About the Planner 

Year firm founded: 2001 (B/D launched in 2005)
Number of advisors in firm: 81
Number of regional offices: 15
AUM: $1 billion (est.)
Core investments offered: mutual funds; SMAs; limited partnerships; annuities; 401(k) plans
Alternative investments offered: private equity; commodities; managed futures; hedge funds; foreign exchange; structured products/notes; fixed-income products
Insurance offered: P&C; life settlements; captive insurance

Previous incarnations: started as financial advisor with American Express in 1991, left as group VP, Ameriprise Financial Services in 2007
Education: BA in Management and Finance, Merrimack College; executive management program at Harvard University, 2000