Dynasty Financial Partners

Dynasty Financial Partners Names Jonathan R. Morris as Chief Legal & Governance Officer

Industry Veteran Brings Depth of Wealth Management Experience and Thought Leadership to Dynasty

Dynasty Financial Partners today announced that Jonathan R. Morris has been named Chief Legal & Governance Officer and will be managing all of the legal and compliance issues at Dynasty. Mr. Morris will report directly to Shirl Penney, President and CEO of Dynasty Financial Partners.

“Jonathan’s stellar experience and track record makes him uniquely qualified to support Dynasty and its continued expansion in the financial services arena. He will be a key contributor with respect to strategic growth and risk management matters relating to all aspects of the firm’s business. He will lead all legal and compliance initiatives for Dynasty while adding to the firm’s intellectual capital that is made available to our network advisory firms. We see Jonathan’s role as critical to the firm’s continued development and expansion,” said Mr. Penney.

Mr. Morris will be responsible for all legal and governance matters including acting as a liaison to Dynasty’s outside counsel, negotiating contracts and representing Dynasty on all legal matters arising from its business. He will also be responsible for developing and maintaining Dynasty’s compliance programs in accordance with applicable rules and regulations.

Dynasty Financial Partners’ Network of advisors has been expanding rapidly over the last year and now has over $13 billion in assets under advisement. In the past 16 months, Dynasty has announced 15 partner firms with 37 advisors in all that have joined its growing network of top independent advisors that utilize Dynasty’s industry leading integrated platform. In 2012, the firm has broadened its geographic footprint by adding independent advisor teams in locations such as Florida, Illinois, Oregon, Texas and Wisconsin.

Mr. Morris has over 30 years of legal experience. He joins Dynasty Financial Partners from Day Pitney where he was Co-head of the firm’s Broker Dealer, Investment Adviser Practice Group. Prior to Day Pitney, Mr. Morris was a Managing Director, General Counsel and Head of Governance for Barclays Wealth where he supported the expansion of Barclays into the private wealth management business in the Americas. Prior to Barclays, Mr. Morris was a Managing Director and the Senior Attorney for Lehman Brothers Investment Management Division. He began his career at Seward & Kissel in New York. He received a JD from Fordham University Law School and a BA from Washington & Lee University.

About Dynasty Financial Partners

Dynasty Financial Partners develops, sources and integrates the finest wealth management capabilities for the industry’s leading independent investment advisor teams. Dynasty offers a customized open-architecture platform of the finest wealth management solutions and technology to help independent advisors best protect and grow their clients’ wealth. Dynasty’s core principle is “objectivity without compromise,” and the firm is committed to crafting solutions that allow investment advisors to act as true fiduciaries to their clients. For more information, please visit www.dynastyfinancialpartners.com.


Dynasty Financial Partners
Sally Cates, 212-373-1000