Page 42 - Investment Advisor November 2022

Executive Leadership

Shannon Spotswood In October 2021, the firm bought AdvisorPeak, which offers
As president of RFG Advisory, Shannon wealth managers enterprise-class portfolio trading and
Spotswood has — in partnership with CEO rebalancing tools.
Bobby White and Chief Investment Officer
Rick Wedell — led the firm’s growth as it Susan Theder
expanded by $1.13 billion in assets under advisement, or 51%, As chief marketing and experience officer of
over the past 18 months to reach $3.5 billion, while adding 24 FMG, Susan Theder aims “to help advisors
team members. Spotswood also has overseen RFG 2.0, a plat- leverage technology to market more efficiently
form designed for independent financial advisors, and directed and effectively,” the firm says.
the launch of the StrongHER Money advisor support platform She hosts webinars and writes about trending topics like
and resources, as well as the War Room Huddle Podcast series. the new SEC Marketing Rule; one event had 700 attendees. To
RFG Advisory recently introduced the firmwide initiative help advisors navigate opportunities tied to the rule, she led
RFG Assist, which handles administrative assistant and W-2 FMG in creating a new series of content focused on fully com-
employee tasks for advisors; when one of its advisory firms pliant strategies and best practices to help advisors leverage
lost a long-time administrative team member to cancer, it testimonials and reviews in their marketing programs.
quickly got the help it needed via RFG Assist. Spotswood Theder also shares marketing tips and ideas for advisors
also traveled to meet and support the advisory firm through on social media. She recently helped steer and update FMG’s
this difficult and sudden transition, according to RMG. In product and technology strategy, leading the firm “through a
her spare time, she serves as vice chair of the board of the complete brand refresh in less than six months” and shifting
Birmingham Education Foundation. its content strategy to include materials written by her col-
league Samantha Russell and herself.
Ruchir Swarup
As chief technology officer at Addepar, Ruchir Monali Vora
Swarup “has fostered a culture of innovation As head of Goldman Sachs Asset Management’s
to keep its leading portfolio reporting and Custom Equity and Direct Indexing business,
data aggregation platform on the cutting edge Monali Vora has become an industry leader
of financial services technology,” the firm says. Today, more in direct indexing and personalization, the
than 700 family offices, RIAs and large financial institutions firm says. Its direct indexing business for separately managed
use Addepar’s wealth-management platform in 25-plus coun- accounts is among the top two in the U.S. by assets under
tries — with $3.8 trillion in client assets on the platform, which supervision, with $17 billion in net flows last year, according to
is capable of growing about $15 billion per week, it adds. Cerulli Associates. The team she heads is a diverse group that
In January 2021, Addepar acquired RCI and then launched includes 16 investment professionals. It has grown to roughly
Navigator, a tool that helps clients “codify cash flow, liquid- $149 billion in assets under supervision across 27,000-plus
ity and tax projections, and refine pacing models,” it says. separately managed accounts.

2022 Statement of Ownership
1. Publication Title: Investment Advisor 2. Publication No. 1069-1731. 3. Filing Date: September 22, 2022. 4. Frequency: monthly except for combined issues in Jan/Feb, Apr/May and Jul/Aug. 5. No. of Issues Published Annually: 9. 6. Annual
Subscription Price: $79 Contact Person: Lynn Kruetzkamp Telephone (Include area code) 859-692-2256. 7. Complete address of Known Office of Publication: 4157 Olympic Blvd., Suite 225, Erlanger, KY 41018 8. Complete Mailing Address
of Headquarters or General Business Office of Publisher: 150 East 42nd Street, Mezzanine Level, New York, NY 10017 9. Full Names and Complete Mailing Addresses of Publisher, Editor, and Managing Editor; Publisher: Adam Dunn, 150
East 42nd Street, Mezzanine Level, New York, NY 10017. Editor: Janet Levaux, 150 East 42nd Street, Mezzanine Level, New York, NY 10017. Managing Editor: N/A 10. Owner: ALM Global, LLC, 150 East 42nd Street, Mezzanine Level, New
York, NY 10017 11. Known Bondholders, Mortgagees, and Other Security Holders Owning or Holding 1 Percent or More of Total Amount of Bonds, Mortgages, or Other Securities: None 12. Tax Status (For completion by nonprofit organizations
authorized to mail at nonprofit rates) (Check one). The purpose, function, and nonprofit status of this organization and the exempt status for federal income tax purposes: Has Not Changed during Preceding 12 Months. Has changed during
preceding 12 Months (Publisher must submit explanation of change with this statement): Not Applicable. 13. Publication Title: Investment Advisor. 14. Issue Date for Circulation Data Below: September 2022. 15. Extent and Nature of Circulation.
15a. Total No. of copies (net press run) – Average No. Copies Each Issue During Preceding 12 Months: 35,352 Actual No. Copies of Single Issue Published Nearest to Filling Date: 35,416 15b. Paid and/or Requested Circulation (By Mail and
Outside the Mail) – (1) Mailed Outside-County Paid Subscriptions Stated on PS Form 3541 (Include paid distribution above nominal rate, advertiser’s proof copies, and exchange copies) – Average No. Copies Each Issue During Preceding 12
Months: 18,285. No. Copies of Single Issue Published Nearest to Filing Date: 18,984. (2) Mailed In-County Paid Subscriptions Stated on PS Form 3541 (Include paid distribution above nominal rate, advertiser’s proof copies, and exchange
copies) – Average No. Copies Each Issue During Preceding 12 Months: None. No. Copies of Single Issue Published Nearest to Filing Date: None. (3) Paid Distribution Outside the Mails Including Sales Through Dealers and Carriers, Street
Vendors, Counter Sales, and Other Paid Distribution Outside USPS® – Average No. Copies Each Issue During Preceding 12 Months: 2. No. Copies of Single Issue Published Nearest to Filing Date: 1. (4) Paid Distribution by Other Classes of
Mail through the USPS (e.g., First-Class Mail®) – Average No. Copies Each Issue During Preceding 12 Months: None. No. Copies of Single Issue Published Nearest to Filing Date: None. 15c. Total Paid and/or Requested Circulation [Sum of
15b (1), (2), (3), and (4)] – Average No. Copies Each Issue During Preceding 12 Months: 18,287 No. Copies of Single Issue Published Nearest to Filing Date: 18,985. 15d. Non-requested Distribution (By Mail and Outside the Mail) – (1) Free or
Nominal Rate Outside-County Copies included on PS Form 3541 – Average No. Copies Each Issue During Preceding 12 Months: 16,871. No. Copies of Single Issue Published Nearest to Filing Date: 16,171. (2) Free or Nominal Rate In-County
Copies Included on PS Form 3541 – Average No. Copies Each Issue During Preceding 12 Months: None. No. Copies of Single Issue Published Nearest to Filing Date: None. (3) Free or Nominal Rate Copies Mailed at Other Classes through
the USPS (e.g., First-Class Mail) – Average No. Copies Each Issue During Preceding 12 Months: None. No. Copies of Single Issue Published Nearest to Filing Date: None. (4). Free or Nominal Rate Distribution outside the Mail (Carriers or other
means) – Average No. Copies Each Issue During Preceding 12 Months: 194 No. Copies of Single Issue Published Nearest to Filing Date: 260. 15e. Total Nonrequested Distribution (Sum of 15d (1), (2), (3) and (4)) – Average No. Copies Each
Issue During Preceding 12 Months: 17,065. No. Copies of Single Issue Published Nearest to Filing Date: 16,431 15f. Total Distribution (Sum of 15c and 15e) – Average No. Copies Each Issue During Preceding 12 Months: 35,352. No. Copies
of Single Issue Published Nearest to Filing Date: 35,416. 15g. Copies not Distributed (See Instructions to Publishers #4 (page #3)) – Average No. Copies Each Issue During Preceding 12 Months: None. No. Copies of Single Issue Published
Nearest to Filing Date: None. 15h. Total (Sum of 15f and g) – Average No. Copies Each Issue During Preceding 12 Months: 35,352. No. Copies of Single Issue Published Nearest to Filing Date: 35,416. 15i. Percent Paid and/or Requested (15c
divided by 15f times 100) – Average No. Copies Each Issue During Preceding 12 Months: 51.73%. No. Copies of Single Issue Published Nearest to Filing Date: 53.61%. 16a. Requested and Paid Electronic Copies - Average No. Copies Each
Issue During Preceding 12 Months: 15,000. No. Copies of Single Issue Published Nearest to Filing Date: 15,000 16b. Total Requested and Paid Print Copies (Line 15c) + Requested/Paid Electronic Copies (Line 16a) - Average No. Copies Each
Issue During Preceding 12 Months: 33,287 No. Copies of Single Issue Published Nearest to Filing Date: 33,985 16c. Total Requested Copy Distribution (Line 15f) + Requested/Paid Electronic Copies (Line 16a) - Average No. Copies Each
Issue During Preceding 12 Months: 50,352. No. Copies of Single Issue Published Nearest to Filing Date: 50,416 16d. Percent Paid and/or Requested Circulation (Both Print & Electronic Copies) (16b divided by 16c x 100) - Average No. Copies
Each Issue During Preceding 12 Months: 66.11%. No. Copies of Single Issue Published Nearest to Filing Date: 67.41% I certity that 50% of all my distibuted copies (electronic and print) are legitimate requests or paid copies. 17. Publication
of Statement of Ownership. If the publication is a general publication, publication of this statement is required. Will be printed in the November 2022 issue of this publication. 18. Signature and Title of Editor, Publisher, Business Manager, or
Owner. Date. I certify that all information furnished on this form is true and complete. I understand that anyone who furnishes false or misleading information on this form or who omits material or information requested on the form may be
subject to criminal sanctions Sheila Hyland, Senior Finance Director. 9/22/22
40 INVESTMENT ADVISOR NOVEMBER 2022 | ThinkAdvisor.com

IA1122_CoverStory.indd 40 10/17/2022 2:39:15 PM