Advisor PT

Stuart M. Porterfield, Managing Principal

stuart.porterfield@advisorpt.com

Stuart Porterfield literally grew up in the financial services business. The son of a successful financial advisor, from the age of 11 he spent summers working in his father’s practice — back when everyone in the office would gather around the board to check the latest news off the wires! After graduating from Emory & Henry College with degrees in Economics and English, it was a no-brainer what industry he’d choose to enter. Starting out in Bank of America’s private banking division, he joined the asset management division of esteemed regional firm Wheat First Securities in 1993. During this time he held the positions of Marketing Director, Regional Vice President and Sales Manager.

From there he moved to the firm’s private client group where he served as National Recruiting Manager as well as National Business Development Director for Profit Formula, a semi-independent broker platform designed for $1 million+ practices. When the firm entered the independent advisor arena with Wachovia Securities Financial Network, Stuart joined as Southern Regional Director for Branch Development before being named Senior Vice President/National Sales Manager. He is also a graduate of the Securities Industry Institute at The University of Pennsylvania — Wharton School of Business.

In 2009, Stuart formed Advisor PT, a unique coaching firm for independent advisors, advisory firms, asset managers and broker-dealers. As a coach he is able to leverage his extensive industry experience to help success-minded individuals and firms realize the practice of their dreams.

Stuart resides in Richmond, Virginia with his wife, Kristi, and children Caroline and Miller, both of whom show great promise as financial advisors. Besides working with advisors, Stuart’s other passions include coaching his children’s teams, playing golf, beach vacations and catching up with friends and family.

David Grau, Sr., JD, President, FP Transitions

David Grau Sr. is the president of FP Transitions, the country’s leading provider of valuation, continuity and succession plans for independently owned financial service practices. His team created the open marketplace concept of practice transition for the financial services industry, and now assists independent reps and advisors in all facets of practice valuation, equity management, and succession planning. David has authored a column in Financial Planning magazine for six years and has written many nationally published white papers, a practice continuity manual and succession planning workbooks. David was named one of the most influential people in the profession in a 2004 industry survey of financial advisors by Thomson Publishing.

David is one of the nation’s leading speakers and panelists on succession planning issues, market-based value and strategic exit plans, with over 500 presentations to his credit. In past years, he has spoken at many national securities conferences, including many FPA chapters, the Practice Management Institute, FSI, the Investment Advisor Wealth Summit, Financial Advisor Symposium, and at conferences for Fidelity, Pershing, Wachovia, ING, Linsco Private Ledger, Ameriprise/American Express, Securities America, Lincoln Financial, Met Life, Thornburg Funds, H. Beck, Commonwealth, Brecek & Young, Jefferson Pilot, First Allied, IFG, Dunham & Associates, Millennium Securities, VSR Securities, NEXT, National Planning Holdings and many others.

David has over 17 years of experience in the securities industry as a regulator, a securities attorney in private practice, and with FP Transitions. David is also a past board member of the Oregon and SW Washington Chapter of the Financial Planning Association. David is a graduate of Purdue University with highest honors and Northwestern School of Law.

Pete Quinn, Founding Partner & Chief Operating Officer, Riverfront Investment Group

As Chief Operating Officer for Riverfront Investment Group, Pete is responsible for all non-investment functions of the firm including distribution, finance and operations. With 26 years of industry experience, Pete spent much of his career at Wachovia Securities and its predecessor firms. He worked in all areas of the firm including capital markets, asset management and retail brokerage.

He served as President of Mentor Investment Group, an asset management distribution company, until its merger with Evergreen Funds. At that time, Pete took the helm of the Wachovia Securities Private Client Group, serving as President for several years and leading the division to impressive growth. In 2003, he formed Cay Holdings, which provided growth capital to small businesses. Most recently, he served as head of retail sales for Davenport & Company, a regional brokerage firm headquartered in Richmond, Virginia.

Pete holds an undergraduate degree in Accounting from The College of William and Mary and an MBA from the University of Richmond’s Reynolds School of Business.

Paul Reynolds, III, Founder & Managing Director, Triangle Securities, LLC

Paul Reynolds is a nearly 30-year veteran of the securities industry, beginning his career in 1980 with Carolina Securities Corporation and moving his financial practice to Wheat First Securities in 1989. In 1992, as one of Wheat First’s top financial advisors, he was honored to receive the firm’s highest award for ethical standards, The Professional Excellence Award. Following the acquisition of Wheat First by First Union Bank, and recognizing the future trend of further consolidation, Paul founded Triangle Securities in response. Today, Triangle Securities provides an alternative to large national firms which rely primarily on investment products by offering comprehensive wealth management strategies and the highest level of personal attention.

Prior to entering the financial services industry, Paul served as a fund raising advisor to the late U.S. Senator John East. He also served as finance director for Senator Jesse Helms’ 1978 re-election campaign and coordinated the successful eastern North Carolina 1976 primary campaign of President Ronald Reagan. An active community member, Paul has used his extensive fundraising experience to help numerous nonprofit organizations in the Triangle area. He is a member and former director of the Raleigh Kiwanis Club, former board member of the Raleigh Little Theater, a current trustee of St. Mary’s School and a former trustee of St. Timothy Hale Episcopal School. Paul also volunteers regularly at the Shepherd’s Table soup kitchen and is a member of Christ Episcopal Church.

Susan Q. Hogg, Co-Founder & President, circle S studio/Steer Branding

In 1985, Susan began her marketing career with Central Fidelity Bank (now Wells Fargo Bank) as Retail Project Manager. In that capacity, she was involved in promoting a rapidly growing regional bank as it evolved through mergers and name changes into one of Virginia’s most prominent financial institutions and the last large bank to be headquartered in the state.

Prior to forming circle S studio, Susan for 13 years owned and operated Creative Associates, a marketing agency that helped businesses with a full spectrum of marketing and communications activities, managed corporate identity programs, strategic marketing programs and website development. Merging her successful enterprise with Mark Smith Design in 1999, she has helped drive a small design firm into a successful branding agency with a growing national reputation.

In addition to serving as President and Managing Partner, Susan oversees all strategic activities for the firm; her expertise in the financial industry brings a critical eye and collaborative voice to the table as she seeks to find relevant brand positions that resonate with companies and their clients. Susan is known for understanding the “big picture” and communicating core values in simple, powerful ways. An active community volunteer, Susan serves on numerous boards and is a member and Roundtable Leader of the Virginia Council of CEOs.

Dalal Maria Salomon, CEO & Founding Partner, Salomon & Ludwin

Since first joining Wheat First Securities (now Wells Fargo Advisors) as a Financial Advisor in 1984, Dalal Salomon has built a highly successful advisory practice. In recognition of her performance and professionalism, she is a member of the firm’s Premier Advisor program and was appointed to the firm’s Directors’ Advisory Council, Senior Leadership Council, Presidents’ Club, and Chairman’s Circle of Excellence. She was nominated for the national award for Outstanding Broker of the Year.

In 2009 Dalal and the Salomon & Ludwin Group were ranked among the top 1,000 Financial Advisors in the United States and 4th in the Commonwealth of Virginia by Barron’s magazine. In July 2008, Dalal was ranked for the fourth consecutive year among the top 100 women financial advisors in the United States according to a list published by Barron’s magazine, a weekly business periodical published by Dow Jones. Dalal was featured in the cover story by writer Suzanne McGee and ranked 17th among the Top 100.

From December 2006 to present, Dalal was honored to receive an appointment from Virginia Governor Tim Kaine to serve on the Board of Trustees for the Virginia Birth-Related Neurological Injury Compensation Program. As a member of that Board, Dalal serves on the Investment Committee and chairs the Audit and Finance Committee. After graduating from Michigan State University in 1977 with a bachelor’s degree in business, Dalal joined a Washington D.C. firm specializing in financial and estate planning.

Dan Ludwin,President & Founding Partner, Salomon & Ludwin

Joining the Salomon & Ludwin Financial Consulting Group in 2001, Dan has led in the development of many proprietary systems used within the group. He is responsible for determining investment strategy, selecting investment managers, and conducting ongoing assessment and monitoring of independent investment managers. Dan is a member of the Wells Fargo Advisors Consulting Services Group Advisory Council contributing to many firm-wide development projects enhancing service not only to the Salomon & Ludwin Group clientele but also to Wells Fargo Advisors’ clients in general. The firm has recognized him as a First Vice President and Investment Officer for his achievements in serving his clients.

Dan joined Wheat First Butcher Singer (now Wells Fargo Advisors) in 1996 as Director of Client Relations in the firm’s Consulting Services Group where he led the development of the firm’s asset allocation program. Prior to that he worked as co-manager of the Investment Consulting Group for Rauscher, Pierce, Refsnes, Inc. (now Dain Rauscher, Inc.) in Dallas, Texas. Dan earned a bachelor’s degree in economics from Ohio State University in Columbus, Ohio in 1993.

Anitra Cassas, JD, Partner, McGuire Woods, LLP

Anitra Cassas has a securities regulation and enforcement practice with a particular emphasis on broker-dealer regulation. She has advised broker-dealers, investment advisors and other financial institutions on a wide range of regulatory issues, including research, sales and trading practices, supervisory controls, registration, order and trade reporting, statutory disqualifications, referral agreements, information barriers, conflicts of interest, issuer repurchases and insider trading.

She has extensive experience working with clients to devise and implement comprehensive compliance policies and supervisory procedures and has assisted companies with corporate formation, restructurings, mergers and acquisitions involving broker-dealers and investment advisors. In addition, Anitra has represented broker-dealers and individuals in connection with SEC and SRO examinations and enforcement proceedings. She previously served as special counsel in the SEC’s Division of Market Regulation, where she focused on the legal and policy implications of national market structure issues. In particular, she helped implement the audit trail in the options markets, develop the SEC’s approach to the regulation of market information, and draft the SEC’s rule on electronic blue sheets.

Her previous experience includes servings as counsel at Washington, D.C. firm Wilmer Cutler Pickering Hale and Dorr; Special Counsel in the Division of Market Regulation at the U.S. Securities and Exchange Commission; and as a law clerk to the Honorable Howard D. McKibben of the U.S. District Court in Reno, Nevada. In 2004 she was honored as a finalist for the Trial Lawyer of the Year Award by the Trial Lawyers for Public Justice.

Buddy Doyle, Founding Principal & Managing Director, Oyster Consulting, LLC

With more than 20 years’ experience in the securities industry, Buddy Doyle brings unique insight to his role as Managing Director of Oyster Consulting, a firm dedicated to providing the highest quality compliance, regulatory, technology and risk management advice and services to broker-dealers, registered investment advisors and other financial services organizations. He began his career at Wheat First Securities in 1987 when the firm had 50 offices and 500 brokers in the Mid-Atlantic region. Through 11 acquisitions and mergers, the firm evolved into Wells Fargo Advisors, one of the largest in the country.

As a Senior Vice President, Buddy held leadership roles in Operations, Finance, Commodities, Technology, Compliance and the Private Client Group. He was responsible for the technology that supports the compliance and control environment for the firm’s retail brokerage division which includes traditional, bank, independent rep, clearing, online, discount, and Latin America brokerage business. In that role, Buddy and his team transformed the organization from paper-based activity reports and manual processes to web-based exception reports and automated processes with appropriate control points in the workflow.

He was also responsible for the creation and implementation of the Wells Fargo Advisors branch manager workstation, branch audit, customer identity, dispute resolution, email archiving and supervision, issue tracking, registration, rule implementation, SharePoint, and surveillance applications. Buddy is a graduate of Virginia Commonwealth University with a Bachelor of Science in Business Administration and holds the FINRA/NFA Series 3, 7, 8 (9/10), 24, 53, 63, and 66 licenses.