. She was also a member of the Greater Southwest Houston Chamber of Commerce where she co-chaired its Governmental Affairs task force.

Sallie’s personal interests are animal advocacy, recycling, and public policy issues that affect women-owned businesses. She is the proud mother of daughter Kathryn and doting grandmother of Max and Parker who live in Washington, DC. In 2005, Sallie, after 30 years in Houston, moved back to NYC where she lives in the West Village with her adorable cats, Sprinkles and Snuggles, and her husband, Ralph.

Lauren Prince
New York, NY
Firm
Prince Financial Advisory LLC
Biography

Since 1994, Lauren Prince has practiced as a certified financial planner practitioner, or CFP®. A CFP professional is trained in the areas of insurance, estate planning, taxes, retirement planning, budgeting and debt management, and investments. Four specific steps are needed to receive and maintain the credentials of CFP. These steps include passing the CFP Board’s comprehensive examination; fulfilling an experience requirement; adhering to a CFP Board’s Code of Ethics; and completing thirty hours of continuing education every two years. 

Lauren has also earned the designations of Certified Divorce Financial Analyst (CDFA) and Certified in Long-Term Care (CLTC). As a CDFA, she is qualified to provide financial expertise on divorce cases; prepare supporting data to help in the decision-making process; and educate others on not only the short-term but also the long-term financial impact of different divorce settlement, child support, and pension division proposals.

Lauren is committed to maintaining the highest ethics in serving the public. She is a member and past President of the NY Chapter of the Financial Planning Association; a member of the Family and Divorce Mediation Council of Greater New York; a Board Member of the Estate Planning Council of Rockland County; and a member and past President of the Rockland Business Women’s Network.  She has been quoted in Money Magazine, NY Daily News, NY Post, CNBC.com, Investment News, Bankrate.com, Forbes.com and has presented at numerous functions and organizations in the tri-state area.

Dan Weiskopf
New York, NY
Firm
Access ETF Solutions, LLC
Biography

Dan Weiskopf has over 25 years of experience on Wall Street including 10 years as an ETF Strategist and Portfolio Manager. Dan founded Access ETF Solutions to build upon the philosophy that “Structure Matters” when investing. The name Access ETF Solutions highlights this core philosophy and reflects over 30 years of experience in the financial service industry and why Exchange Traded Funds (ETFs) are our chosen investment to tool.

IPI partners with high-caliber financial advisors who are looking to expand their capabilities to best meet their client’s needs. In 2013, IPI Wealth Management, Inc. was named as one of the top 10 fastest growing firms for the second year in a row by Financial Advisor Magazine. The honors include a listing in the Top 50 Fastest-Growing Firms and naming in the top tier of the 2013 RIA Ranking displaying an RIA asset ranking at more than $1 billion. 

The author of the industry-recognized 2010 report “Driving Alpha through Structural Differences,” Dan served as a senior ETF strategist at Forefront Global ETF Strategies and a Vice President in the PMP program at UBS Wealth Management. Prior to that, he founded MH CApital Partners which was a small cap hedge fund that focused on fragmented industries that could benefit from consolidation, marketing leverage and technology innovation. Earlier in his career, he also served in senior analytical roles at American Diversified Enterprises, an affiliate of Allen & Company.

Paulina Rogawski
New York, NY
Firm
Merrill Lynch, Pierce, Fenner & Smith Inc.
Biography

Paulina Rogawski is a Senior Financial Advisor within the prestigious Global Wealth and Investment Management Office at 717 Fifth Avenue in New York City.

Paulina's approach to investing focuses on meeting the needs and objectives of the high-net-worth individuals, foundations and endowments, who are accustomed to her superior level of service. She also provides professional advice to employee benefit plans, which she has been doing since the beginning of her career at MetLife. Drawing on her over twenty years experience and Merrill Lynch's global resources, Paulina develops strategic solutions based upon clients risk tolerance, time horizon and liquidity to address complex needs of individual investors and not-for-profit market. Paulina strives to provide each client with personal attention combined with wide range of services and products.

Paulina's career begun at MetLife where she handled Fortune 1000 companies, senior executives and board members of many foundations and endowments who were seeking her advice and services. She also launched socially responsible investment products at Friend Ivory & Sime. 

Paulina received her B.S. Degree in Mathematics from CCNY and has done graduate work at NYU. She is a member of 100 Women in Hedge Funds,ew York HedgeFund Roundtable and a regular contributor to the Women's Bond Club. Her quest to remain on top of the newest trends in the global financial and specifically retirement services have lead her all through Europe, using her language skills as an entre to attend many European conferences. She is an Enrolled Actuary and a member of the New York Society of Security Analysts (NYSSA). She resides in Manhattan and is active in many civic projects.

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