Our Team – Atticus Spotlight

As a founding principal and chief investment officer of Sheaff Brock Investment Advisors, LLC, Dave shares responsibility for setting investment policy, asset allocation, and securities selection for the company’s managed accounts. He also consults with the clients of Sheaff Brock on overall portfolio construction.

Dave has 40 years of experience in the financial services industry, beginning with Bache Halsey Stuart Shields and later with MorganStanley/Dean Witter. Dave contributes his investment perspectives to a variety of publications, including CNBC.com, Medical Economics, and Financial Advisor magazine. Dave is also a founding principal and CIO of the money management firm, Innovative Portfolios, and is a principal of the investment firms SBAuer Funds, LLC, and Salzinger Sheaff Brock.

He attended Miami University in Oxford, Ohio, where he earned a Bachelor of Science degree. Dave went on to obtain his Certified Financial Planner^® (CFP) designation in 1984. In his spare time, Dave enjoys traveling to visit his children and grandchildren, as well as racing his go-kart.

As a founding principal of Sheaff Brock Investment Advisors, LLC, Ron handles all aspects of the company’s finance and business operations. In addition to overseeing financial management as chief financial officer, Ron coordinates the firm’s operations, compliance, marketing efforts, and staffing.

Ron has close to 40 years of experience in the financial services industry, starting with Prudential Bache Securities and later with Morgan Stanley/Dean Witter before co-founding Sheaff Brock in 2001. Ron is also a founding principal and CFO of the money management firm, Innovative Portfolios, as well as CFO of investment firms SBAuer Funds, LLC, and Salzinger Sheaff Brock.

Ron graduated from the Kelley School of Business at Indiana University, where he earned a Bachelor of Science degree in Accounting. He lives in Indianapolis with his wife and has two daughters. With a passion for the arts, Ron is a strong supporter of several performing arts organizations throughout the Indianapolis area and currently serves on the board for The Cabaret theater.

As Chief Compliance Office, Audrey is responsible for overseeing Sheaff Brock’s and its affiliate companies’ compliance programs and adherence with outside regulatory and legal requirements.

Audrey has over 25 years of experience working in the financial services industry, having served various roles including Compliance, Operations, Accounting, and Financial Management with firms such as Wallington Asset Management, Winthrop Capital Management, and 40|86 Advisors. She is a Certified Public Accountant, a Chartered Global Management Accountant (CGMA), and is a Member of American Institute of Certified Public Accountants. She also earned Fellow and Life Management Institute designations.

In her spare time, Audrey enjoys watching her kids play sports, walking her dogs, and going to the beach.

Brad is a seasoned compliance professional, bringing over 20 years of experience in financial trading, research and interpretation of regulations, and operations to his role as compliance manager. In his day-to-day, Brad oversees a variety of internal compliance systems, such as handling manual and procedural updates, helping facilitate compliance training, and performing vendor due diligence reviews.

Prior to joining Sheaff Brock, Brad served as chief compliance officer and Relationship Manager at Dinsmore Compliance Services and before that, as chief compliance officer at Bedel Financial Consulting. In these roles, Brad handled all aspects of administering the firms’ compliance programs, from onboarding clients and personnel to implementing system edits as regulations changed.

Brad received his degree in business management from Indiana University of Fort Wayne. In his spare time, Brad enjoys traveling, biking, playing golf, and spending time with his wife and young son.

In his role as Senior Equity & Derivatives Trader for Sheaff Brock, Nathan is responsible for managing and developing option overlay strategies, handling day-to-day trading of put income and index income portfolios, and assisting in trade reporting and risk management for the firm’s separately managed accounts.

Nathan began his finance career in 2007 at Schwab and served in a variety of roles during his 16-year tenure, including Senior Registered Options Principal and manager of the Derivatives and Surveillance desk. While at Schwab, he wrote and guided firm policy for derivatives products, assessed risks associated with option and futures products, and directed solutions to mitigate the impact of those risks for clients. Drawing from his extensive knowledge of specialized products, he led training initiatives for brokers advancing to positions within equity trading, derivatives, and margin teams throughout the company. Nathan also worked with senior leadership during the merging of Schwab and TD Ameritrade, using his specialized experience in derivatives to identify key differences between the firms and help facilitation of a more consistent client experience.

Nathan graduated from Indiana Wesleyan University with B.S. degrees in Psychology and Counseling. He currently lives in Westfield, Indiana, with his wife and son and pursues a wide variety of interests, from building projects and repurposing furniture to drawing and spending time with his family.

JR is a senior portfolio manager for Sheaff Brock’s Preferred Income Strategy and Sheaff Brock’s Real Estate Income and Growth Strategy. He is responsible for securities selection, building portfolios, and trading. He also serves as a member of the Sheaff Brock investment committee, helping analyze its equity portfolios and make strategy recommendations.

JR came on board to Sheaff Brock in 2015; prior to joining, he spent three years at United Bank’s Wealth Management and Trust department in West Virgina as senior trust officer, 12 years at BKD Wealth Advisors (now Forvis) as a portfolio manager, and five years as a senior options specialist at Charles Schwab.

JR graduated with a Bachelor of Business Administration in Finance from Marshall University in Huntington, West Virginia, where he was also a member of Omicron Delta Epsilon, International Honor Society for Economics. JR holds both the Chartered Financial Analyst (CFA) designation and the Chartered Alternative Investment Analyst (CAIA) designation. He is a member of the CFA Institute, the CFA Society of Indianapolis, and the CAIA Association.

JR lives in Zionsville, Indiana, with his wife and children.

Tom is a research analyst for Sheaff Brock, where he assists with asset allocation and selection for the company’s investment portfolios. He also serves as portfolio manager for a Sheaff Brock affiliate company. Prior to joining Sheaff Brock, Tom served as investment research analyst for 40|86 Advisors in Carmel, Indiana, covering fixed income investments across the credit spectrum. Other experience includes five years with Fitch Ratings, Inc., in Asset-Backed Securities (ABS) and a year in operations at Northern Trust Corporation, both in Chicago.

Tom graduated from Indiana University in Bloomington, Indiana, with a degree in finance, and received his Chartered Financial Analyst designation (CFA) in 2015. He is also a certified public accountant (CPA).

Tom resides in Westfield, Indiana, with his wife and their three children. He travels extensively—especially to visit family—and enjoys spending time outdoors, running, and cooking.

Wally Taggart began his investment career with Paine Webber in 1963 and was an early fan of option trading. When Cboe was founded, Wally became a registered option principal with Cboe, becoming one of the first brokers in Indianapolis to use options. He enjoyed over thirty years in the securities business at Paine Webber, Dean Witter, and Morgan Stanley in both production and branch management.

In 1999, Wally retired and began checking off many of the boxes on his bucket list. Then, in 2011, Sheaf Brock persuaded him to join the firm and help manage their Covered Calls portfolio. In his day-to-day, Wally selects stocks for purchase and decides which options to roll forward and which the firm can expect to be called. He really loves the daily challenge!

As Vice President—Client Solutions, Portfolio Consultant, Emily brings a decade of financial industry experience to helping clients with their diverse investing needs. Currently, she educates her clients around portfolio performance, eases new investors into their investing journeys, assists clients in preparing for and transitioning into retirement, gauges the impact of life events on her clients’ investment needs, partners with high-net-worth clients to accommodate their complex investing needs, and reallocates client portfolios.

Prior to joining Sheaff Brock, Emily worked at Charles Schwab, having transitioned from Derivatives Trading Specialist to her role as a Senior Wealth Advisor. While there, Emily worked directly with clients, providing strategic financial planning to manage portfolios that matched their unique investment goals. She also oversaw the ongoing maintenance of her clients’ portfolios and performed market analysis to look for additional investment opportunities.

Emily graduated from Indiana University with two bachelor’s degrees in Linguistics and Philosophy, as well as a master’s degree in Bioethics. She also went on to achieve her Certified Financial Planner designation in 2020. She currently lives in Zionsville with her husband and three kids. In her spare time, Emily spends time gardening, going to festivals, and hiking with her family. She also enjoys playing board games and reading.

Nicole brings a unique combination of client service, operational, and data entry skills to her role on the Client Solutions Team. She currently handles the onboarding process of new accounts at Sheaff Brock and maintains the ongoing administrative functions of client accounts for the firm’s portfolio consultants.

Having worked across the financial and educational industries—most recently at St. Mary’s Early Childhood Center as an Administration Associate—Nicole understands the value in listening to client questions and working to resolve them quickly and effectively.

When not in the office, Nicole enjoys exploring all Indianapolis has to offer with her fiancé and her dog. She is also a sports fan and likes to play golf, attend local Colts and Pacers games, and watch the Indianapolis 500.

With more than 15 years in the financial services industry, Jared brings a wealth of experience to his role at Sheaff Brock. As a trading specialist catering to high-net worth individuals, Jared focuses on investing and asset allocation. Whether planning for retirement or navigating significant life events, Jared works with his clients to guide them through the market’s intricacies and provide them with financial products that meet their specific needs.

Prior to joining Sheaff Brock in 2017, Jared worked at Charles Schwab, where he led a Regional Service Team of twelve financial professionals and worked to provide an exemplary level of service to clients nationwide.

Jared attended Midland College in Midland, Texas. He also went on a year-long expedition with the organization “Up With People,” visiting more than 13 countries and collaborating with individuals from more than 131 countries, providing him with invaluable multi-cultural experiences.

Outside of the office, Jared cherishes spending time with his wife, three young sons, and their crazy AussieDoodle named Arlo.

Taking care of client needs by providing and delivering professional, high-quality service, and assistance, Deb is aware of the power of personal connection, and she uses her skills to stay in close contact with Sheaff Brock clients.

With more than 20 years in the financial services industry, Deb began in operations with E.F. Hutton in Cincinnati, Ohio, and when she relocated to Indianapolis, she applied her skill set at Morgan Stanley/Dean Witter as an administrative assistant to the Branch Manager. Deb was also part of the startup team at Star Wealth Management.

When not working in her flower beds, Deb enjoys antique shopping and biking, and her love of food and craft beers inspires her to try out new restaurants and new tastes.

Samantha brings over a decade of experience with managing and maintaining client investment accounts to her role on the Client Solutions Team. She is no stranger to assisting clients through all aspects of the investment process and she strives to provide high-quality service for each of her clients.

Prior to joining the Sheaff Brock team, Samantha worked at Northwestern Mutual, J.P. Morgan Chase, and Charles Schwab, where she performed a range of duties, from assisting advisors with client relationships to facilitating accurate account setup.

Outside of work, Samantha often goes to concerts and the theater, both locally and on her travels. In fact, she’s been to almost 100 shows in New York City alone! She also enjoys reading and spending time with her husband and their fluffy dog, Monty.

As Vice President—Client Solutions, Portfolio Consultant, Matthew brings almost a decade of experience in the financial services industry to his role at Sheaff Brock. Matthew combines his natural curiosity for financial markets with his desire to build long-term relationships with his clients and help them achieve their financial goals. By understanding clients’ unique aspirations, he works collaboratively to develop tailored investment strategies that align with their goals and objectives.

Matthew began his career journey as a high school math teacher, where he developed the skill to break down complex topics into an easily understandable format for students, a skill he put to use in his next role as Derivatives Trading Manager at Charles Schwab & Co. While in this role for close to a decade, Matthew developed an in-depth understanding of derivatives trades, executing options and future trades for clients and educating them on the intricacies of derivatives strategies. Matthew then transitioned to Schwab Wealth Advisory, where he worked as an Associate Wealth Advisor, helping create financial plans and make portfolio recommendations to clients.

Matthew graduated from Indiana Wesleyan University with a degree in Economics, then later attended Marian University to receive a master’s in teaching. When not in the office, he coaches his young son’s baseball team, plays guitar, and enjoys doing just about anything outdoors. You may also find Matthew in a local record shop or bookstore, or at any local sporting event or concert.

Jenny has a wide range of administrative support and sales experience within a variety of industries, including over ten years of experience in the financial services industry, where she has held roles in administrative support, client service, personnel, marketing, compliance, and project management.

Jenny received a Bachelor of Science in Office Information Systems from Northern Michigan University in Marquette, Michigan. In her spare time, she enjoys spending time with her family and reading.

Tiffany is a financial services professional with more than 20 years of experience in relationship management, most recently managing multiple Family Office relationships as a director at BKD Wealth Advisors. She previously worked as a financial planner at Linscomb & Williams, and started her career as senior counselor at AYCO—a Goldman Sachs Company—where she helped non-retired widows and widowers develop legal and financial restructuring plans.

Tiffany’s experience in retirement and cash flow planning, as well as investment strategies, education funding, and insurance/estate planning, provides Sheaff Brock clients with a breadth of financial planning and investment advice. Her financial guidance is coupled with her strong desire to help clients identify and achieve their financial and legacy goals.

Tiffany earned her bachelor’s degree from Baylor University and her law degree from Baylor School of Law in Waco, Texas. She is a retired competitive gymnast, coach, and judge. Tiffany enjoys traveling with her son and has a passion for rescuing senior dogs.

Susan began her career in the financial industry in 1994 with the American Funds (now known as the Capital Group) as a supervisor in their Indianapolis Operations Department. Later working with One America as a retirement plans consultant, Susan then moved to Charles Schwab where, as a client representative, she developed a body of knowledge regarding IRAs, trust accounts, and estate resolution.

Susan brings 20-plus years of client service experience to the Sheaff Brock Client Solutions Team and provides administrative support for the portfolio consultants and Sheaff Brock clients.

In her spare time, Susan enjoys gardening, traveling, and watching movies, and she keeps in shape by walking, working out with weights, hiking, and bowling. Her favorite hobby is spending time with her grandchildren.

Christy spent the decade of the nineties in Chicago on the sales and marketing side of the mutual fund and managed account industry. She worked with Paine Webber/Mitchell Hutchins, the Munder Funds, and Duff & Phelps before “retiring” to raise a family.

She re-entered the industry with Sheaff Brock in 2010 and leads our national business development efforts. Christy has met with hundreds of Sheaff Brock clients over the last decade to advise and help guide a course towards achieving their investment goals. She enjoys the problem-solving aspect of her job as well as getting to know her clients’ stories and families. Christy is also involved in Sheaff Brock’s affiliate firm as an advisor to other financial professionals.

Christy earned two Bachelor of Art degrees from Purdue and attended Studio Arts Center International in Florence, Italy. In her spare time, she enjoys time with her three sons, traveling with her husband, boating, gardening, and cheering on Purdue sports!

Jim worked for the Indiana Secretary of State in the Securities Division prior to joining Morgan Stanley/Dean Witter in 1986.

While at Morgan Stanley/Dean Witter, Jim cultivated his own investment style and philosophy, and went on to achieve the title of senior vice-president of investments. Jim graduated from Manchester College in 1982, where he earned an accounting degree.

Having played golf in high school and college, Jim still loves to play the game. He also runs, swims, and bikes with his wife to stay active. When not out and about, you can catch Jim spending time with his children and grandchildren, visiting Florida, or relaxing at the lake.

Libby has been with Sheaff Brock for over a decade and brings a wealth of experience to the team. As new account specialist, Libby is responsible for the handling and processing of all paperwork required to open new customer accounts. She also provides support for the Sheaff Brock sales team and handles the role of office manager. Prior to joining Sheaff Brock, Libby took a few years “off” to raise a family. Before that, she spent more than a decade at the Indianapolis Motor Speedway in various positions, the last of which was special events coordinator. In this role, Libby handled all facets of events, meetings, seminars, and receptions, including those surrounding the Indianapolis 500, Brickyard 400, Formula One, and Moto GP races.

Outside the office, Libby is a mom of two daughters and a grandma to two young grandsons. She is also an avid listener of true crime podcasts and enjoys a good glass of white wine and spending time at her family’s cabin in northern Michigan.

Angie is responsible for overseeing and assisting with various operational and back office functions, such as portfolio performance returns, billing, and trading.

Angie has been involved in the financial services industry for more than 25 years, working in banking, operations with Paine Webber and, most recently, as an administrative assistant with Morgan Stanley/Dean Witter. She joined Sheaff Brock in 2001.

Outside of the office, Angie enjoys spending time with her husband and two grandchildren. She also enjoys traveling, hiking, and exploring National Parks.

Kat began her financial services career in 2009 as a client service specialist for Charles Schwab. After moving to Schwab’s Trust and Estates team, she took on a supervisory role involving quality assurance, training, and cashiering supervision. At Sheaff Brock, Kat is responsible for equity trading, retail and institutional performance reporting, database management, and operations.

Kat graduated with Honors from the Indiana University Kelley School of Business with a Bachelor of Science in Marketing. While at IU, she was a Kelley Scholar and a member of the Hutton Honors College, and also studied Germanics and metalsmithing. Kat spends most of her free time on growing her mini-homestead with her partner, step-kids, and an ever-expanding menagerie of foster animals, dogs, cats, exotic ‘pocket pets,’ and chickens.

Tiffany brings almost a decade of experience in the finance industry and operations to her role of operations manager. Prior to joining Sheaff Brock, Tiffany worked as operations manager at Freedom Mortgage Corporation, where she effectively managed teams with employees located around the world and developed inter-departmental systems that increased the company’s operational efficiency.

Tiffany graduated with her associate degree in business administration from The Pennsylvania State University and is currently pursuing a bachelor’s degree in business management. In her spare time, Tiffany loves hiking outdoors, as well as traveling to new countries with her fiancé and two kids. When staying close to home in Carmel, she and her family enjoy going on pet-friendly adventures with their dog, Mable.

Sheldon worked as a Certified Public Accountant (CPA) for more than 20 years, with 11 of those in public accounting and several more as an independent business owner. Having served as an independent controller and consultant for several small businesses, Sheldon handles the day-to-day financial aspects of business at Sheaff Brock.

Sheldon received his bachelor’s degree in accounting from Indiana University School of Business in Bloomington, Indiana. He is a registered tax return preparer and a member of the Indiana CPA Society. Other interests include his non-profit involvement; he currently serves as chair of campus management committee and audit committee of the Jewish Federation of Greater Indianapolis. He served as a past president and board member and is a current finance committee member of the Jewish Community Center of Indianapolis. In addition, he serves as president of his neighborhood homeowners association.

Sheldon is also an avid weekend warrior basketball player.