Page 25 - Investment Advisor September 2021

International Women’s Day program, which was delivered in a consecutive years. Rodriguez is board chair of the Immigrant
virtual format to a global audience of more than 1,000 people. Law Center of Minnesota. He’s also a board member of
Minnesota LatinoLEAD. He serves as D&I chair for Minnesota
Katie Moore, a managing director with State Colleges & Universities and is chair of the Securities
Hamilton Lane, leads the company’s Diversity, Industry and Financial Markets Association D&I Committee.
Equity & Inclusion Council. She helped create
a new “HL-All” strategic plan aimed at embed- Amy Webber, Cambridge Investment Research
ding DEI into the fabric of the firm. She helped president and CEO, always has been a strong
launch the firm’s DEI Speaker Series and an internal DEI Slack advocate of diversity & inclusion. Some of her
channel. She also has served as a mentor to interns in the com- recent efforts include devising a formal Code of
pany’s partnership with Girls Who Invest, and as a participant Conduct, which aligns values of integrity, com-
at the annual Undergraduate Women’s Private Equity Summit. mitment, flexibility and kindness expected of every Cambridge
Moore also spearheaded the firm’s Social Justice Chats associate in dealing with other employees as well as clients and
(#SJChats), a series of employee-facilitated small group con- vendors. She also set up a DEI committee to help the firm set
versations about racial and social inequities. strategy and drive change, as well as a DEI Advisory Council of
Financial Professionals, made up of advisors, to foster a culture
Christopher Gandy, an advisor with Midwest where all advisors, staff and clients feel comfortable and have
Legacy Group LLC, is an active member of the the resources to feel valued and respected.
National Association of Insurance and Financial
Advisors’ Diversity, Equity & Inclusion Council. Fanci Worthington, a branch manager for
A board member for Alive Youth Team Center, Cetera Investors, recruits with diversity in
he also hosts an annual basketball camp. To increase financial mind. Last year, she co-founded Cetera’s
literacy, he presents at the Student National Medical Diversity, Equity, Inclusion and Belonging
Association. He also spends time serving on the board of the Council — a yearlong commitment to work
Chicago Concussion Coalition, is on the board of directors of with the firm’s CEO and others to find ways to recruit and sup-
the Urban League, is part of the United Way’s Young port women, people of color, and others on the Cetera team.
Community Leaders and volunteers for the Big Brothers Big The council has helped raise nearly $250,000 for renewable
Sisters organization. scholarships for next-gen financial planners. In April,
Worthington co-chaired the first Connect2Impact — a quar-
Shundrawn Thomas, Northern Trust Asset terly event for Cetera Financial Group financial professionals
Management president, as one commentator and employees that navigates how to better serve those tradi-
said, “dives right into the inconvenient truth tionally underrepresented in the financial profession.
many of us want to avoid.” During his career,
he’s been an executive sponsor of Northern Tom Hake, president of Hake Investment
Trust’s Women & Leadership Council and head of the firm’s Group, an affiliate of Raymond James Financial
Latin American Leadership Council. He has hired and pro- Services, is founder and national co-chair of
moted numerous women and minorities for senior positions. the Raymond James Pride Financial Advisors
Also, he expanded NTAM’s Minority Brokerage Program to Network, whose mission is to support clients
include research; added disabled individuals and veterans; and and advisors who identify within and serve the LGBTQ+ com-
in 2021 increased to 15% from 10% the firm’s target for com- munity. Launched last year, the network today claims a mem-
missions on equity trades executed through minority brokers bership of nearly 200 LGBTQ+ advisors and community allies.
regarding all of its collective investment trusts. Hake also served as co-coordinator and co-presenter for the
firm’s three-month research and review process to adopt
transgender-inclusive medical benefits in October 2019.
INDIVIDUALS – BROKER-DEALERS

Rudy Rodriguez leads Ameriprise Financial’s INDIVIDUALS – OTHER
enterprise diversity & inclusion strategy, which
focuses on recruiting diverse candidates, D&I Natasha Horn, director at BNY Mellon’s
training and a supplier diversity program. He Albridge, an affiliate of Pershing, elevates
also created a Global Diversity Speaker Series, diversity, equity and inclusion and recom-
and under his leadership, the company has increased recruit- mends actions ensuring inclusivity. She has
ing and retention of women and people of color for the past five been advancing DEI for 15+ years as a leader

SEPTEMBER 2021 INVESTMENT ADVISOR 23