Fred has more than 25 years of financial services experience across multiple capital markets roles. Most recently he served as the Managing Partner of Axio Financial (sold to iCapital Networks in November 2021), where he was responsible for origination and distribution of alternative investment products. Prior to that he was a managing director at Incapital LLC where he managed Trading and Sales of traditional fixed income products as well as structured notes, having worked previously at Deutsche Bank Securities and Bankers Trust.

Williams joins Balanz with 27 years of experience in brokerage, private banking, and wealth management. He was the founder and managing partner of Catalyst Strategic, advising financial institutions on strategic planning and execution. Previously, he served as Head of National Sales and Client Engagement at Wilmington Trust, overseeing client strategies for an AUM of $153 billion. Williams also spent 18 years at Wells Fargo Wealth Management, leading brokerage, private banking, investment, fiduciary, and planning services across the Northeast U.S., managing over 800 team members, $85 billion in client balances, and generating $700 million in annual revenue.

Philippe has more than 20 years’ experience leading compliance, risk management, and operational programs for FINRA and SEC-regulated broker-dealers and investment advisers. He has served as Chief Compliance Officer and AML Officer at firms including Allaria Securities, Bancolombia Capital, and Holistic Brokerage, building and scaling compliance frameworks from inception, guiding organizations on regulatory strategy, AML, and operational excellence. Philippe holds multiple FINRA licenses and the Certified Regulatory and Compliance Professional (CRCP®) Designation.