Joshua D. Rogers is the Founder and Chief Executive Officer of Arete Wealth, Inc.
As CEO and Founder, Joshua is the steward and visionary for the whole firm, which spans more than 100 offices and over 320 advisors nationwide.
Arete Wealth Inc. is a financial services holding company that houses multiple full-service FINRA and NFA Member Broker-Dealers, its Corporate Registered Investment Advisory Firm (Arete Wealth Advisors, our RIA), multiple Insurance Agencies, and an Art and Wine Consulting Firm. Arete Wealth focuses on providing comprehensive wealth management for high-net worth individuals and institutions. In order to accomplish this, the firm specializes in alternative investment access, venture capital, private equity, and a wide range of other bespoke alternative investments. The firm has boasted double digit year-over-year revenue growth every year under Joshua’s tenure since he founded the company in 2007.
Early in Joshua’s career, he was accepted and about to attend Georgetown University Law Center but instead decided to defer and accepted an offer to join the newly formed research & development lab Walker Digital in Stamford, CT to pursue e-commerce innovation. There, along with Founder Jay Walker, he co-invented many patents, including the “name your own price” e-commerce patents which created Priceline.com. His inventor career took a turn towards financial services when he rose in the ranks of a brokerage firm on Wall Street, then American Express Financial Advisors, which spun off to become Ameriprise Financial. From New York City, he relocated to Washington DC and then moved on to Chicago. Joshua continues to call Chicago home and maintains an office in the Fulton Market District.
Joshua’s industry affiliations thus far include his landslide election victory in the fall of 2015 when he was elected to represent all 3,600 small broker-dealers across the country on the Financial Industry Regulatory Authority’s National Adjudicatory Council (NAC). During his 3- year term on the NAC, Joshua was a fierce advocate for investor protection but strongly balanced that with combating regulatory overreach.
In his expanded business and community works, Joshua has served on the Board of the Chicago chapter of the Young Presidents’ Organization (YPO), is a member of the Economic Club of Chicago, has previously served on the Board of Illinois Humanities, and currently serves as an Elected Trustee of the Museum of Contemporary Art Chicago.
Joshua is a graduate of St. John’s College in Annapolis, Maryland, where he has served multiple terms as an Elected Member of the College’s Board of Visitors and Governors with oversight of the College’s Finance, Investment, and Audit committees. He has previously taught Entrepreneurship classes at both of the College’s Annapolis and Santa Fe campuses.
Joshua finds energy to lead an accomplished professional career by balancing it with his personal interests. He is often seeking adventure and global travel with his family – whether it be with wife Megan or children, Camille and Jackson. He is also a voracious reader, a published writer, an art collector, loves golf and all racquet sports, and enjoys off- road adventure motorcycling.
“Do not delay. The difference between greatness and mediocrity is not putting off what can be done today for tomorrow.”
-Rabbi Joshua Haberman, Washington Hebrew Congregation
David Hock comes to Arete Wealth Management with 16 years of experience in the financial services industry. His fascination with the complexity of the markets and building profits through in-depth analysis led him to the independent broker-dealer and RIA niche, where he developed expertise in financial planning and investment products, as well as an interest in private placements. Working in private placements, David notes, allows him to “work closely with the management of companies,” providing access to and understanding of a company’s inner workings in ways that a simple stock purchase does not.
David is Arete’s Chief Operating Officer and Financial Operations Principal. His focus is on product structure and development, due diligence and operations management. He has served in similar capacities throughout his career at independent Broker Dealer and Registered Investment Advisory firms.
When David is not helping to run Arete, his main hobby is fly fishing – which has taken him throughout the Western United States, and countries around the globe. He lives in Lake Oswego, Oregon (outside Portland) with his wife and two children.
David holds a Bachelor’s of Science degree in Quantitative Economics and Decision Science from the University of California, San Diego. He also holds a FINRA securities licenses Series 4,7, 24,27,63 and 65.
David brings over 20 years of wealth management experience having served as the National Sales Manager, Chief Sales Officer, and Chief Executive Officer at two large independent broker-dealers and investment advisors. David’s primary responsibilities were to recruit wealth managers, build product offerings and platform solutions, grow assets under management and revenues, and enhance advisor and client relationships. David also has worked for a multi-billion asset management firm and at The Private Bank of a top five U.S. banking institution.
Mr. Levine earned his B.A. in Economics and English from the University of Pennsylvania. He earned his M.B.A. in Finance from New York University’s Stern School of Business. Mr. Levine holds his Series 7, 24, 63 and 65 licenses.
David devotes significant time to volunteer work and service commitments in his South Florida community. David, his two daughters and two Labrador retrievers enjoy living at the beach in Florida.
Before joining Arete in 2013, UnBo (Bob) Chung was Senior Regional Counsel for the Financial Industry Regulatory Authority (FINRA) for nearly a decade. While with FINRA, Bob investigated hundreds of cases and brought over 150 enforcement actions against firms and individuals for violations of FINRA Rules and Federal Securities Laws. Prior to FINRA, Bob was a prosecutor in Chicago specializing in complex financial crimes and government corruption. He has never lost a criminal trial or a FINRA enforcement hearing.
As Arete’s General Counsel, he ensures the firm is fully compliant with the securities industry’s myriad rules, laws and regulations. Bob received his B.A. from Oberlin College and his J.D. from Loyola-Chicago School of Law. He received a second law degree, a LL.M., in Financial Services Law from the IIT/Chicago-Kent College of Law. He also holds FINRA securities licenses Series 7, 24, and 66.
Casey Cotton comes to Arete Wealth with over 20 years of experience with the last 14 years being spent in the financial services industry. He has served in a similar capacity throughout his career at an independent Broker Dealer, Registered Investment Advisory firm, and Insurance Field Marketing Organization. As an expert in the design and delivery of cost-effective, high-performance technology solutions in support of rapid growth, Casey is an integral member of the Executive Team and a business partner building team-centered operating units, with excellent business process and strategy development skills.
He holds various technology certificates, carries his series 7, California Health & Life License and has received distinguished awards to include: 2018 Top Tech Execs San Diego Lifetime Achievement Honoree, 2013 Top Tech Exec San Diego Honoree in the Private Medium category, and has also served as a Top Tech Exec San Diego judge and on the Advisory Board. Casey was also highly involved in the Financial Services Institute, a nationally recognized industry organization representing Independent Broker Dealers in Washington DC by serving on both the Operations/Technology Council and Cybersecurity taskforce as Chairman.
Casey earned his B.A. in Business Communications from Concordia University of Wisconsin. Serving our country in the United States Marine Corps, Casey was awarded the Navy Unit Commendation and the Meritorious Unit Commendation medals for superior work performance and ethics. Casey currently lives in San Diego, California with his wife, and his two boys. He enjoys volunteering in the community teaching youth leadership skills and core values – Accountability, Community, Humility, Integrity, Meritocracy, and Respect.
Karlton Kleis is a Founder and Partner of Insight Wealth Group. Karlton received a degree in accounting from Northwestern College and an MBA from the University of Iowa with an emphasis in structured finance. He began his career as an auditor in the health care field, but soon moved to work at a Top 100 Independent Financial Advisory firm. As the firm grew, he served in several management positions, including Controller and Chief Operating Officer of the firm.
Karlton has also been instrumental in the start-up of numerous financial services companies, including a broker/dealer and a third party administration firm. He has spent the last several years as an investment banker with a team of industry professionals both identifying and creating investment opportunities for high net worth investors. He is a member of the investment committee and serves as Due Diligence Officer for the broker/dealer, Arete Wealth Management.
Karlton and his wife, Allison, live outside Grimes, Iowa with their three children, Emerson, Griffin and Greer. In his spare time, Karlton serves on the Board of Directors of the Mercy Foundation and enjoys spending time at the ball field watching his children play softball and baseball.
Heidi was hired as one of Arete’s first employees. She filled critical roles both in Finance and Operations and served as the leader of the Operations Team for many years before stepping into the role of Controller.
Bringing over 30 years of experience, Heidi oversees trading, billing, and human resources. One of her first tasks was implementing a massive technology uplift, implementing custom-built systems to better fit the needs of Arete Wealth financial advisors. Heidi leads a highly efficient, solution-focused team and continues to work closely with the other executives to ensure financial advisors and their clients receive top-tier services.
Prior to Arete, Heidi proved her impressive management skills in various industries including hospitality, food service, and veterinary medicine. In those previous positions, she strategized and implemented business and operational improvement plans for both large and small companies.
- Partner, Financial Resource Management, a top-producing branch with Arete Wealth
- Past leadership at IMB and Mass Mutual
- Finance Degree from University of Georgia and MBA in Finance from Georgia State University both with concentrations in securities & investment planning as well as financial planning
- Founder and CEO of Redbox DVD Rental, leading the business from scratch to over $2 billion in revenue, over 2,000 employees and 40,000 locations; President of Coinstar, a publicly traded kiosk business
- Operating Partner at Pritzker Private Capital, co-leading the firm’s activities in the Services Sector
- Early employee at two different startups which both achieved an IPO; investor and board member in numerous early stage ventures
- BA in Philosophy from the University of Michigan; MBA from Harvard Business School
- CFO, Trilogy Real Estate Group – a firm with over $2B of investments in multi-family real estate assets
- Launched and managed a Florida-based mixed-use real estate development firm which developed and entitled over $400M in private and public private partnership projects
- Industry leader in the development and distribution of market alternative investment products sold through the Broker-Dealer, Family Office, RIA and Mutual Insurance Company sales channels
- BS in Economics from University of Illinois at Urbana-Champaign and MBA from the University of Chicago Booth School of Business
- Retired, Participating Managing Director, Goldman Sachs
- 27 years as a Compliance manager at Goldman Sachs, including Global Head of sales and trading compliance, and Head of International Compliance
- 10 years as a prosecutor in the New York County District Attorney’s Office
- BS in Politics from University of California, Santa Cruz; JD from Harvard Law School; PhD candidate in Philosophy from The New School
- President of Sales Distribution, Executive Coach and Professional Speaker with think2perform
- Past leadership Ameriprise Financial Services, spanning 17 years
- BS in Mechanical Engineering from Northern Arizona University; Advanced Development Program, Business Administration and General Management, University of Minnesota – Carlson School of Management, Advanced Management Program, Business from Harvard Business School
- Founder and CEO, Market Financial Group Insurance Agency and MFG Holdings
- Executed the acquisition of 15 insurance brokerages and sold agency to Gallagher Insurance in 2018
- Partner in Materra, Cunat Family Vineyards, Napa Valley, VA
- Past Vice Chairman of Golden Eagle Bank, Woodstock, IL
- BA in Marketing and Public Relations, University of Wisconsin, Whitewater