Dynasty Financial Partners

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Leadership Team

Shirl Penney
Partner, President and CEO
Shirl is the founder of Dynasty Financial Partners and serves as President and CEO. He is formerly Director of Business Development for Global Wealth Advisory Services at Citi Smith Barney and previously served as Head of Executive Financial Services and Director of Private Wealth Management at Smith Barney. During his tenure at Citi Smith Barney’s High Net Worth Group, which catered to the firm’s clients with $50 million or more investable assets, the group was named High Net Worth Platform of the year for 2002, 2003, 2005, and 2006 by Private Asset Management, the private client research arm of Institutional Investor. Shirl is a graduate of Bates College and serves as President of the Clarence E. Townsend Foundation, which supports various individuals and groups in need in his home state of Maine.



Edward C. Swenson
Partner, Chief Operating Officer
Ed is the co-founder of Dynasty Financial Partners and is responsible for strategic oversight of all financial, operational, custodial, legal, and vendor relationships. Prior to joining Dynasty, he was a Portfolio Manager for the Legg Mason Partners Large Cap Growth Fund and oversaw trading, rebalancing and distribution network communications for Smith Barney’s Multiple Discipline Accounts division. Ed is a graduate of both the London School of Economics and New York University’s Stern School of Business. He serves on the boards of Citizens Union and the Urban Assembly New York Harbor School, where he also serves as Treasurer.



Amit Grover
Partner, Chief Financial Officer
Amit serves as Chief Financial Officer of Dynasty. He has over 15 years of experience in the financial services industry. Previously Amit headed Family Office Special Services at Morgan Stanley. Prior to that, Amit was Business Manager responsible for building the administrative platform for Citi Family Office. Prior to joining Citi Family Office, Amit worked in the Strategy Group and was primarily responsible for managing Risk Capital for Smith Barney. Amit also worked as an Investment Banker in the Leveraged Finance Group of Salomon Smith Barney and raised bank and bond capital for companies through highly structured credit deals involving asset-based borrowing facilities, debtor-in-possession and exit financings. Amit earned an MBA from Penn State and holds Chartered Financial Analyst (CFA®) and Certified Financial Planner (CFP®) designations.



Michael C. Brown
Partner, Director of Wealth Management and Capital Markets Services
Michael brings over 30 years of financial services experience to Dynasty, where he leads the wealth management team. Michael began his career as a financial consultant with Merrill Lynch, formed the Special Equity Transactions Group at Bear Stearns and was head of the domestic Private Bank for ING Barings. At U.S. Trust, Bank of America Private Wealth Management, he was named by Barron’s as one of the “Top 100 Financial Advisors.” He is a graduate of Columbia University where he is a Class Chair and sits on the President’s Committee on Athletics. Michael received All-Ivy League honors in both football and baseball. In addition, he serves on the board of Hope & Heroes Children’s Cancer Fund at NY Presbyterian Hospital and the East Harlem Tutorial Program and is a founding member of the East Harlem Scholars Charter School.



Jason W. Pinkham
Partner, Director of Advisor Integration
As Director of Advisor Integration, Jason is responsible for overseeing and ensuring a seamless transition process for advisors as they integrate into Dynasty’s network. Most recently, Jason served as Dynasty’s Chief of Staff, where he managed the firm’s administrative functions and vendor partnerships from its New York headquarters. Prior to joining Dynasty, Jason spent five years working for Major League Baseball and the Pittsburgh Pirates where he had a variety of responsibilities including player development, baseball operations, and marketing. He began his career as a financial advisor with Morgan Stanley and is a graduate of Bates College.



Tim Bello
Partner, Director of Strategic Implementation
Tim’s background lies in the distribution and sale of alternative investment vehicles with a past concentration on multi-manager and single manager hedge funds. Most recently he was Head of Global Platforms for New York based alternative asset manager, SkyBridge Capital, where he was in charge of building and managing the Firm’s platform sales activities. In this position Tim focused on initiating, coordinating, and maintaining relationships with institutional, wealth management, and independent distribution platforms for the SkyBridge product suite on a global basis. Prior to SkyBridge, Tim was an original member of the Permal Group’s US Private Client Platform Distribution Team, where he was tasked with launching and developing the Firm’s US distribution arm and brand. On October 12, 2006 the group successfully launched their first US taxable hedge fund of funds nationally into the marketplace with Merrill Lynch. Prior to his private client experience, he worked on Permal’s Institutional Sales team which involved interfacing with pensions, endowments, and institutional consultants. Mr. Bello has been involved with over $2bn worth of new asset flows into alternative investment vehicles. He also currently sits as Special Advisor to the Board for the Family Office Association in Greenwich, CT and is on the Membership Committee of the Core:Club in New York. He is a graduate of St. Lawrence University.


Jonathan Morris
Chief Legal and Governance Officer
Jon oversees legal, regulatory and compliance for the Firm. He has over 30 years of experience in the industry advising both investment advisors and broker dealers on governance matters. Previously, Jon was a Managing Director, General Counsel and Head of Governance for Barclays Wealth where he played an integral role in the expansion of Barclays into the private wealth management business in the Americas. Prior to Barclays, Jon was a Managing Director and Senior Attorney for Lehman Brothers Investment Management Division. Among other responsibilities, he was on the wealth executive committee, led the new product process at both Barclays and Lehman and while in private practice, chaired his firm’s Broker Dealer/Investment Advisor practice group. Jon began his career at Seward & Kissel in New York and received his JD from Fordham University Law School and BA from Washington & Lee University. He is admitted to the bars of New York and Connecticut, as well as the U.S. Supreme Court. Jon is a member of SIFMA, frequently speaks at industry events, and has written several articles on investment management related matters.



Thomas A. Petrone
Director of Capital Markets
Tom has over 30 years of experience in the capital markets business and joined Dynasty Financial Partners in September 2013 as the Director of Capital Markets. Prior to joining Dynasty, Tom was the managing director responsible for the capital markets franchise within the Citi Private Bank in North America. This included all client related securities transaction and sales activity (equities, fixed income, derivatives, currencies) on the bank and broker dealer platforms. Before his assignment in the Citi Private Bank, Tom spent his career in the institutional equity derivatives business at Citigroup and its prior organizations. Tom held many managing director level leadership roles within the global equity derivatives organization including co-head of the US equity derivatives franchise. This encompassed all trading, sales and structuring activity for institutional, corporate and private clients of Citigroup. Tom served on the Board of Directors of the Chicago Board of Options Exchange and is a graduate of Fairfield University.



Michael J. Moriarty
Director of Investment Platforms
Michael has almost 20 years of experience in financial services, primarily in the hedge fund arena. Most recently he served as Chief Operating Officer (COO) for Citadel Asset Management’s PioneerPath and Surveyor Capital, two equity long/short platforms. Prior to Citadel, Michael was the Managing Director and Head of Hedge Fund Linked Derivatives in the Americas for JP Morgan, responsible for merging the Bear Stearns and JP Morgan businesses as well as managing the combined hedge fund portfolio during the financial crisis of 2008. From 2000-2008 he was with Bear Stearns, serving as Senior Managing Director and Global Head of the Hedge Fund Linked Derivative business from 2003-2008. Michael was named Senior Managing Director at age 33 and in 2007 was appointed to the Firm’s President’s Advisory Council (PAC), a committee of the top 40 executives of the Firm below the Executive Committee. He had direct responsibility for building and managing a portfolio of $12+ billion in hedge funds across all strategies and styles as it related to delivering structured products and for designing the risk management and due diligence framework and processes around the portfolio. Prior to Bear Stearns, Michael worked for GE Capital in their Structured Finance Group developing hybrid equity-linked products from 1997-2000, and from 1992-995 he worked for NationsBank (Bank of America) in the Foreign Exchange Services/IT Group in Charlotte, NC and London. Michael holds a Masters in Law and Diplomacy (M.A.L.D.) from Tufts University (Fletcher School of Law and Diplomacy), concentration in International Finance, and a Bachelor of Arts in History from Davidson College, Phi Beta Kappa.



Ed M.Friedman
Director of Strategic Relationships
Ed Friedman has been in the securities industry for 28 years, the last 3 ½ were spent as part of the early management team at HighTower Advisors. During that time, he served in the positions of Managing Director of Business Development and Managing Director of Advisor Development. Prior to HighTower, Ed spent the prior 22 years with Morgan Stanley, Manhattan, New York. Over those years, he served in the positions of Financial Advisor, Branch Manager and Director of the Wealth Advisor Program. The Wealth Advisor Program supported the top Financial Advisors at Morgan Stanley, providing training and support to attract and work with HNW and UHNW households. During his tenure at Morgan Stanley he served on the Management Committee of the private client business as well as guest speaker on development and compliance topics. He holds FINRA series 3, 7, 8, 63 and 65 licenses. Mr. Friedman holds a BA in Business Administration from Rutgers University and is a graduate of the Executive Education Program at the University of Pennsylvania, Wharton School of Business.



Austin J. Philbin
Senior Vice President,Relationship Management
Austin is a Senior Consultant at Dynasty Financial Partners. Prior to his current position, Austin spent more than five years with Morgan Stanley Smith Barney in a variety of management and wealth advisory positions. During his tenure, Austin assisted financial advisors with financial, retirement, and wealth planning strategies for their High Net Worth Clients. Austin was also involved with the hiring, training, and growth of new financial advisors. Following graduation from Bates College, he spent almost five years in Japan as an English Teacher and Consultant. Austin speaks several languages fluently, including Japanese and Spanish.



Paul Metzger
Chief Technology Officer
Paul joined Dynasty Financial Partners as their Chief Technology Officer in spring 2014. He has over 20 years experience with buy side financial services technology on the institutional and retail sides of the business. He joined Dynasty from Neuberger Berman, where he was a Managing Director and COO responsible for of Global Technology, Operations, and Mutual Fund Operations.
Previous roles include COO at Lehman brothers responsible for Investment Management Technology and Investment Banking technology
Paul has a BA from Earlham College.



Ron Sallet
Senior Vice President Network Development
Ron joined Dynasty in 2014 from Wells Fargo’s independent channel, FiNet, where he was a managing director, co-leading the branch development & marketing team, overseeing 27 states.
Prior to joining Wells Fargo Advisors in 2007, he worked at Citigroup/Smith Barney for 14 years, where he was senior vice president and director of Financial Services Goups in NYC at Citigroup Global Markets. Before this, he worked in various field based roles including; financial advisor, national training officer, assistant branch manager and branch office manager.
Ron earned his bachelor’s degree in business from the Whitmore Business School at the University of Massachusetts Amherst and was enrolled in Babson College’s MBA program.



John F. Sullivan
Senior Vice President, Relationship Management
John spent over twenty years at Morgan Stanley Smith Barney, Citigroup. During that time he served in numerous wealth management roles with increasing scope and responsibility. In 2009, he was named Director of Wealth Planning Centers, a national role geared toward driving deeper utilization of the product platform by Financial Advisors and their clients. Prior to that he was Director of Wealth Management – Central Division and was responsible for a wealth planning group and a business development team catering to the firm’s wealthiest individuals and families. In 2004, he was named Private Wealth Management Director for the Central Division, and worked exclusively with Smith Barney clients and prospects having net worth in excess of $50MM. John is a graduate of the University of Maryland, and holds Series 7, 24, 63 and 65 licenses with FINRA.



Marcus S. Wilson
Vice President, Platform Operations
Marcus joined Dynasty from U.S. Trust, Bank of America/Merrill Lynch’s Private Wealth Management division, where he served as a Client Sales and Service Officer advising ultra-high net worth clients. He was part of the team ranked #28 in the “Top 100 Financial Advisors” list by Barron’s in 2009. Marcus previously served as a Sales Assistant at Banc of America Investment Services’ Premier Banking unit, which he joined in 2007. He began his career at Merrill Lynch, where he provided customer support and managed client investments. Marcus is a graduate of the University of Notre Dame and led the football team to two bowl game appearances during his career.



Becca Knauss
Vice President, RIA &Transition Services
Becca is responsible for transitioning breakaway advisors along with existing RIA’s who are seeking independence through the Dynasty Network. She will also be engaged in advisor services within the Dynasty Network. Prior to Dynasty, Becca worked at Harris myCFO a part of BMO Financial Group as an investment associate within the investment department for 25mm and higher clientele. Here she developed high-value, on-time deliverables including custom performance pages and exhibits in collaboration with Investment Advisors.
Becca spent nearly 4 years at HighTower Advisors transitioning 30 Advisor Teams consisting of $20 billion in assets. She successfully worked with RIA’s custodians and technology providers to transition with professionalism, and perfection. She supported the operational functions for both the RIA and Broker Dealer platforms at HighTower. She is well known in the industry for providing complete service to transitioning clients with availability, knowledge and detailed attention to specific client needs.



Amanda B. Kerley
Chief Compliance Officer
Amanda joined Dynasty from U.S. Trust, Bank of America/Merrill Lynch’s Private Wealth Management division, where she served as Assistant Vice President on a team specializing in client relations, investment management and trust and estate planning for ultra-high net worth clients. In 2009, she was part of the team ranked #28 in the “Top 100 Financial Advisors” list by Barron’s. Amanda joined Banc of America Investment Services and the New York Private Bank in 2006. She is a graduate of Columbia University and is a member of the Columbia College Women Mentor Program.



Michelle Eikrem
Office Manager
Michelle serves as Office Manager of the firm’s corporate headquarters and also as Executive Assistant to the Chairman of Dynasty Financial Partners. Michelle joined Dynasty from Headwaters Capital and previously spent five years as a Senior Executive Assistant in the Corporate Center, the Global Wealth Management and the Global Client Development divisions of Citigroup. She is a graduate of California State University at Northridge. Michelle is also a member of the L.A. Poets and Writers Collective.



David Westcott
Director of Marketing and Communications, Dynasty Marketing Services
David Westcott has more than 20 years as a marketing and media executive promoting some of the largest brands on Wall Street including Citi, J.P. Morgan and Morgan Stanley. As head of Dynasty Marketing Services, Mr. Westcott is responsible for supporting and promoting independent advisor teams with a broad array of marketing strategies and services. Dynasty Marketing Services provides naming, branding, messaging, PR, web sites, brochures and a host of other marketing services. He was Executive Director, Marketing and Advertising at Morgan Stanley Smith Barney. After leaving Morgan Stanley Smith Barney, Mr. Westcott formed Westcott Associates Marketing & Media, LLC which independently services the marketing and media needs of large corporate clients in the Financial Services industry.



Sally Cates
Director of Public Relations and Communications
Sally Cates is a senior communications leader with extensive experience in the financial services industry. As head of Communications for Dynasty, she is responsible for handling public relations for Dynasty Financial Partners and the Dynasty Network of Advisors. She has designed and managed worldwide public relations programs and has strong, sophisticated media relations and communications skills. Ms. Cates worked at Citigroup for 11 years and led global communications for The Citigroup Private Bank for six years. In addition, she led corporate communications at Thomson Reuters and at Epsilon, a leading digital marketing firm. In the past two years, she has handled public relations for Standard Chartered Private Bank – Americas, International Planning Group and Evercore Wealth Management.



Justin Weinkle
Chief of Staff
Justin is Chief of Staff of Dynasty Financial Partners, responsible for all issues affecting the Chief Executive. Justin supports firm-wide business development efforts and drives strategic initiatives important to internal efficiency and effectiveness. Prior to joining Dynasty, Justin worked at KKR in the Client & Partner Group, supporting capital markets and fundraising activities across KKR’s private markets products. Justin holds a MBA with a concentration in Finance from Emory University and a BSE in Operations Research and Financial Engineering from Princeton University.



Matt Hill
Associate, Platform Operations
Matt joins Dynasty as an associate, working primarily on the operational side of the investment platform. In addition Matt supports both the Dynasty transition and service teams. Before joining Dynasty, Matt attended The University of Edinburgh in Scotland and graduated with a Bachelor of Arts degree in 2011.  Matt has both the Series 7 and Series 66 securities licenses with FINRA.



Jim DiPisa
Vice President, Investments
Jim began his career at Goldman, Sachs and Co. and spent almost six years within the Equities Division. As a member of the firm’s NYSE Specialist group, he assisted traders and coordinated relationship management for coverage of over 400 operating companies and 100 closed-end funds that the firm was mandated as Specialist on the NYSE floor. He enhanced and maintained relationships with senior management of client companies (CEO, CFO, Treasurer, Investor Relations) and provided insights on trading activity, broader macroeconomic issues, and various corporate actions. He constructed and communicated proprietary sector and single stock trade strategies to NYSE floor traders, developed through fundamental and technical analysis. During his tenure, he helped grow the firm’s portfolio by over 100 new trading mandates (operating companies) and prepared marketing materials, expected trading metrics and valuation analyses for public and non-public equity issues. Jim is an alumnus of Lehigh University and graduated in 2007 from the Integrated Business & Engineering (IBE) Honors Program with a B.S. in IBE Industrial Engineering and a B.S. in Finance. Jim is a CFA® charterholder and holds Series 3, 7, 55, 63 and 72 licenses with FINRA.