Richard Kos is a CFA® charterholder and registered investment adviser with five years of industry experience. He is the president of Kos Consultants, an educational institutional consulting and marketing services firm unrelated to securities, which he has operated since 2007. Kos serves as the sole advisor at Sursum Financial LLC, based in Madison, CT. Sursum Financial is a single-advisor independent firm providing discretionary and non-discretionary asset management, financial planning, and consulting to individuals, high-net-worth clients, trusts, estates, business owners, family offices, and select institutional and charitable organizations. The firm combines proprietary and third-party research, typically favoring a longer-term buy-and-hold approach while allowing tactical adjustments, and offers performance-based fee arrangements to qualified clients.

John Bubello is a CFP®-designated financial advisor with 20 years of industry experience. He is the principal at Compass Retirement, LLC, an independent firm he has led since 2011. Prior to founding Compass Retirement, he worked at Everlist, LLC from 2014 to 2017. Outside of his advisory role, he manages an income-producing real estate entity as a part-time activity. Compass Retirement, LLC serves individuals and high-net-worth clients with customized financial planning and discretionary portfolio management, as well as consulting services for retirement plan sponsors. The firm employs a diversified, asset-class allocation approach guided by Modern Portfolio Theory and focuses on retirement-plan clients, advising approximately $167 million in retirement-plan assets.

With family at the center of everything I do, I help you build, manage, and protect your wealth—so your loved ones inherit clarity, not chaos. As a family wealth advisor specializing in estate planning, my work goes beyond documents. I help families align their estate plan with their retirement strategy, tax decisions, and investments—so everything works together as one coordinated plan. Too often, I meet families in the middle of avoidable situations: messy estate settlements, unexpected tax bills, unclear wishes, and financial decisions made under pressure. What should be a time of support turns into confusion, conflict, and costly mistakes. I built my firm to change that. Through thoughtful estate planning, retirement planning, tax strategy, and investment management, I help families stay organized, intentional, and prepared—so when the time comes, everything is handled the way you intended. If you’re worried your family might one day have to untangle a financial mess—or you’ve seen it happen and want to do better—let’s talk. Schedule a free 30-minute consultation and start building a legacy your family will be proud of.

Dennis O'Connor is the sole advisor at Brae Head, Inc. in Essex, CT, holding Series 63 and Series 65 credentials with 21 years of industry experience. He has been with Brae Head, Inc. since 1997. Brae Head, Inc. provides fee-only, discretionary portfolio management and basic financial planning to individuals, families, trusts, businesses, and retirement plans, including charitable organizations. The firm uses a disciplined, systematic investment process based on Modern Portfolio Theory and actively manages diversified equity and fixed-income portfolios, serving a relatively small client base with approximately $82 million in assets under management.

Evan Wax is the principal advisor at Wax Asset Management LLC in Madison, CT, holding Series 63 and Series 65 licenses with 14 years of industry experience. He has led Wax Asset Management since 2011. Outside of his advisory role, he serves as an independent board member at Servotronics, Inc. Wax Asset Management LLC provides discretionary investment supervisory services to individual and high-net-worth clients, managing approximately $107.8 million across about 74 accounts. The firm employs a combination of fundamental and cyclical analysis, utilizing strategies including short sales and options writing, and conducts quarterly portfolio reviews with direct management of client assets.

Pawel Borowiec is a financial advisor at Norfield Capital, LLC with 14 years of industry experience. He holds Series 63 and Series 65 designations and has been with Norfield Capital since 2015. Borowiec is also the owner and managing member of BlueStream Capital Partners, Inc., a hedge fund where he serves as general partner and devotes part of his time. Norfield Capital provides discretionary investment management to individual clients and investors in a pooled limited partnership, focusing on concentrated, long-term equity positions through a “private equity in public markets” approach. The firm also manages a pooled vehicle employing an ETF call-option long/short strategy, combining private fund management with derivative-based option strategies across accounts.

Frank Flores is a CFP® with 42 years of experience in the financial services industry. He is the sole advisor at Sound Planning and Investments, LLC, an independent firm he founded in 2017 after prior roles at National Planning Corporation and LPL Financial LLC. He also holds a license as an insurance agent specializing in life, long-term care, and fixed annuities. Sound Planning and Investments, LLC provides investment management, financial planning, and consulting services to individuals, including high-net-worth clients, and small businesses. The firm focuses on asset allocation tailored to client goals and risk tolerance, using fundamental and technical analysis to select long-term holdings, primarily through non-discretionary relationships.

Thomas Alexa is the principal advisor at Alexa Wealth Management, LLC, an independent firm based in Deep River, CT. He holds Series 63 and Series 65 licenses and has 28 years of industry experience. Prior to founding his firm in 2019, he worked at Cambridge Investment Research Advisors and Ohanesian/Lecours, Inc. He is also a licensed independent insurance agent. Alexa Wealth Management serves primarily individual clients with discretionary portfolio management, financial planning, and retirement-plan consulting. The firm applies a blend of modern portfolio theory, fundamental analysis, and technical approaches, managing accounts typically on a discretionary basis while focusing on tailored advice aligned with client objectives and risk tolerance.

Douglas Brenneman is the sole advisor at Brenneman Investment Adviser, LLC, located in Centerbrook, CT. He holds the CFA® designation and Series 63 license, with 21 years of industry experience. He has led Brenneman Investment Adviser since 2004. Brenneman Investment Adviser, LLC offers discretionary and non-discretionary investment management and financial planning to individual investors and small business clients. The firm employs a disciplined, active money-management approach, combining tactical and strategic asset allocation with diversification across multiple asset classes, and provides specialized services such as a "Fund Only" option for employer-sponsored retirement plans.

Lawrence Kaplan is a financial advisor at Summit Investment Management, LLC with 36 years of industry experience. He holds a Series 63 designation and has been with Summit since 2009. Kaplan is also a licensed insurance agent in Lyme, CT, selling insurance products alongside his advisory work. Summit Investment Management provides individualized investment advisory and consulting services to individuals, including high net-worth clients, using tailored portfolios that may include stocks, bonds, mutual funds, ETFs, and private securities. The firm’s investment approach is based on fundamental analysis and asset-allocation principles, offering ongoing asset management, financial planning, and consulting engagements.

Emily Wood is a CFP® professional with nine years of industry experience, currently serving as an advisor at Jeffrey N. Mehler, CFP LLC. She previously worked at Connecticut Wealth Management, LLC and Asset Strategies, Inc. Wood is a board member of Advancing Connecticut Together and the Simsbury Meadows Performing Arts Center. Jeffrey N. Mehler, CFP LLC is an independent investment adviser managing approximately $391 million for individuals, trusts, estates, charitable organizations, and business entities. The firm offers customized financial planning and investment management services, employing a range of strategies including derivatives and margin transactions.

James Lagace is a financial advisor at Spurstone with a Series 66 designation and three years of industry experience. His prior roles include positions at RightCapital, Inc., Cetera Advisor Networks, and Royal Alliance Associates, Inc. Spurstone provides comprehensive financial planning and discretionary portfolio management primarily for individual and high-net-worth clients, as well as related entities such as trusts, corporations, and retirement plans. The firm specializes in business-owner advisory services, including concentrated stock management, executive compensation strategies, and business exit planning.

Lynn Cravinho is a financial advisor at Compass Rose Strategic Partners LLC with 17 years of industry experience. She holds a Series 66 designation and has worked with Vanderbilt Financial Group since 2024. Prior to that, she was affiliated with Triad Advisors, Inc. and has been with Compass Rose Strategic Partners since 2012. Compass Rose Strategic Partners provides financial planning, portfolio management, and advice on managed-account programs for individuals, trusts, pension and profit-sharing plans, and corporations. The firm employs a tailored asset-allocation process using mutual funds, ETFs, and third-party managers, and serves a diverse client base including institutional entities.

Mark Bobruff is a financial advisor at Tumolo Wealth Management LLC with 23 years of industry experience. He holds the Series 66 designation and has worked previously at LPL Enterprise, Prudential Financial Planning Services, and TD Ameritrade, among others. Tumolo Wealth Management provides investment advisory and portfolio management services primarily to individual and high-net-worth clients. The firm offers discretionary managed accounts and access to third-party sub-advisors, tailoring advice to clients' risk tolerance, time horizon, and goals.

Kenneth Tumolo is a CFP® with 12 years of industry experience, currently serving as an advisor at Tumolo Wealth Management LLC. His prior roles include positions at Tucker Asset Management and JB Capital LLC. He is also a licensed insurance agent, engaged in the sale of various insurance products. Tumolo Wealth Management LLC provides investment advisory and portfolio management services primarily to individual and high-net-worth clients, offering discretionary managed accounts and access to third-party sub-advisors and wrap-fee programs. The firm tailors advice to clients’ risk tolerance, time horizon, and goals, employing strategies such as asset allocation and dollar-cost averaging, with regular account reviews and an emphasis on tax consultation.

Paul Cheransky is a CFP® professional with 10 years of industry experience. He is currently with Jeffrey N. Mehler, CFP LLC and has previously worked at Panorama Financial LLC, SAX Wealth Advisors, and Silvercrest Asset Management Group. Jeffrey N. Mehler, CFP LLC is an independent investment adviser managing approximately $391 million for individuals, trusts, estates, charitable organizations, and business entities. The firm provides financial planning, investment management, and consulting services, employing a fundamental analysis-based investment process that includes customized portfolios and the use of derivatives and margin transactions where appropriate.

John Shaw is a Series 65-licensed financial advisor with 23 years of industry experience. He has been with Professional Alliance Associates, LLC since 2002 and concurrently serves as a full-time CPA and officer at Mason DiMarco and Shaw PC, a certified public accounting firm where he has worked since 1992. Professional Alliance Associates, LLC operates through fee‑sharing arrangements with other investment management firms and does not provide direct investment advice, manage client assets, or maintain discretionary authority. The firm focuses on operational support rather than hands-on asset management.

Mary Jane Sullivan is a CFP® with 17 years of industry experience and is the sole advisor at Sullivan Financial, LLC in Essex, CT. She has been with Sullivan Financial since 2008. In addition to her advisory role, she is involved in life and health insurance sales. Sullivan Financial serves individual clients, including high-net-worth individuals, as well as pension and profit-sharing plans, charitable organizations, and businesses. The firm provides financial planning and consulting and recommends portfolio management through co-advisory relationships with independent third-party registered investment advisers.

Timothy Golas is a financial advisor at Spurstone with 20 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Spurstone Advisory Services since 2016, following seven years at LPL Financial. Outside of his advisory role, he is involved with Spurstone Wealth Management, LLC, which offers a range of insurance products, and he has entrepreneurial experience developing a web and mobile application company. Spurstone provides financial planning and discretionary portfolio management primarily for individual and high-net-worth clients, including trusts, corporations, and retirement plans. The firm focuses on business-owner advisory services, offering strategies such as concentrated stock management, equity award planning, and business exit planning, often implementing client strategies through third-party investment solutions and comprehensive financial planning documents.

Shane Clarke is a financial advisor at Prosperity Capital Advisors with 27 years of industry experience. He holds Series 63 and Series 65 designations and has worked at firms including Geneos Wealth Management, FSC Wealth Advisors, NEXT Financial Group, Primerica Advisors, and Guardian Life Insurance. Outside of his advisory role, he coaches soccer for the Northeast Rush Soccer Club. Prosperity Capital Advisors provides financial planning, consulting, and discretionary investment management to a diverse client base, including individuals, businesses, charitable organizations, and retirement plan sponsors. The firm employs a model-driven, multi-sleeved investment approach utilizing core risk-based portfolios and specialized strategies across various asset types and platforms.