An investments platform is only as good as its leadership. In the available universe of almost endless public and private investment opportunities across equities, debt and alternatives, a firm that offers investment solutions to advisors must back the offering with due diligence, data, strategies, allocations, analysis and predictions from seasoned experts. In addition, the firm must package investments in a way that empowers an advisor to provide solutions for clients with relevant, clear and concise information.
Ensuring that this process flows smoothly to produce optimal results requires executives that can point the way, supervise teams and collaborate with other business functions as well as advisors, all while remaining ahead of quickly flowing volumes of information. Leaders in this area must be agile, tireless, dedicated, and skilled in analysis and communication.
For the second year, WSR’s editorial team has searched the industry for the top executives demonstrating excellence in this arena to recognize the invitation-only IS 5: Top Investment Solutions Platform Leaders. This year’s winners demonstrate dedication to their field, broad influence and recognition in the industry and beyond, and an exemplary track record as a leader and executive.
Please join us in congratulating the honorees, who are listed below in alphabetical order.
Mary Ann Bartels, Chief Investment Strategist, Sanctuary Wealth
As Chief Investment Strategist of Sanctuary Wealth, Mary Ann Bartels is responsible for providing market perspective and investment guidance to its partner firms and Sanctuary’s Asset Management Investment Council. She provides market strategy and analysis through her investment content and television appearances, incorporating her more than four decades of experience at financial institutions.
As a member of Sanctuary’s Investment Council, she also identifies themes and determines market asset allocation, working closely with the firm’s Capital Markets, Alternative Investments and Sanctuary Asset Management Investment Solutions teams.
Bartels served in various executive capacities during her career at Merrill Lynch and Bank of America. For many years, she was responsible for contributing to the thought leadership for investment guidance and portfolio solutions for Merrill Lynch advisors and clients. Previously, she held portfolio manager roles at Zweig-Avatar in New York and at Batterymarch in Boston.
She was an Institutional Investor All-American Research ranked analyst for six consecutive years for her work in Technical Analysis. She was also highly regarded for developing proprietary models for equity pairs trading and for her stock, sector and industry selections, as well as her extensive work on hedge funds.
More recently, Bartels refocused on the innovative technology underpinning decentralized finance (DeFi), cryptocurrency, non-fungible tokens (NFTs) and the metaverse. Notably, this year, she forecasted that the stock market would be up 20%, technology would lead this push with semiconductors as its main focus, and we would reach a peak in interest rates this year – all three happened.
Bartels earned a Bachelor of Science and a Master of Arts in business and economics from Fordham University. She is a graduate of the London Real DeFi Academy Accelerator program. She serves on several advisory boards including her alma mater Fordham University and We4C.
“I help partner firms, and their clients navigate the investment world and assist Sanctuary Wealth’s leadership with strategies to implement premier solutions,” she said, addressing how home office investment strategy connects with the needs of independent advisors.
She added, “I utilize my multidisciplinary background from many departments of macro strategy, including portfolio strategy/Chief Investment Officer, quantitative, and technical, to analyze market trends and the economic landscape. With four decades’ experience on Wall Street, I’ve seen various investment cycles – from major peaks to major bottoms – and understand the drivers of those cycles to evaluate market conditions.”
Peter Essele, Head Of Advisory Solutions, Commonwealth Financial Network
Joining Commonwealth Financial Network in 2004, Peter Essele oversees its Advisory Solutions department, which delivers investment solutions, strategic guidance and in-depth advisory fee analysis. The team prioritizes collaboration and communication, working closely with advisors to understand their unique business goals, preferences and challenges. It emphasizes value-driven recommendations to help advisors succeed in a rapidly evolving environment.
Prior to his current role, Essele held various roles at Commonwealth, including several executive roles in investment management and research. He earned a bachelor’s degree in economics from Union College and holds FINRA Series 7, 24, 31, 53 and 66 securities registrations and CFP, CAIA and CFA designations.
Outside the office, Essele travels the world and enjoys experiencing new cultures and cuisine, as well as spending time with family and friends, kiteboarding, biking and skiing.
Addressing how his prior experience in investment management leadership contributes to his current role, he said, “With 20 years of experience in investment management and holding the CFA, CFP, and CAIA designations, I bring deep expertise in portfolio management, holistic financial planning, and alternative investments.”
Essele continued, “As Head of Advisory Solutions, I manage Commonwealth’s fee-based advisory platform, overseeing investment strategy and product evolution to meet the diverse needs of advisors and their clients. My leadership and client-first approach drive innovation and empower advisors to stay competitive in an ever-evolving financial landscape.”
Gene Goldman, Chief Investment Officer, Cetera Financial Group
As Chief Investment Officer at Cetera Financial Group, Gene Goldman leads the strategic direction and growth of the firm’s research, including setting the vision for capabilities and enabling the delivery of investment advice. He supervises Cetera Investment Management in its research on the economy, financial markets, asset allocation strategies and mutual funds. He also leads the firm’s investment committee.
Goldman has over 26 years of experience in investment strategies, money manager research and managing analysts, including over 13 years at Cetera. Before Cetera, he worked at LPL Financial for almost 16 years serving in various roles. Prior to LPL, he was a Mutual Fund Analyst at Liberty Financial.
Goldman has appeared on Fox Business News and CNBC and has been cited in multiple national media outlets. He has also served as a keynote or featured speaker at many events.
Goldman earned a Bachelor of Science degree in engineering from Worcester Polytechnic Institute and a Master of Business Administration with a concentration in finance from Northeastern University. He holds Series 7 and 63 securities licenses and the CFA designation.
Outside the office, Goldman has volunteered for over 13 years with the Church at Ocean Park, participating in its bi-monthly volunteer events including its Walk for Hunger, local animal shelters, packaging food for homeless individuals and organizing clothing drives.
Jeff Krumpelman, Chief Investment Strategist And Head Of Equities, Mariner Wealth Advisors
As Chief Investment Strategist and Head of Equities at Mariner Wealth Advisors, Jeff Krumpelman serves as a member of the investment committee and leads Mariner’s equity team, contributing to decisions impacting strategies and tactical allocation of portfolios at the asset class level. He is responsible for driving research, portfolio construction and security selection for large- and mid-cap U.S.-focused equity strategies.
Prior to Mariner, Krumpelman was a Senior Portfolio Manager at U.S. Bank where he worked with private individuals and foundations. Before that, he served as Head of Investments at Hilliard Lyons Capital Management where he managed a team of investment professionals and various equity strategies including dividend growth, high yield, large-cap growth and mid-cap core. Before Hilliard, he was Director of Core Investment Strategies at Fifth Third Asset Management and Lead Manager on the Fifth Third Dividend Growth portfolio.
Krumpelman appears regularly on CNBC, Yahoo Finance Live and Bloomberg. He is a member of the CFA Society in Cincinnati and earned a Bachelor of Arts degree in economics from DePauw University and a master’s in management from the Kellogg Graduate School of Management at Northwestern University.
Outside of work, Krumpelman enjoys running, golf, tennis, swimming, skiing and traveling. He participates in fundraising for charity through running road races. He serves on the board of and is Co-Chair of the capital campaign for Cancer Family Care, and serves on the boards of Breakthrough Cincinnati and Mary Magdalen House. He is also a member of the finance committee at the Catholic Intercity School Education Fund and a mentor for students at Xavier University.
When asked where alternative investments fit in 2025, Krumpelman said, “We believe risk reduction is an important benefit of alternative investment solutions, and an important component of our investment offering. This may be particularly relevant as we approach the new year given robust financial market returns in 2023 and 2024.”
Brian Nick, Managing Director, Head Of Portfolio Strategy, NewEdge Wealth
In his role as Managing Director, Head of Portfolio Strategy at NewEdge Wealth, Brian Nick develops and manages customized portfolios for the firm’s clients, conducts due diligence and portfolio reviews, and publishes market and asset allocation research. He has over twenty years of experience covering the global economy and financial markets.
At NewEdge, Nick launched the firm’s revamped NEIS Fixed Income Strategies: Core Plus & Dynamic Credit, took leadership of NewEdge OCIO Portfolios, including founding an investment committee for those strategies, and delivered advice through the firm’s Weekly Edge and Quarterly Outlook.
Prior to NewEdge, Nick was a Senior Investment Strategist for The Macro Institute, Chief Investment Strategist at Nuveen and a strategist for Barclays Wealth. He also ran tactical asset allocation at UBS Wealth Management Americas. He began his career at the Federal Reserve Bank of New York in the Markets Group.
Nick earned a Bachelor of Arts in Government and Economics from Dartmouth College and a Master of Arts in Economics from New York University. He is a lifelong resident of Garden City, New York, where he lives with his wife and three children.
Discussing key trends for next year, Nick said, “2025 will be a more challenging year for investors. Stock valuations are stretched, and consensus earnings projections look too high. The policy landscape is uncertain, especially when it comes to trade and labor supply. We prefer strategies that can perform well in choppy markets but don’t necessarily require lower interest rates to do so.”
Julius Buchanan, Editor in Chief at Wealth Solutions Report, can be reached at jbuchanan@wealthsolutionsreport.com.
