Follow the Fundsters - May 23, 2017
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Tuesday, May 23, 2017

Follow the Fundsters - May 23, 2017

Company: FINRA

Appointment: Andrew S. Duff

After FINRA's 'Special Meeting' hosted on May 19, Duff was elected as large firm governor to the FINRA Board of Governors. Duff is currently the chairman and CEO of Piper Jaffray Companies, a position held since 2003.


Company: HD Vest

Appointment: David L. Peavler

Peavler was appointed as general counsel at HD Vest. Previously, Peavler was the associate director at the SEC's Fort Worth Regional Office in charge of the enforcement efforts in Texas, Oklahoma, Arkansas and Kansas.


Company: Macquarie Investment Management

Appointment: Thomas Hobson

Hobson was appointed as associate director, insurance solutions at Macquarie. Previously, Hobson was employed at BlackRock, where he served as relationship manager and head of business development for retail financial institutions.


Company: SSgA

Appointment: Robert McGowan

McGowan was appointed as head of americas institutional partnership sales at SSgA. In this newly created role, McGowan will be overseeing the following institutional segments: sub-advisory, OCIO partnerships and DC platform sales. Previously, he was employed at UBS, serving as the head of 3rd party retail and financial institutions group.


Company: Vestmark

Appointment: Lonnie Macdonald

Macdonald was appointed as chief marketing officer at Vestmark. Previously, Macdonald was employed at Foreside Financial.


Company: The Colony Group

Promotions: Timothy Jester, Jeremy Kuhlen, Bill Weydemeyer, John White

All the above employees were promoted to principals at Colony Group, amounting to a total of 36 at the firm. Jester is director of the Colony's Institutional Advisory Practice and a senior investment counselor, Kuhlen and Weydemeyer are senior financial counselors, and White serves as Colony's chief advisement officer.


Company: SEC

Appointment: Jaime Klima

Klima was appointed as chief counsel to Jay Clayton, chairman at the SEC. Previously, Klima served as co-chief of staff at the SEC.


Company: SEC

Appointment: Sean Memon

Memon was appointed as the agency's deputy chief of staff. Previously, Memon practiced law at Sullivan & Cromwell LLP in Washington, D.C.


Company: Prudential Annuities

Appointment: Dianne Bogoian

Bogoian was appointed as head of product at Prudential. She was previously employed at Voya Financial.


Company: Wells Fargo Asset Management

Departure: Ashok Bhatia

As of May 22, senior portfolio manager of the Wells Fargo Multi-Sector Income Fund, Bhatia, departed from Wells Fargo Asset Management. However, Christopher Kaufmann, Michael Lee, Anthony Norris, Nicholas Nordenfelt, Alex Perrin, Philip Susser Christopher Wightman, Peter Wilson, and Noah Wise will remain to PM the fund.


Company: Horizon Investments

Appointment: John Drahzal

Drahzal was appointed as head of distribution at Horizon. Previously, he was president of of Reich & Tang.


Check back as we keep an eye on people moves in the future and see our previous Follow the Fundsters (previously know as People on the Move) column here. For the latest SEC filings and fund launches, explore our Filings For Fundsters (formerly Stork and Reaper) and New Fund Fuss columns. For job opportunities in the industry, explore our The Next Gig column. If you have a fund filing, a mutual fund launch, a product change or a new hire that you would like to announce, please contact the MFWire team at

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