The Heart of Our Business

Changing markets require steadfast support. We believe that working with Lockwood can help financial professionals successfully manage markets.

Advisory Consulting

The strength of Lockwood rests on our history; we believe financial professionals continue to work with us because of our objective approach paired with a collaborative support model.

Advisory Consulting Team
Investment
Research
Portfolio
Construction
Experience
Extensive
Research and
Analytical Tools
Point of Sale/
Service
Support

Extend your reach

Our Advisory Consulting team will work closely with financial professionals throughout the process. We will consult with you and provide the bench strength you need as you help investors—offering analysis, guidance on tax efficiencies, portfolio comparisons, and much more.

Meet the Advisory Consulting Team

Patric Early
Patrick Early, CFA

Specialist, Advisory Consulting

Patrick is responsible for supporting advisors with education on investment offerings, acting as a liaison between the research and business development teams and assisting with investment-related financial advisor inquiries. Patrick earned a Bachelor of Business Administration degree with concentrations in Finance and Accounting from the Goizueta Business School at Emory University. He is a CFA® charterholder. He has been in the investment industry since 2006.

Kevin St.Clair
Kevin St.Clair, CIMA®

Senior Investment Specialist, Advisory Consulting

Kevin is responsible for supporting advisors with education on investment offerings, acting as a liaison between the research and business development teams and assisting with investment-related financial advisor inquiries. Kevin earned a Bachelor of Science degree in Business Administration with a concentration in Finance from Shippensburg University. He has also achieved the Certified Investment Management AnalystSM (CIMA®) designation. Kevin is Series 7 and 66 Licensed. He has been in the investment industry since 2000.


Business Development

Find out why financial professionals work with Lockwood.

Here are a few reasons why financial professionals work with Lockwood—and stay with Lockwood.

  • Holistic support from our Business Development team through the initial sale and beyond.
  • A mix of active and passive investments means a variety of solutions for investors.
  • Expertise in outsourcing, paired with a flexible line-up of solutions, means financial professionals can focus on what they prefer and trust us with the rest.
  • A robust platform means we have the solution for even the most complex situation, with consultative support to help map books of business over.

Meet the Business Development Team

J.T. Ligget

Vice President

J.T. is focused on working with the Lockwood sales team to formulate platform growth strategies for some of Managed Investments' key clients. He holds a Master of Business Administration degree with distinction from Babson College and a Bachelor of Arts degree in Communication from Denison University. He has been in the financial services industry since 2006.

John Hourigan, CFP

Group Manager, Business Development

John manages a team of internally based associates who support the investment advisors of our key client firms through on-demand phone support. He is also responsible for training on both platform tools and investment solutions, and opportunity development through investment selection and proposal support. John earned a Bachelor of Science degree in Business Administration from the University of Vermont. He is a Certified Financial Planner Designee. He has more than 20 years of experience directly supporting investment advisory and managed money business solutions. He has been in the financial services industry since 1991.

Brendan O'Neill, CFA

Senior Regional Director

Based in King of Prussia, Pennsylvania, Brendan oversees business development on the East coast for Lockwood's advisory solutions. Prior to joining Lockwood in 2004, he was a portfolio specialist at Nuveen Investments, Inc. Brendan earned a Bachelor of Science degree in Accounting from the University of Scranton, Pennsylvania. Brendan is a CFA® charterholder. He is a member of the CFA Institute and the CFA Society of Philadelphia. He has been in the financial services industry since 1999.

Josh Dreseris

Regional Director

Based in Boston, Josh is responsible for new business development in the Eastern Region of the United States and growing existing advisor relationships. Before joining Lockwood in 2010, Josh held internal wholesaling positions at Janney Montgomery Scott and Brinker Capital. Josh earned a Bachelor of Arts degree in Political Science from Temple University. He has been in the financial services industry since 2003.

Ryan Dahm

Senior Regional Director

Based in Chicago, Ryan provides dedicated business development support in the Central Region of the United States for Lockwood's advisory programs. Prior to joining Lockwood in April of 2008, Ryan was a regional director for Morningstar Investment Services, Inc., responsible for the distribution and business development of the firm's fee-based investment advisory managed account programs. Ryan earned a Bachelor of Science degree in Economics from the University of Kansas. He has been in the financial services industry since 1999.

Dan Daley, CIMA

Regional Director

Based in Tampa, Dan is responsible for driving new sales and advisors to Pershing's managed investments group. Dan joined Lockwood in 2016. He has a Master of Business Administration degree from Rutgers University and an undergraduate degree from Stony Brook University. Dan holds a Certified Investment Management Analyst (CIMA) certification. He has been in the financial services industry since 1989.

Shawn Waltz, CIMA, CRPC

Regional Director

Based in the Philadelphia area, Shawn provides dedicated business development support in the central region of the United States for Lockwood and Pershing's managed accounts, working with advisors to help implement managed money financial solutions. Shawn earned a Bachelor of Science in Business Administration from the Penn State University. He holds a Certified Investment Management Analyst (CIMA) designation as well as Charted Retirement Planning Counselor (CRPC) designation. He has been in the financial services industry since 2003.

John Anderson

Senior Regional Director

Based in Southern California, John provides dedicated business development support throughout the western United States with respect to Pershing's Managed Investments' platform and Lockwood's advisory solutions. John earned a Master of Business Administration from Pepperdine University and a Bachelor of Arts from California State University, Fullerton. He has been in the financial services industry since 2005.

Jae Yu

Regional Director

Based in Los Angeles, Jae provides dedicated business development support in the Western region of the United States for Lockwood and Pershing's managed accounts. Prior to joining Lockwood in November of 2007, Jae was a relationship manager for Schwab Institutional, responsible for business development support of independent RIAs in Southern California. Jae earned a Master of Business Administration degree in International Business from The George Washington University and has been in the financial services industry since 1996.

Internal Team

Jude Cooke

Business Development Regional Manager

Jude is responsible for evaluating and pursuing new business opportunities, developing new relationships, and providing client support to existing clients. Prior to joining Lockwood in 2018, Jude worked at Morgan Stanley and BNY Mellon. He earned his Bachelor degree from the United States Military Academy at West Point, and his MBA from Oklahoma State University. He currently holds the FINRA Series 7 and 66 licenses.

Amy Heffline

Business Development Regional Manager

Amy is responsible for evaluating and pursuing new business opportunities, developing new relationships, and providing client support to existing clients. Prior to joining Lockwood, she held several roles within client facing and operational roles. Amy earned a Bachelor of Science Degree in Finance from West Chester University and the FINRA series 65 license. She has been in the financial services industry since 1997.

Fran Sedgwick

Business Development Regional Manager

Fran is responsible for evaluating and pursuing new business opportunities, developing new relationships, and providing client support to existing clients. Prior to joining Lockwood in 2015, Fran worked at Lincoln Financial Group in Radnor, PA. He earned his Bachelor degree from The University of North Carolina, and currently holds the FINRA Series 6, 63 and 65 licenses.


Practice Management

Comprehensive. Customized.

Consulting support from analysts, including review of time horizons, risk profiles, investment objectives and other unique investor considerations

Customized education on appropriate investment solutions, with supporting analysis and research

Case specific guidance including detailed investment proposals and point-of-sale support

Events

See us in person and learn more about how we can help you.

These events are for investment professionals only.

Lockwood Regional Symposium
Waltham, MA
October 3, 2018

Lockwood Regional Symposium
Malvern, PA
October 17, 2018

Lockwood Regional Symposium
Seattle, WA
October 25, 2018

2019 Investment Manager Symposium
New York, NY
February 7, 2019

INSITE 2019
Phoenix, AZ
June 12 to 14, 2019

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