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Schwab Advisor Services

Schwab Advisor Services

The numbers tell a one-of-a-kind story. Only Schwab has been in the trenches with independent financial advisors for over 30 years. We have been a tireless advocate for the independent model and have committed thousands of people and millions in resources to make sure independent advisors of all sizes have everything they need to grow and succeed. 

  • 30 years supporting RIAs
  • $1.5 trillion under management
  • 1,800 team members dedicated to serving RIAs
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Brian Green

Compliance Consultant

Brian founded RIA Approval in 2017 after working the last 10+ years for Stan Druckenmiller at his flagship hedge fund Duquesne Capital Management. Brian initially started working for Stan as Duquesne reached it’s peak as a multi-strategy hedge fund, managing over 12 billion in assets. He continued to work for Duquesne as it transformed into Duquesne Family Office, and Duquesne Fund Services – a hedge fund administration firm. DFS focused on supporting not only Stan’s Family office, but other hedge funds which were created by former employees whom left the Duquesne empire to start their own hedge funds; most notably PointState Capital.

Prior to his work at Duquesne, Brian worked for one of the hedge fund industry’s leading consulting firms Rothstein, Kass & Company, P.C. which was recently acquired by one of the Big Four accounting firms, KPMG.

RIA Approval was established to focus on client relationships and providing the highest quality service possible. 

With decades of experience partnering with investment advisers, Brian gives Third Act Retirement Planning expert advice, and efficient solutions. Brian specializes in SEC and State RIA registration, ongoing compliance. 

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Brody Rosenfeld, CPA

Financial Planner

Brody Rosenfeld, CPA

Financial Planner

Brody received a Bachelor’s in Accounting degree, minor in Economics, degree with Magna Cum Laude honors from Arcadia University in Glenside, Pennsylvania. He spent a semester there abroad in the United Kingdom at The University of Cambridge studying Finance & European History. He has completed the Certified Public Accountant Examinations and the Uniform Investment Advisor Law (Series 65) Exam. 

In previous positions, he has worked in public accounting. Brody assist in the creation of financial plans and the retirement/financial planning for Third Act Retirement Planning clients.

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Thomas Cloud, Jr., CFP(R)

President

Thomas Cloud, Jr.

CERTIFIED FINANCIAL PLANNER™

Mr. Cloud's goal is to truly helping people enjoy life without having to worry about what will happen..When people believe and understand Who really owns everything, this can happen. Thomas takes pleasure in guiding his clients as they implement the financial planning strategies that help them become better stewards and meet the financial and life goals God has laid on their hearts. Mr. Cloud’s: commitment to operating as a fee only fiduciary practitioner, reducing investment costs, holistic financial planning focus, retirement planning, and Biblical worldview are what separates him from many others in his field. 

Thomas graduated from The Georgia Institute Of Technology in 1997 with a degree in Business Management and Certificate in Finance. Mr. Cloud is a CERTIFIED FINANCIAL PLANNER™ practitioner. The CFP® is one of the most respected and hardest designations to obtain in all of the financial services industry.

Thomas Cloud, Jr., is also a Qualified Kingdom Advisor. One of the greatest unrecognized and unmet needs in the body of Christ today is the ability to find a financial professional who shares a Biblical perspective on stewardship. Kingdom Advisors’ qualification process introduces a new level of qualified Christian financial professionals who are equipped to integrate Biblical counsel with financial counsel. What should I look for in a Qualified Kingdom Advisor?

Thomas has passed the NASD series 6, 22, 63, and 65 examinations. Mr. Cloud has a BA in Management and certificate in finance from the Georgia Institute of Technology. Mr. Cloud has passed the state insurance examination as well. He has also earned the Chartered Financial Consultant (ChFC©)designation from the American College. To become a ChFC© Mr. Cloud had to meet experience requirements and pass exams covering finance and investing. The experience requirement is to have at least three years of experience in the financial industry, and have studied and passed an examination on the fundamentals of financial planning, including income taxation, insurance, investment and estate planning. The College for Financial Planning®, located in Denver, awarded Thomas Cloud, Jr., of Marietta, Georgia, the Accredited Asset Management Specialist or AAMS® Professional Designation. Individuals who complete the program, pass a final exam, and sign a code of ethics and disclosure form earn the AAMS designation. Developed in response to the need for advanced training within investment firms, the Accredited Asset Management Specialist Professional Designation Program offers investment professionals with the precise, hands-on information needed to provide ample, planning-oriented asset management advice. He is also a Certified Senior Advisor (CSA) and Registered Investment Advisor (RIA). To become a Certified Senior Advisor (CSA), he completed a 24-part program of study in the financial, physical, emotional, and personal issues of seniors. Thomas also participated in both the Financial Management Association (FMA) and the investment club while attending Georgia Tech. His investment club was featured on CNNFN because they were an elite college club picking stocks, which outperformed the S&P 500 two years in a row. After college, he worked for First Union National Bank, then Southwick Investments (securities), and Turamali (tangibles and other non securities).

Thomas Cloud, Jr. wrote the ebook The Ten Biggest Mistakes Any Investor Makes. Mr. Cloud wrote a monthly financial, economic, and geopolitical article for the prestigious political website Purepolitics.com for years. He also wrote, 2 articles, for Business Reform magazine. Thomas Cloud, Jr.’s articles have also been published by the Christian Ranchman and Spiritual Voice News. Toastmasters International has recognized Thomas G. Cloud, Jr. as a Competent Toastmaster. Mr. Cloud has completed the 12-week Crown Financial Ministries study and also led the study at First Baptist Church Atlanta. Thomas is a professional member of Kingdom Advisors. Mr. Cloud has also spoken about financial planning all over the world, including the Mediterranean Sea. In the winter of 2009 Thomas published a book called Circle of Fellowship that he authored with Robert Inman Ragsdale, III. Circle of Fellowship is a small group discussion guide for men designed to make disciples of Jesus.