The Commonwealth Financial Team
Senior Investment Research Analyst
Jonathan started at Commonwealth in October 2005. In June 2007, he joined the Research team as an Alternative Investment Analyst, where his responsibilities include conducting due diligence and research on alternative investment sponsors and their products. Jonathan holds his FINRA Series 7, 24, and 66 licenses. He is a CFA Charterholder and a member of the Boston Security Analysts Society. Jonathan has a deep interest in all things musical, and attended Baldwin-Wallace College, where he majored in Piano Performance. In his spare time Jonathan enjoys soccer, chess, watching football, and writing many different kinds of music. He once ate an entire cake in one sitting. Jonathan loves good coffee, dark chocolate, Guinness, learning, and all things French. Key business areas: Tactical, alternative investments, Franklin Square, alternative mutual funds, currencies, private equity, hedge funds, managed futures, CTAs
lnvestment Research Associate
Lira joined Commonwealth in November 2011 as a new accounts associate. In this role, she opens and reviews all applications or contracts for brokerage and advisory accounts, as well as for third-party advisory business. She also performs numerous account maintenance functions, including but not limited to the establishment of check writing and margin on accounts, advisor ID number changes, and linking direct mail data feeds from various sponsors. Lira graduated from UMass with a degree in psychology. Prior to Commonwealth, she was an intern at the executive office of environmental affairs in Boston as a business researcher. In the past, Lira was an avid tennis player which allowed her to travel around Europe before starting college. She also loves to watch and play all sports, including those outdoors. Lira loves to travel and is very passionate about food, language, architecture, literature, and music.
Investment Research Analyst
Mike joined Commonwealth in April 2012 as an investment research analyst. In this role, he facilitates our due diligence and research activities on mutual funds, separate account managers, ETFs, and fixed income securities. He also reviews client portfolios and evaluates current and potential investment managers and asset management firms for the fee- and commission-based platforms at Commonwealth. Prior to joining Commonwealth, Mike worked at Weston Financial, providing investment research support to the firm. He holds a BS in finance with a minor in psychology from UMass Amherst, as well as the Series 7 registration and the CFA designation. In his free time, Mike enjoys staying active, namely on the golf course. He has been a dedicated golfer since a young age and tries to get out every weekend to play. During winter, Mike enjoys snowboarding.
Senior Fixed Income Analyst
Fred joined Commonwealth in May 2009 as a senior fixed income analyst. In this role, he is responsible for inquiries on fixed income portfolio construction and design and for idea generation with regards to opportunities in the fixed income market. In addition, he assists with fixed income research, as well as researching industry trends related to the fixed income market. Prior to joining Commonwealth, Fred worked in fixed income at both Morgan Stanley and Bear Stearns. He graduated from Plymouth State University with a double major in financial management and economics and proceeded to get his MBA from Plymouth as well. He attended Waterville Valley Academy for three years of high school and for two post graduate years as part of the Alpine ski-racing program. Fred’s hobbies include skiing, golfing, biking, reading, and traveling to beaches all over the world. He also enjoys good wine and good food.
Senior Investment Research Analyst
Peter joined Commonwealth in October 2004. As a member of the Research team, Peter is responsible for responding to inquiries from our advisors on various investment topics, including asset allocation, mutual funds, exchange-traded funds, and separate account managers. In addition, he supports the Research team in creating reports, commentary, and investment manager profiles, as well as other investment-related project work. He is also a member of the Asset Management team, which oversees PPS Select and the Commonwealth Model Portfolios. Peter has worked in Cashiering, Operations Priority, and Direct Investments. Prior to joining Commonwealth, Peter interned at Albany International and worked as an assistant at Kestner Engineers. He graduated from Union College, where he earned his BS in industrial economics. He currently holds FINRA Series 7, 24, 31, 53, and 66 securities registrations and the Chartered Financial Analyst® designation. Peter is also a CAIA Level II candidate and a member of the Boston Security Analysts Society.
Investment Research Analyst
Sean joined Commonwealth in June 2010. As a member of the Asset Management team, he engages in the asset allocation and fund selection process for the PPS Select portfolios and develops portfolio analytics. He also works closely with the Research team and fields advisor requests, with a focus on equities and the international mutual fund space. Sean graduated from Brandeis University with a double major in economics and politics. Prior to joining Commonwealth, Sean interned at DDJ Capital Management. He is currently a CFA Level III candidate.
Senior VP, Asset Management
Simon started at Commonwealth in August 2006. Simon is primarily responsible for overseeing Asset Management at Commonwealth. He manages the PPS Select portfolios and sets policy for the asset allocation decisions and for the Commonwealth model portfolios. He is a member of the Investment Committee and is heavily engaged in market forecasting, manager selection, and due diligence. Simon graduated from Union College with a degree in electrical engineering. After earning his MBA from Northeastern University, he left high tech to pursue his investment career. Previously, he was director of quantitative analysis at Fidelity Investments and a research associate for Bankers Trust's, BT Securities. Before joining Commonwealth, he worked as an independent RIA in New Hampshire. In addition to investing, Simon enjoys sports and outdoor activities, is an avid woodworker and builder, and likes to spend time with family and friends.
Investment Research Analyst
Rob joined Commonwealth in July 2013 as an investment research analyst. In this role, he facilitates our due diligence and research activities on mutual funds, separate account managers, ETFs, and fixed income securities. He has a bachelor's degree from UMass Amherst. His background in investments includes investment analysis and portfolio management. Rob's analysis experience has led him to a niche focus in alternative investments. The majority of his career was spent at the large global wirehouses in Boston. He is a sports fan and enjoys participating in and watching all sports. After college, he was invited to camp for an NFL team.
Director, Alternative Financial Strategies
Susan began working at Commonwealth in August 2008. As director of alternative financial strategies, Susan’s primary responsibilities include analysis, approval, and ongoing monitoring of all products within alternative financial strategies (e.g., managed futures, hedge funds, private equity, structured products). In addition, she manages the Fixed Income Research group that assists advisors with fixed income portfolio construction and design, as well as identifies potential opportunities in the fixed income market for advisors and their clients. Prior to joining Commonwealth, Susan held positions at Citizens Advisors in Portsmouth, New Hampshire; John Hancock Advisers in Boston; and Citigroup/Smith Barney in New York City. She holds a BS in management with a concentration in finance from Purdue University and an MBA from New York University. Susan is the mother of two girls—Allison and Samantha. She enjoys spending time with family and friends, as well as sports, food, and wine.
Director, Real Assets
As director of real assets, Chad is responsible for analysis, approval, and ongoing monitoring of all products with real assets as the underlying investments (e.g., real estate, infrastructure, natural resources, commodities). In addition, he trains and educates our advisors through print and web-based media. Chad joined Commonwealth’s Waltham office in February 2000 and moved to our San Diego office in 2001. During his tenure with the firm, he has been a transfer of assets analyst and a member of the Account Services and Fee-Based Asset Management teams. In 2005, he joined Research as an alternative investment analyst and has since transitioned to manage the real assets sleeve of the Investment Research department. Chad graduated from Bates College with a degree in economics, is a CFA® charterholder, and holds FINRA Series 7, 24, 63, and 65 securities registrations. Previously, Chad worked for Investors Bank & Trust. He enjoys reading and outdoor activities, including hiking and playing soccer.
Fixed Income Analyst
Joe joined Commonwealth in June of 2009. As a Fixed Income Analyst, he is responsible for handling incoming requests to analyze client portfolios, assisting with bond ladder and portfolio construction, and fixed income market research. In addition he performs analysis on individual credits and issuers.Joe holds his FINRA Series 7 securities registration and is a Level III candidate in the CFA program. Prior to joining Commonwealth, Joe attended Westfield State College. He graduated in May 2009, earning a degree in business management with a concentration in finance. Joe has played hockey for his whole life, and he enjoys all Boston sports teams.
Manager, Investment Research
Jim joined Commonwealth and the Investment Research team in September 2008. He is lead analyst for the international and emerging markets asset classes, responsible for manager evaluation, manager selection, and dissemination of research. Prior to Commonwealth, Jim was a fundamental equity research analyst for Loomis, Sayles & Co. for seven years, where he followed the industrial, materials, and telecom sectors. Prior to that, Jim worked as a research analyst at State Street Global Advisors in the U.S. Active Quantitative group for three years. In addition to earning a BS in Finance from Lehigh University, Jim is a CFA charterholder.
Senior Investment Research Analyst
Brian joined Commonwealth in August 2004 as a member of the Retirement team. In January 2008, he joined the Research team as an investment research associate. Brian is lead analyst for the small- and mid-cap asset classes, responsible for manager evaluation and selection, as well as for dissemination of research. Brian also conducts research and due diligence on exchange-traded funds and provides commentary on the ETF industry. In addition, he supports the Research team in creating reports, commentary, and investment manager profiles, as well as on other investment-related project work. Prior to Commonwealth, he worked at Signator Financial Network and at Putnam Investments. Brian received his BS in management and finance from Quinnipiac University. He has obtained the CIMA®, CRPS®, and AIF® designations, and is a member of the Investment Management Consultants Association (IMCA). He has also earned FINRA Series 7, 24, and 63 securities registrations.
Vice President, Chief Investment Officer
As chief investment officer, Brad chairs the investment committee and is the primary spokesperson for Commonwealth’s investment divisions. Brad received his BA from Dartmouth College, an MS from MIT, and an MS from Boston College. He has worked as a real estate developer, consultant, and lender; as an investment analyst, manager, and consultant; and as a start-up executive. He has started and run several companies. He is an Accredited Investment Fiduciary® (AIF®). Other professional qualifications include designated membership in the Appraisal Institute (MAI), the CFA Institute, and the CAIA Association®.Brad speaks around the country on investment issues and writes for industry publications, as well as daily on his blog, The Independent Market Observer. He has traveled widely around the world. In his free time, Brad reads extensively in history, math, and science and plays very bad golf. He and his wife, Nora, brought home their son, Jackson Vu, from Da Nang, Vietnam.
Director, Asset Management
Brian began his Commonwealth career in February 2003. As director of asset management, he assists with the asset allocation, fund selection, and overall management of the PPS Select program. Brian has more than 13 years of industry experience, having previously worked for Bernstein Investment Research & Management as a senior financial advisor associate. He graduated from Georgetown University with a BA in American government. In addition to holding FINRA Series 7, 63, and 65 securities registrations, Brian has the AIF® designation and is a CFA® charterholder.
Investment Research Associate
Sammy started at Commonwealth in June 2008, participating in the firm's summer internship program. After interning for the Recruiting and Transition and Professional Development teams, she joined the Fixed Income Research team in July 2011. As an investment research associate, her primary responsibilities include analyzing individual fixed income securities, responding to advisor inquiries, and assisting with market research and commentary. Sammy graduated from Bentley University in May 2012 with a major in finance and a double minor in management and psychology. Her favorite hobby is dancing, and she was a member of Bentley's hip-hop dance team. She also enjoys reading, shopping, going to the beach, and spending time with friends.
Investment Research Analyst
Elise joined Commonwealth in June 2008 as an investment research analyst. In this role, Elise facilitates our due diligence and research activities on mutual funds, separate account managers, ETFs, and fixed income securities. She is the lead analyst for the fixed income sector, responsible for manager evaluation, manager selection, and dissemination of research. She also reviews client portfolios and evaluates current and potential investment managers and asset management firms for the fee- and commission-based platforms at Commonwealth. Prior to Commonwealth, Elise was a senior client service associate at Income Research & Management, and has also held client service positions at DDJ Capital Management and at Wellington Management Company. Elise graduated magna cum laude from Boston University with her BS in economics and is currently studying for the third level of the CIMA exam. Her interests and hobbies include traveling, dining, enjoying wine, real estate, home decorating, reading, doing crossword puzzles, and jogging.
John came to Commonwealth in 1988 after spending five years as a vice president at Moseley Securities in Boston. Arriving to work in the Product department, John handled mutual funds, many partnerships, commodities, variable annuities, qualified plans, and individual issues. Over time, he has helped engineer the growth of not only the Product department but also Commonwealth as a whole and is relied upon by all parties for his advice and perspective on the direction of the firm. John opened and now manages Commonwealth’s West Coast office in San Diego, CA. He has been a guest on numerous television shows and nationally syndicated radio programs. He is a graduate of Colby College with a BA in Government and attended Harvard Business School’s OPM Key Executives Program. He also holds FINRA Series 7, 24, 63, and 65 licenses. Besides voraciously reading about the financial industry and markets, John enjoys wine, sports (especially softball and golf), and playing with his sons Chase and Kellen and daughter Joscelyn.
Senior Fixed Income Analyst
Meagan joined Commonwealth in January 2011 as a senior fixed income analyst. In this role, she is responsible for inquiries on fixed income portfolio construction and design and for idea generation with regards to opportunities in the fixed income market. In addition, she assists with fixed income research, as well as researching industry trends related to the fixed income market. Prior to joining Commonwealth, Meagan worked for a number of investment management firms. She worked at Babson Capital Management as a research associate in the corporate credit department, Fidelity Management & Research as a research associate in the high income group, and most recently at Acuity Capital Management as a credit analyst and trader. Meagan is also a Chartered Financial Analyst® and is currently studying to earn a CFP® designation. Meagan studied abroad in London for three months during her junior year of college and enjoyed traveling while she was there. Her favorite trip was to Pembrokeshire Coast in Wales, where she spent the weekend kayaking in the ocean, hiking along the cliffs, and coasteering, a combination of rock climbing and cliff jumping.
Vice President, Retirement Consulting Services
Paul joined Commonwealth in November 2010 as the director of retirement consulting services. In May 2013, Paul was promoted to vice president. In this role, he leads the Retirement Consulting group, helping our advisors to better market and serve retirement plans. Prior to joining Commonwealth, Paul worked at Pioneer Investments in sales, marketing, and business development and at Putnam Investments on its institutional team. He was also previously employed with Fidelity Investments, managing some of its largest retirement clients, and Scudder, Stevens & Clark in a variety of management, sales, and relationship management positions within retirements. Paul graduated from Boston College with a degree in English, and he currently holds FINRA Series 6, 7, 24, 63, and 65 securities registrations. He enjoys spending time with his family at their cottage on Cape Cod, where they enjoy skiing and hiking. Paul's children range from age 5 to 15, so not a day goes by without watching or participating in an event, game, recital, or party. When Paul has the opportunity, he enjoys sneaking away for an hour or two on his Harley-Davidson.
Retirement Sales Consultant
Dan joined Commonwealth in December 2012 as a retirement sales consultant. He provides retirement consultation to advisors on all aspects of their retirement practices. Dan has worked in the 401(k) industry since 2000 and has previously worked at MFS Investment Management, Sun Life, and the Hartford. He attended both Eastern Nazarene College and Bridgewater State University. Outside of the office, Dan enjoys spending time with his two sons, playing golf, soccer, running, and rooting for the Boston teams.
Retirement Sales Consultant
Brian joined Commonwealth in February 2011 as a retirement sales consultant. He provides retirement consultation to our advisors on all aspects of their retirement practices, from new business development and plan proposals, to plan design, product placement, and regulatory matters. Brian has 15 years of 401(k) consulting and recordkeeping experience; he previously worked for a large bundled provider and a small recordkeeping third-party administrator. He holds an Accredited Pension Administrator (APA) designation through the National Institute of Pension Administrators, Inc., and his FINRA Series 65 registration. He also has a BS in Marketing, with a minor in economics, from Plymouth State University. Brian’s family and home are the center of his life. He enjoys working in the yard and playing golf, his favorite sport. He also enjoys playing with his buddies on the weekends and watching tournaments on TV, and he has attended several PGA Tour events.
Associate Retirement Specialist
Shaan joined Commonwealth in August 2011 as a retirement specialist. Prior to Commonwealth, Shaan was an office manager at Masi Research Consultants, Inc., a small consulting company that provides quality assurance. Before that, he worked for a group of brokers at Wells Fargo Advisors, conducting market research/analysis and helping to manage clients and fielding inquiries.
Senior Vice President, Wealth Management
As vice president of wealth management, Gavin manages Commonwealth’s Advanced Planning, Annuities, Insurance, and Retirement Consulting departments while also coordinating interdepartmental efforts across the firm’s wealth management platform. Since joining Commonwealth in 1998, he has worked in various departments to gain a broad-based knowledge of the internal workings of a full-service broker/dealer. This allows him to provide a bridge between wealth management concepts and operational implementation. Prior to joining Commonwealth, Gavin was an assistant football coach for Lafayette College and Harvard University. He graduated from Lafayette College with a double major in economics and art and earned a JD at Thomas Jefferson School of Law in San Diego. He also earned his LLM in taxation at the University of San Diego School of Law. Gavin holds FINRA Series 4, 7, 24, 53, 55, 63, and 65 securities registrations and a California insurance license. He enjoys watching football, snowboarding, doing home improvements, and spending time with his family.
Business Development Consultant
John joined Commonwealth in March 2011 as a business development consultant. In this role, he works with advisors on driving retirement sales for individuals and the workplace. He consults with advisors on business development, product options, sales strategies, competitive positioning, and best practices related to building a successful retirement book of business. John also assists advisors and home office personnel with compliance and responds to technical support questions on retirement-related topics. Prior to joining Commonwealth, John worked at Cafaro Greenleaf, where he was actively involved in sales/marketing and client service to plan sponsors nationwide. He was also recognized as one of the “Top 300 Most Influential Advisors in Defined Contribution” by 401k Wire® in 2009 and 2010. Prior to that, he worked at a subsidiary of the Bank of New York/Mellon, and was President of Sterne Agee Asset Management and Vice President of Alex Brown and Sons Incorporated. John holds FINRA Series 7, 8, 63, and 65 licenses, and CFP® and AIF® designations. In addition, he graduated from Emory University in Atlanta, GA. In his free time, John enjoys traveling; two of his favorite places are France and Argentina. He also enjoys creating culinary experiments at home and exploring new places around Southern California. In addition, he holds a “Certificat de Cuisine” from Le Cordon Bleu cooking school in Paris, France.
Associate Director, Retirement Consulting
Kathleen joined Commonwealth's Retirement Consulting Services team in March 2009. As the assistant director, Kathleen's core responsibilities include leading Retirement Consulting Services global brand and setting the direction for the development and execution of products and services that support advisors in the retirement plan marketplace. Additionally, she develops, adapts, and manages packaged retirement product solutions for both wealth management practices and retirement practices across Retirement Consulting Services and Wealth Management. Kathleen graduated from Stonehill College with a degree in business administration and marketing, and she holds several FINRA registrations. In her free time, she enjoys playing golf, cooking, and hosting clambakes in coastal Maine.
Retirement Plan Sales Consultant
Derek joined Commonwealth in April 2011. In his current role, he fields inquiries from advisors and home office staff on all retirement-related topics and initiatives. He also provides consultation for our advisors on all aspects of their retirement plan practices. Derek graduated from Bentley University with a degree in economics/finance and a minor in law.