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Dave Caruso, CFP® | Founding Chairman / Managing Director
Dave attributes his achievements in Financial Planning and Wealth Management to three core themes: experience, effective communication, and attention to the details necessary to manage money in a quickly changing world. Dave is in his fourth decade in the advisory business, having graduated with his BA in finance at UMASS Amherst in 1980, and subsequently attained his CFP® (Certified Financial Planner) designation.
Through the years, Dave has steered hundreds of clients with hundreds of millions of dollars through three major crashes, five bear markets, four recessions, and countless financial events. He's also led clients through the many fads and trends over the last 30 years. Dave aspires to help people connect their money with their lives. Under his guidance, clients are kept on track to accomplish the things that are important in their lives, such as educating their children and grandchildren, retiring, and leaving a legacy to their loved ones. Dave's skill has earned him the recognition of being named as a 5-Star Wealth Manager in the Boston area in 2010 and 2011, which put him in the top 4% of the 14,600 Wealth Managers in and around Boston.*
Dave's talent for both communication and education is highlighted in numerous ways. He is co-author of two books on personal finance and money management. Using straightforward and often humorous examples, these books explain the process of financial planning, as well as the world of investing and its effects on the investor. Dave has been tapped as a resource and quoted in articles in the Boston Globe, Boston Herald, Boston Business Journal, Banker & Tradesman, Business Week, and Worth, among others.
Dave also hosts and appears on many regional and national television and radio stations, including CNBC, CNN, Bloomberg, MSNBC, Business Week TV, Fox News, and New England Cable News. Dave can be heard daily on WBZ Radio 1030AM as the Financial Editor for a decade, reporting pre-market opening comments as well as the weekly recap and timely news.
In addition, Dave has served on the Board of the Boston chapter of the Financial Planning Association. Dave currently serves on the Board of Research ILD, an institute for children with learning disabilities and is a member of the Boston Chapter of UMASS Amherst’s Leadership Committee. He has taught various courses at local colleges and continues to educate adults and children through his numerous seminars on the topic of money.
Dave lives on Boston's North Shore with his wife of 27 years, Diane, and their two children, Alex and Laura. He enjoys basketball, tennis, golf, and all of his wonderful clients.
Three words Dave uses to describe himself: Resilient, Trustworthy, and Knowledgeable.
Connect with Dave on LinkedIn*The Five Star Wealth Manager is an award based on client satisfaction. Respondents evaluate criteria such as customer service, expertise, value for fee charge and overall satisfaction. The overall score is based on an average of all respondents and may not be representative of any one client’s experience.
James Horrocks, CFP®, AIF®, MBA | Managing Director
James began his financial career over eighteen years ago at New England Mutual as a financial analyst and continued his career at State Street Global Advisors. Fifteen years ago, James started his own financial practice providing financial advisory services for individuals and small to mid-size companies across the country. He is well noted for his expertise in finance and his skill for providing highly personalized services.
He received his Bachelor of Science Degree in Finance with minors in Economics and Spanish from the UMASS Amherst and holds a Master of Business Administration degree in Finance from Boston University. James achieved the highly prestigious CFP® designation in 1996 and the AIF® designation in 2009.
James has earned LPL’s top 200 producer category several times. He was also featured in the February 2011 edition of Boston magazine as one of the Best of Boston Wealth Managers for the second year in a row.*
When James is not working he enjoys spending time with his wife, Elaine, and his two children, Adin and Alicia. He takes pleasure in traveling, boating, golfing, and hiking. James stays actively involved in his community by volunteering in youth sports and also for his town's finance committee.
Three words James uses to describe himself: Motivated, Considerate, and Loyal.*The Five Star Wealth Manager is an award based on client satisfaction. Respondents evaluate criteria such as customer service, expertise, value for fee charge and overall satisfaction. The overall score is based on an average of all respondents and may not be representative of any one client’s experience.
Sean Gibbons, CFP®, AIF®, MBA | Vice President of Personal Wealth Management
Sean has been working in the financial services industry for 17 years. His career started in customer service at Putnam Investments before moving to a position at State Street Global Advisors. There, he worked in investments prior to advancing towards marketing for the portfolio management team for retirement and pension plans.
Sean continued on to become a Marketing Officer at Independence Investments, a small institutional money management firm. His responsibilities included marketing and communications for the firm’s investment products to institutional pension plans and consultants across the nation. For seven years, Sean worked as a Vice President for a premier portfolio software company in New York City. His role was to create portfolio products and perform performance analysis for the largest pension plans and money managers in the world. In 2006, he joined LPL Financial as a financial planner focusing on servicing individuals as well as providing retirement solutions to small and mid-size enterprises.
He graduated with honors with a Bachelor's Degree from the University of Massachusetts, Amherst, and holds a Master of Business Administration degree in Finance from Boston University. Sean achieved the highly prestigious CFP® and AIF® designations in 2009.
Sean lives in Charlestown with his wife, Jennifer. They enjoy traveling and spending time with friends and family.
Three words that Sean uses to describe himself: Reliable, Charismatic, and Driven.
Katelynn Kendall | Director of Operations
Katelynn has over five years' experience in the financial industry. She manages the day-to-day operations, including the establishment of procedures and policies as well as overseeing compliance. Katelynn is also responsible for investment research, analysis, and portfolio design.
She graduated from Salem State University with a Bachelor of Science Degree in Finance. Katelynn holds the Series 7 and Series 66 FINRA licenses.
Her free time is enjoyed spending time with her dogs and loved ones.
Three words that Katelynn uses to describe herself: Artistic, Optimistic and Ambitious.
Brittany DeLeo | Client Relations Manager
Brittany has two years of experience in the financial industry working as an advisor's assistant. She enjoys working closely with clients and has recently transitioned into a client relations position.
Brittany is a cum laude graduate of Villanova University, where she earned a Bachelor of Science in Finance with a minor in marketing. She holds both the Series 7 and Series 66 registrations, held with LPL Financial.
In her spare time, Brittany enjoys reading, traveling, and spending time with her family and friends.
Three words that Brittany uses to describe herself: Genuine, Compassionate, and Athletic.