SMArtX Advisory Solutions Selects Dan Phillips as CIO

Fast-growing fintech firm looks to round out its investment offerings to a rapidly expanding client base
BusinessWireJune 24, 20247 min

SMArtX Advisory Solutions, an innovator in managed accounts technology, announced the appointment of Daniel (“Dan”) Phillips as Chief Investment Officer (CIO). The newly added CIO role signifies SMArtX’s commitment to delivering customized turnkey investment solutions and services to its clients.

Phillips, a seasoned investment professional with nearly two decades of experience, will spearhead the ongoing evolution and expansion of SMArtX Investment Solutions. Pascal Roduit, SMArtX Chief Investment Strategist, will report to Phillips and continue to manage existing SMArtX Investment Solutions relationships, overseeing the quarterly-produced SMArtX Manager Select List. Together, Phillips and Roduit will build upon these existing services, delivering new capabilities such as turnkey investment solutions and overlay management services, including multi-asset portfolio management. SMArtX Investment Solutions will offer a concierge level of service to support advisors with their investment needs across the spectrum – from asset allocation and manager selection to client communications. Phillips will also implement and chair the SMArtX Investment Policy Committee.

“While SMArtX has been recognized by Wealth Advisor as the fastest growing TAMP for the past four years, and has received the WealthManagement.comWealthies Award for our SMArtX Model Marketplace and Rebalancer on consecutive occasions, it’s the talented people behind the scenes that make this all possible,” said Jonathan Pincus, CEO of SMArtX. “Dan’s deep industry expertise coupled with his track record of innovation and delivering customized portfolio management at scale creates an exciting opportunity for SMArtX.”

Prior to SMArtX, Phillips was Director of Asset Allocation Strategy at Northern Trust Asset Management. There, he was responsible for Northern Trust’s asset allocation process, including capital market assumptions, strategic portfolios, tactical positioning, and multi-asset funds, models and custom portfolios. Recognized for his industry insights, Phillips also writes on a wide range of investment topics and is a frequent presenter at industry conferences and client events.

“I am very grateful to Jon and the entire team for welcoming me to SMArtX,” said Phillips. “I’m excited to be a part of the rapidly evolving fintech industry, especially at SMArtX with its state-of-the-art technology platform. Advanced technologies have created a number of new potential investment applications, and I plan to bring the most innovative of these to the SMArtX user community.”

SMArtX is a leading innovator in unified managed account (UMA) technology and architect of the SMArtX turnkey asset management platform (TAMP), designed to modernize outdated legacy technologies across the financial services industry. SMArtX leverages its cloud-based technology, microservices infrastructure, and APIs to simplify the investment management process for enterprise and advisory clients.

“We are incredibly proud of the award-winning technology platform we have built at SMArtX,” added Aaron Wormus, Chief Technology Officer of SMArtX. “Dan’s investment expertise will further our mission of bringing innovative investment applications to the SMArtX platform, enhancing the client experience, and ultimately saving the client time and money.”

Phillips will leverage SMArtX’s robust collection of nearly 1,500 investment strategies across over 300 asset managers, a platform overseen by Brad Haag, Executive Vice President, Asset Management Solutions. The collaboration between Phillips and Haag ensures comprehensive client support throughout the investment process, from investment strategy to strategy implementation.

“With such a diverse pool of managers and strategies available, Dan’s guidance will be crucial in crafting well-diversified portfolios that perfectly align with each client’s unique needs,” concluded Haag.

Phillips started his career in the financial industry in 2005 after graduating from the University of Iowa with a BBA in Finance and Economics. He earned his Chartered Financial Analyst designation in 2009 and his MBA, with concentrations in Finance, Economics and International Business, from the University of Chicago Booth School of Business in 2014.

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