Gradient Investments, LLC

William Roach is the principal of Whichard Roach Financial in Greensboro, NC, holding Series 63 and Series 65 licenses with nine years of industry experience. He has been involved in the financial services sector since 1988 through William J Roach, Inc., and has maintained roles at Gradient Advisors, LLC and Whichard Roach & Associates. Roach serves on the board of the Greensboro Kiwanis chapter, focusing on community service initiatives for children. Whichard Roach Financial provides investment advisory and portfolio management services to individuals, high-net-worth clients, and business entities, operating a co-advisor model that combines discretionary portfolio oversight with third-party implementation. The firm also maintains a significant insurance business alongside its investment advisory services.

Tyler Ellegard is a CFA® charterholder with nine years of industry experience, currently serving at Gradient Advisors, LLC. He has worked at Gradient Investments, LLC and U.S. Bancorp Investments, Inc., among other firms. Ellegard is president of Gradient Advisors and dedicates the majority of his time to this role. Gradient Advisors, LLC provides investment management, financial planning, and consulting services to a diverse client base including individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, corporations, and business entities. The firm supports a network of 169 advisors across 154 offices and employs a mix of fundamental, technical, and cyclical analysis to tailor strategies, while offering financial planning and consulting on fixed-fee or hourly terms.

Dominic Boggio is a financial advisor at Gradient Investments, LLC with six years of industry experience. He holds a Series 66 designation and has worked at several firms including Morgan Stanley, RBC Capital Markets, and Thrivent Investment Management. Gradient Investments, LLC is an SEC-registered, fee-only investment manager that provides discretionary portfolio management to institutional accounts, pension and profit-sharing plans, trusts, corporations, charitable organizations, and individual investors. The firm offers a range of strategies primarily implemented through ETFs, mutual funds, and individual equities, managing approximately $8 billion in assets for over 26,000 clients.

Douglas Amis is a CFP® with 13 years of industry experience, currently serving at Gradient Investments, LLC. He has held roles at William B. Clark, CFP CPA, and owns Damis, Inc., where he works as an insurance agent. Amis also serves on the board of the Durham Community Land Trustees, a nonprofit organization. Gradient Investments, LLC is a fee-only, SEC-registered investment manager providing discretionary portfolio management to institutional and individual clients. The firm offers a range of strategies primarily implemented through ETFs, mutual funds, and individual equities, managing approximately $8.07 billion in assets.

Felipe Baeza Correa is a financial advisor at Gradient Investments, LLC with one year of industry experience. He holds a Series 65 designation and has held roles at Civitas Financial LLC, Gradient Advisors, LLC, Integrity Alliance, LLC, and Caris Financial Holdings. Outside of advisory work, he is involved in managing finance operations at Caris Financial Holdings and owns Baeza Financial Solutions, LLC, providing personal accounting consulting. Gradient Investments, LLC is an SEC-registered, fee-only investment manager serving institutional accounts, retirement plans, trusts, corporations, charitable organizations, and individual investors. The firm offers a range of portfolio strategies primarily implemented through ETFs, mutual funds, and equities, managing approximately $8.07 billion in discretionary assets.

Carter Mc Graw is a financial advisor at Gradient Investments, LLC with a Series 65 credential and one year of industry experience. Prior to joining Gradient Investments, he worked at Case Central, LLC and Gartner Companies, and he was a full-time student for nine years. Gradient Investments, LLC is an SEC-registered, fee-only investment manager serving institutional accounts, retirement plans, trusts, corporations, charitable organizations, and individual investors. The firm manages a broad range of strategies primarily through ETFs, mutual funds, and individual equities, with approximately $8.07 billion in discretionary assets under management as of late 2025.

Cheryl McCarthy is a financial advisor with Commoncents Wealth Advisors, LLC in New Port Richey, FL, holding Series 63 and Series 65 licenses and bringing 22 years of industry experience. She has worked with several firms, including Gradient Investments, LLC, E.W. Turk, and 40 Day Wealth, LLC, and operates a tax and accounting services business as a sole proprietor. She is also involved in physical gold and silver sales as an independent agent and provides legal services as a subcontractor. Commoncents Wealth Advisors offers personalized financial planning and discretionary portfolio management to individuals, trusts, estates, charitable organizations, and business entities. The firm tailors investment programs to client objectives and risk tolerance using a combination of fundamental, technical, and cyclical analysis, and manages accounts through direct oversight or third-party strategists.

Charles Foss is the principal and sole advisor at Foss Wealth Management, Inc. in La Grange, North Carolina, with 16 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Gradient Investments, LLC since 2015. In addition to his advisory role, Foss serves as president and insurance agent at The Foss Agency, Inc., where he spends more than half of his professional time. Foss Wealth Management, Inc. is a small independent firm providing personalized financial planning and consulting primarily to high-net-worth individuals, pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm does not manage client assets directly but evaluates client needs and places assets with third-party money managers, delivering advice through consultations and written financial plans with fixed or hourly fees.

Thomas Braun is an investment advisor at Gradient Investments, LLC with 12 years of industry experience. He holds Series 63, Series 65, and Series 66 credentials and has worked at Gradient Investments since 2018. Braun is also the owner of GoldenGuard Financial, an insurance services and products business based in Matthews, NC. Gradient Investments, LLC is an SEC-registered, fee-only investment manager that provides discretionary portfolio management to institutional and individual clients. The firm offers a broad range of strategies primarily implemented through ETFs, mutual funds, and individual equities, managing approximately $8.07 billion in assets for over 26,000 clients.

Nicole Alexander is a financial advisor with Gradient Investments, LLC, holding a Series 65 designation and 15 years of industry experience. She has been with Gradient Investments since 2009. Gradient Investments, LLC is an SEC-registered, fee-only investment manager providing discretionary portfolio management to a diverse client base including institutional accounts, pension plans, trusts, corporations, charitable organizations, and individual investors. The firm offers a wide range of investment strategies primarily implemented through ETFs, mutual funds, and individual equities, managing approximately $8.07 billion in discretionary assets.

Abbey Recser is a financial advisor at Gradient Investments, LLC with a Series 65 credential and one year of industry experience. Prior to joining Gradient, Abbey held positions at Premier Financial Solutions, Veradigm, Rothman Health Solutions, and U.S. Physical Therapy/Horizon Sports Medicine & Rehabilitation. Gradient Investments, LLC is an SEC-registered, fee-only investment manager providing discretionary portfolio management to a range of clients including institutional accounts, retirement plans, trusts, and individual investors. The firm offers diverse strategies primarily implemented through ETFs, mutual funds, and individual equities, managing approximately $8.07 billion in discretionary assets as of late 2025.

Andrew Fischer is a financial advisor at Gradient Investments, LLC with 23 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Gradient Investments since 2016, including prior roles at U.S. Bancorp Investments and U.S. Bank. Gradient Investments, LLC is an SEC-registered, fee-only investment manager serving institutional accounts, retirement plans, trusts, corporations, charitable organizations, and individual investors. The firm offers a variety of discretionary portfolio management strategies, including strategic, tactical quantitative, allocation, defined outcome, and private wealth approaches, primarily implemented through ETFs, mutual funds, and individual equities.

Sean Stevenson is a financial advisor with Gradient Investments, LLC, holding a Series 66 designation and over eight years of industry experience. His prior experience includes roles at Charles Schwab & Co., Inc., TD Ameritrade, and Gallacher Capital Management, LLC. Gradient Investments, LLC is an independent SEC-registered investment adviser managing approximately $8.2 billion in discretionary assets. The firm provides portfolio management services to individuals, high-net-worth clients, institutions, and retirement plans, employing proprietary strategies and risk-based portfolio construction primarily using ETFs and mutual funds.

Mark Fricks is a financial advisor at Gradient Investments, LLC with 31 years of industry experience. He holds Series 63 and Series 65 credentials and has worked at Gradient Investments since 2022. Prior to that, he was involved with MasterPlan Retirement Consultants, Inc., and Masterplan Tax Services, Inc. He is also the owner of FRICKS AND ASSOCIATES, INC., where he engages in fixed insurance and precious metals sales. Gradient Investments, LLC is an SEC-registered, fee-only investment manager providing discretionary portfolio management to institutional accounts, retirement plans, trusts, corporations, charitable organizations, and individual investors. The firm offers a range of investment strategies primarily implemented through ETFs, mutual funds, and individual equities, and serves as a sub-advisor to an ETF while providing ERISA 3(38) fiduciary services.

Keith Gangl is a CFA® charterholder with seven years of industry experience. He has worked at Gradient Investments, LLC since 2018 and previously spent 24 years at Thrivent Financial for Lutherans. Gradient Investments, LLC is an SEC-registered, fee-only investment manager serving institutional accounts, pension and profit-sharing plans, trusts, corporations, charitable organizations, and individual investors. The firm offers a broad range of investment strategies implemented primarily through ETFs, mutual funds, and individual equities, managing approximately $8.07 billion in discretionary assets.