Retirement Industry Deals and People Moves – 10/3/2025

Cetera Names Paul Polese as Community Leader of RIA Blueprint

Cetera Financial Group named Paul Polese as the new community leader of RIA Blueprint. Polese will lead platform sales, relationship management and growth strategy for the dedicated community within Cetera’s RIA & Branches channel, which supports independent registered investment advisers.

Polese has nearly 30 years of experience serving independent financial advisers. Previously, he founded BCA Consultants and held senior sales and relationship management roles at Pershing, Charles Schwab and Fidelity.

“I’m a firm believer in the choice and flexibility the independent RIA model offers advisers, and in Cetera’s industry leadership in this area,” Polese said in a statement. “I’m excited to support advisers in achieving business goals.”

Cetera’s RIA & Branches channel launched in June. Cetera firms had more than $590 billion in assets under administration and $263 billion in assets under management as of June 30.

Ashton Thomas Private Wealth Names Doug Hagan as CIO

Ashton Thomas Private Wealth, a registered investment adviser owned by Arax Investment Partners, named Doug Hagan as chief investment officer. The appointment came as Ashton Thomas acquired Day Hagan, a wealth and asset management company based in Sarasota, Florida, that Hagan co-founded.

Day Hagan is made up of Day Hagan Asset Management and Day Hagan Private Wealth, and Hagan previously served as its chief investment strategist.

“The combination of Ashton Thomas and Day Hagan reflects a natural alignment of shared values, complementary strengths and a focus on long-term growth,” said Haig Ariyan, CEO of Arax Investment Partners and chairman of Ashton Thomas. “This is exactly the type of partnership we seek to pursue, creating an integrated experience where clients benefit.”

Additional Day Hagan team members joining Ashton Thomas include Natalie Brown as senior wealth adviser; Arthur Day as senior portfolio manager; and Regan Teague as deputy CIO.

NFP Adds 2 Benefits VPs

NFP Securities Inc., a broker, benefits consultant, wealth manager and retirement plan adviser owned by Aon Securities LLC, added Mark Carroll and Bill Schmidt, two benefits leaders based in northern Virginia. They will each serve as vice president of benefits in NFP’s Atlantic region, reporting to Katie McLaughlin, senior vice president of benefits.

NFP also acquired Small Business Insurance Solutions, Inc., a health insurance agency founded by Schmidt and Carroll, and Carroll’s ownership stake in Capital Group Benefits.

Schmidt and Carroll each have more than 30 years of experience. Previously, Schmidt served as the president of SBIS, and Carroll was a managing partner of CGB.

Prime Capital Financial Names Chief HR Officer

Prime Capital Financial, an advisory firm headquartered in Overland Park, Kansas, appointed Angel Taylor as its first chief human resources officer. Taylor has more than 25 years of experience and most recently served as head of people and culture at TreviPay.

Taylor will focus on advancing Prime Capital Financial’s people strategy, including leadership development and workforce planning. She previously was BarkleyOKRP’s senior vice president of human resources and held several leadership roles at Cerner Corp.