Our RIAGreat Lakes & Atlantic Wealth Management and Advisory Partners
Great Lakes & Atlantic Wealth Management & Advisory Partners, LLC partners with seasoned, successful professionals like Josh Bradley of Capital City Financial Partners, who desire independence with infrastructure, experienced leadership and a brand beyond themselves. Great Lakes & Atlantic (GLA) provides operational, growth, advisory and succession resources that enable our Advisor Partners and their associates to better serve their clients. The combination of shared services and resources available through GLA will allow Capital City Financial Partners to gain access to more and better resources and services from asset management, investment research & portfolio support, marketing, operations, technology and compliance through our professional support network which is an extension of the Capital City Financial Partners Financial team. The professional support provided by GLA facilitates a seamless transition for our Advisor Partners when moving their business, providing continuous support and guidance for our partner firms and their clients.
Visit Great Lakes & Atlantic – www.greatlakesatlantic.com
- Craig Cmiel, Founder & CEO: Craig has been an investment advisor and management professional in the financial services industry for more than 25 years. He has served as a top advisor to clients, million dollar producer, manager and product specialist with global investment firms Merrill Lynch and UBS. He was Complex Manager & Complex Director at UBS, earning Complex Director of the Year in 2010, and served on various management committees. Having worked in DC, San Francisco, San Diego, Craig and his family now live in Charlotte.
- Wendy Whitehurst: Marketing & Advisor Services – Wendy has been with GLA almost since inception and brings over 20 years of marketing experience along with 8 years of Advisor marketing experience to the firm. She was named one of Mecklenburg County’s 50 Most Influential Women and continues to be very involved in the community and working with non-profit organizations to raise money for their cause. Wendy provides a marketing foundation for GLA and the Advisor Partners to include web site content, social media guidance, marketing collateral and event planning. She also plays a role in growing the GLA business through advisor communication and exposure.
- Angela Hajek: Finance – Angela comes to GLA with over 16 years in the financial services industry with the 9 years prior to GLA as the Finance Officer for a large RIA in Charlotte. Angela is responsible for GLA payroll, billing, invoicing and supports Advisors and Partners.
- Stephanie Dawson: Integration – Stephanie brings over 10 years of experience to GLA in the transition and integration role. She was previously in integration with UBS. Stephanie facilitates aspects related to the transition of Advisor Partners into GLA including transition documents, administration and registration.
- Robert Schaff – Operations & Administration– Robert comes to GLA with over 9 years in the financial services industry, most recently serving as the Senior Branch Examiner for LPL Financial. Robert is responsible for overseeing operations, policies & procedures and compliance for GL&A.
- Judd Hines – CCO – Judd is the GL&A in-house counsel and Chief Compliance Officer.
- Eric Hines: Portfolio Analyst – Eric began his career in the financial services industry right out of college in 2010 as an intern for an accounting firm and has been an analyst since 2011. Eric assists in building and maintaining portfolios for Advisors and oversees client and portfolio software. He also works with new Advisors to ensure they are properly trained on the Custodial platforms as well as our aggregation software.
- Sebastian Burtone: Broker Dealer Specialist – Sebastian come to GLA with over 20 years in the financial services industry with a background that includes Bear Stearns, Pershing, Charles Schwab and American Porfolios positioning him as an expert in the broker dealer and custodial worlds. Sebastian works with Advisors to find the best broker dealer solution for those that have securities products in addition to advisory products.
- Steve Clifford: Insurance and Annuity Specialist – Steve has over 35 years of experience in the industry with most of his career spent at Metlife. Steve works with advisors as the GLA insurance and annuity specialist to place them with the most appropriate General Agency as well as working through various case scenarios.
- Brad Coates: Technology – Brad’s primary focus is building and maintaining the GLA partner web sites, handling technology issues and oversees software programs and security.
ADVISOR PARTNER SUPPORT:
GLA provides compliance oversight for marketing activities including social media, marketing materials, web site as well as ensuring that all necessary policies and procedures are being followed. GLA is responsible for all audits that occur with our Advisor Partners.
GLA will assist in billing, bookkeeping, running P&L statements and focus reports and benefits & payroll guidance.
GLA assists in locating new office space if needed, setting up office infrastructure including phones, internet and obtaining furniture. Assist in order computer hardware and software and providing training.
Integration: GLA’s integration team works with each Advisor Partner to ensure that he/she is properly registered, U4 forms are signed and submitted and any licenses are properly transferred. Representatives from the custodian and GLA works on site with the Advisor Partner and their clients to set up new accounts and obtain all necessary client signatures through face to face client meetings or mailing packages to clients for signature.
GLA works with Advisor Partners to review branding or create new branding, create stationary and business cards, review or create web site and marketing collateral, prepare client communication and announcements and events or grand openings.
Portfolio and Investment Support:
Support advisors to help create and run models, identify managers to help complete asset allocation, assist with fee analysis, consolidated reporting.
Assist advisors and teams in creating liquidity, planning for emergencies, and having structure for successful transition of clients into the future.
GLA Leadership has been part of the financial services industry for combined 60 years and working collectively to garner many, many connections throughout the years of working with Merrill Lynch and UBS. Both Bob and Craig were in management and top recruiters in the firms which has carried over to recruiting with GLA. GLA is well positioned to help our Advisor Partners grow their firms and create solid succession and emergency back up plans that will soon be required by the SEC
The GLA technology team works with Advisor Partners to set up e-mail and develop a new web site if needed. GLA provides SMARSH for e-mail, social media and web site tracking, Net Documents for document storage and file sharing, Orion, Hidden Levers and Advisory World for asset management and portfolio analysis.
Next Level Coaching:
GLA has developed coaching systems to assist Advisors in their professional growth. This includes value proposition, team building, marketing, time management and more.
Certain representatives of Capital City Financial Partners are also Registered Representatives offering securities through Comprehensive Asset Management and Servicing, Inc. Check the background of this firm on FINRA’s Brokercheck. Member FINRA/SIPC, 2001 Route 46, Suite 506, Parsippany, NJ 07054. 800-637-3211. Advisory services offered through Great Lakes & Atlantic Wealth Management and Advisory Partners, LLC.