May 04

Rock Harbor adds California to its Coverage!

Rock Harbor continues to grow its sales force throughout the United States with experienced talent in the financial wholesale world.  Jamie Baugh joined the team on May 1st to cover California.
Statement from CEO Sean Ritchlin
”  Jamie is a terrific talent, as he has the rare combination of running portfolios in his past as a Portfolio Manager, and working with advisers as  a wholesaler. California is an important state for Rock Harbor and we wanted to make sure we engaged with someone with experience and knowledge of the territory.   Jamie certainly fits that mold.”
Jamie Baugh bio:
Jamie spent 7 years in distribution for Advisors Asset Management, Cincinnati Asset Management and Invesco. Jamie was a Portfolio Manager with Niemann Capital Management, co-managing international and domestic separate accounts. Jamie was also a United States Merchant Marine operating in the Southern Atlantic Seaboard and Northern Bahamas. Jamie graduated Summa Cum Laude with an MBA from Morrison University, with undergraduate degrees in Business Administration and Industrial Engineering from Indiana Institute of Technology.
Jamie and his wife Lindsay reside throughout the San Francisco Bay aboard their 54’ boat Cari Marie.
For all media requests please contact Rock  Harbor at 248-952-8000.

March 21

Rock Harbor adds two RVP’s

Rock Harbor recently added two Regional Vice President’s covering the Northeast, New Jersey and Manhattan.  Bob Tisler joined as an RVP covering New England in February of 2017 after being a Director of the Northeast for Schroder  Investment management since 2012. Prior to that he was a Senior Vice President at Cohen and Steers from 2000 to 2012.  He started his wholesaling career at Boston Capital where he was a Regional Vice President from 1994 to 2000.
George Mihalko joined Rock Harbor in March of 2017 as a Regional Vice President covering Northern New Jersey and Manhattan. With over 20 years of wholesaling experience George worked as a Vice President with Fidelity Investments.  He also worked at Lord Abbett and Wells Fargo funds Management as a Regional Manager.
Statement from CEO Sean Ritchlin
”  With the addition of Bob and George we continue to increase the awareness of our stories with top talent across the US.  Our model has proven to be a successful one for elite wholesalers to thrive in distribution of financial products.  Our goal is to have complete coverage of the US by the end of the year with a combination of seasoned leaders and a hybrid team based in Birmingham MI.”

November 21

Rock Harbor adds Senior Vice President

Keith Yoho joins Rock Harbor as a Senior Vice President and will be  covering Ohio, Pennsylvania & Kentucky.  With almost 20 years of experience in wholesaling most recently as a Senior Vice President at Dreyfus, Keith brings a wealth of knowledge and experience to the team at Rock Harbor.
CEO Sean Ritchlin
“Keith has consistently been a top producer in the wholesale business for almost 20 years  and we look forward to him joining the team at Rock Harbor.  His work ethic and competitive edge will be a great fit with our existing group.”
Welcome to the team Keith!

November 09

Rock Harbor adds Dulce Frost to the team!

Dulce Frost joined Rock Harbor as a member of the sales team in September of 2016.  She will be responsible for relationships in Illinois for all financial intermediaries .
CEO Sean Ritchlin
“Dulce  has a passion for relationship building that is difficult to find in sales.  We are confident advisors in Illinois will enjoy the charisma and knowledge she will bring to the territory!”
Rock Harbor continues to grow its sales team as other companies contract in a tough environment.
“We feel adding talent while others are trimming is a testament to the strategies and advisors we work with in the marketplace. At the end of the day advisors still need to work with wholesale teams that can add value and help navigate through market change.”
Welcome Dulce!

December 01

Gregg Jones joins Rock Harbor

Gregg Jones joins Rock Harbor as Regional Vice President in December of 2015.  Gregg will be responsible for all relationships in Florida.  Gregg is a graduate of William Paterson University. Prior to Rock Harbor, Gregg worked as a Regional Vice President with 3D Asset Management, Regional Vice President with Cohen and Steers, and Vice President with Alliance Bernstein.
Gregg resides in Naples, Florida with his wife Charry.
“We are very excited to have Gregg join Rock Harbor as a Regional Vice President in Florida. His experience in distribution will be a great addition to the team.”  Sean Ritchlin Founder/CEO

September 22

Our CEO featured in Investment News

Click the link below to read the article in Investment News:
A different kind of goal: Three business lessons from the hockey rink

July 22

Thomas Daniel joins Rock Harbor

Thomas Daniel joins Rock Harbor as a Regional Vice President.  Thomas will be responsible for all relationships in the states of Indiana and New York.  Thomas is a Evans Scholar Alumni and a  graduate of Michigan State University.
“Rock Harbor is excited to bring Thomas Daniel on board to the team!  His energy and passion will be a great addition to the culture of Rock Harbor.”  Sean Ritchlin Founder/CEO

July 20

Jennifer Flattery joins Rock Harbor

Jennifer Flattery joins Rock Harbor as Regional Vice President and Branch Manager.  Jennifer brings over a decade of financial industry experience.  Prior to joining Rock Harbor, Jennifer worked as a Senior Branch Examiner at LPL Financial, the nation’s largest independent broker/dealer.  Through this experience Jennifer was able to develop relationships  with Financial Advisors all across the nation.  Prior to joining LPL Financial, Jennifer worked with several independent advisors in various roles including operations, sales and compliance.  Jennifer is a graduate from Davenport University where she earned her bachelor’s degree in 2011.
“We are thrilled that Jennifer has joined the team at Rock Harbor as she brings a wealth of industry knowledge as well as a competitive spirit to the team.”  Sean Ritchlin Founder/CEO

March 17

Rock Harbor partners with Needham Asset Management, LLC

On March 2nd, 2015, Rock Harbor entered into agreement with Needham Funds.  Rock Harbor will market their small and mid-cap growth strategies:  Needham Aggressive Growth Fund, Needham Growth Fund and Needham Small Cap Growth Fund.
“Needham Asset Management, LLC has a long history of success investing in micro, small and mid-cap growth companies.  We look forward to bringing their three mutual funds to the marketplace, utilizing Rock Harbor’s distribution platform.”
Sean Ritchlin: Founder/CEO

October 02

AFAM Capital Selects Rock Harbor To Distribute Al Frank Mutual Fund

AFAM Capital Selects Rock Harbor To Distribute Al Frank Mutual Fund
PR Newswire
AUSTIN, Texas, Oct. 1, 2014
AUSTIN, Texas, Oct. 1, 2014 /PRNewswire/ — AFAM Capital, a U.S. asset management boutique providing specialty investment solutions to financial advisors and private clients, announced today that it has selected third-party wholesaler Rock Harbor as the newest distribution partner for its Al Frank mutual fund (VALUX). Effective immediately, the Al Frank Fund is available to financial advisors nationwide through the Rock Harbor distribution network.
“We believe our partnership with Rock Harbor enables us to expand distribution of our Al Frank product line in a thoughtful, strategic way,” said John Buckingham, CIO and Portfolio Manager for the Al Frank Fund. “Their distinctive call center-based business model ensures consistent marketing of our product throughout the U.S. by an experienced team with an extensive network of deep advisor relationships.”
Rock Harbor is based in Birmingham, Mich. and specializes in the wholesale marketing and distribution of mutual funds. The company operates according to a full inside call center sales model, and each financial advisor works with the same Rock Harbor contact on an ongoing basis. This enables the sales team to build stronger relationships with advisors and also ensures consistent and efficient messaging, since the entire sales team works under one roof.
“As AFAM Capital grows, we are continuously looking for new channels of distribution for our funds,” said Mr. Buckingham. Partnering with knowledgeable, efficient wholesalers like Rock Harbor broadens access to the fund for advisors and private investors seeking to add long-term capital appreciation strategies to their own or their clients’ portfolios.”
Please contact Erin Hershkowitz at 646-922-7761 or for more information.
About AFAM Capital
AFAM Capital, Inc. is a rapidly growing asset manager that specializes in the management of exchange-traded funds and equity portfolios. We currently advise upon more than $4 billion in assets. Our Innealta division tactically shifts investments between equity and fixed income ETFs with a strong emphasis on risk (e.g. variance of returns, downside market protection). Our Al Frank Asset Management division applies a disciplined long-term equity strategy based on selection, diversification and patience.
Shares of The Al Frank Fund are currently offered only in the United States to U.S. investors and are not available for sale in any jurisdiction other than the United States. The information on this website should not be considered a solicitation to buy or an offer to sell shares of The Al Frank Fund in any jurisdiction where it would be unlawful under the securities law of that jurisdiction.
For more complete information about The Al Frank Fund, please follow this link to view the prospectus or call 888.263.6443 to have one mailed to you. Please read the Fund prospectus carefully before you invest.
Mutual Funds involve risks including the possible loss of principal.
Small and medium sized companies may be more vulnerable to adverse business or economic events, and thus a greater risk, than stocks of larger companies. There are risks that when lending portfolio securities, the securities may not be available to the Fund on a timely basis and the Fund may lose the opportunity to sell the securities at a desirable price.
The Advisor follows an investing style that favors value investing and when out of favor may underperform alternate investing styles. The Fund may invest in foreign securities that can be more volatile and less liquid than domestic securities.
Investors should carefully consider the investment objectives, risks, charges and expenses of the Al Frank Mutual Funds. This and other important information about the Fund is contained in the prospectus, which can be obtained at or by calling 888.263.6443. The prospectus should be read carefully before investing. The Al Frank Funds are distributed by Northern Lights Distributors, LLC, member FINRA/SIPC. Al Frank Asset Management is not affiliated with Northern Lights Distributors, LLC.
CONTACT: Erin Hershkowitz JCPR  646-922-7761
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