Solutions for the Modern Advisor

Ceros delivers a robust offering of services designed to meet the demands of today’s advisor. This offering is backed by a distinguished ownership and management group and a boutique feel, yet high level of service.


Our current clients include:

  • Fee-based advisors who custody and may also hold FINRA licenses
  • IARs of one of our corporate Registered Advisers
  • Sub-Advisers for our affiliated mutual funds - Advisors Preferred Institutional quality money managers trading through our outsourced trade desk

Ceros Financial Services

Ceros delivers a robust offering of services designed to meet the demands of today’s advisor. This offering is backed by a distinguished ownership and management group and a boutique feel, yet high level of service.


Our current clients include:

  • Fee-based advisors who custody and may also hold FINRA licenses
  • IARs of one of our corporate Registered Investment Advisers
  • Sub-Advisers for our affiliated mutual funds - Advisors Preferred Instituational quality money managers trading through our outsourced trade desk

Letter from CEO Mark Goldwasser, Chief Executive Officer

I am proud to say that 2024 was another landmark year for Ceros Financial Services and its affiliates with combined record revenue of over $100 million and assets under management and administration exceeding $8 billion. The Ceros Group has become a formidable full-service wealth management boutique consisting of Advisors Preferred, At-Cap, Innovation X Advisors LLC, and Ceros Capital Markets. Ceros delivers a robust platform of services designed to meet the demands of today’s advisor.

Our team has made it possible to offer a broad array of services and products for RIA’s, retail, and institutional customers. This vision that DGB (Chris Dewey, Mark Goldwasser, and Dave Brown) had in 2019 when we purchased Ceros remains in place and has been surpassed in many areas, including the existing RIA business that Catherine Ayers-Rigsby and the Ceros team had originally built.

In 2022, Roger Monteforte joined Ceros as a Partner and Vice-Chairman, and the Forte Capital Group became a division, launching Innovation X Advisors, LLC, an RIA that advises the privately held Innovation X Funds. Innovation X Advisors, through the private funds, currently hold $2B of AUM and has raised over $900M for companies such as Stripe, SpaceX, and OpenAI.

Advisors Preferred, LLC provides advisory services to our Open-End Mutual Funds, and At-Cap Partners serves as an advisor to our retail advisory clients.

Corporate RIA’s can streamline operations, compliance functions, and cost. Mutual Funds can use Advisors Preferred to promote their brand, execute strategy, and realize success in the mutual fund marketplace. We can act as an advisor to the funds as well as providing a Shared Trust. Ceros provides distribution services for the Advisors Preferred funds. This offering is backed by a distinguished ownership and management group and a boutique feel, yet a high level of service.

Ceros Capital Markets specializes in fundraising (primarily Series A-D) for MedTech companies that are developing disruptive technologies, particularly for diagnostic and non-invasive procedures in the medical device, robotic, biotech, and digital health sectors. Our unique portfolio of companies features ventures identified in their early stages by some of the most experienced MedTech entrepreneurs who understand the synergies between innovation and healthcare. The common mission is often to reduce overall costs to the industry, increase doctor and nurse efficiency, while improving patient care. Ceros’ clients have the opportunity to invest in companies that are pushing the boundaries of technology, disrupting the medical industry, and fueling innovation to help change lives.

In addition to adding investment opportunities for our existing advisors as well as attracting new advisors seeking comprehensive solutions for their discerning clients, we will focus on expanding the company’s core business of mutual funds, RIA, and wealth management.

Israeli companies have always been part of our core focus, and we plan on growing our current industry playbook to include other technologies that we believe will provide significant opportunities for Ceros and our clients in the venture capital markets.

The Ceros office footprint now encompasses most of the US East Coast (New York, Connecticut, Maryland, and South Florida), and our client base is in all 50 States. I would like to thank all our clients and colleagues for contributing to a successful 2024 and look forward to a successful 2025 and the continued growth of our firm as we build on our achievements.

  • Mark Goldwasser

Letter from
CEO Mark Goldwasser, Chief Executive Officer

I am proud to say that 2024 was another landmark year for Ceros Financial Services and its affiliates with combined record revenue of over $100 million and assets under management and administration exceeding $8 billion. The Ceros Group has become a formidable full-service wealth management boutique consisting of Advisors Preferred, At-Cap, Innovation X Advisors LLC, and Ceros Capital Markets. Ceros delivers a robust platform of services designed to meet the demands of today’s advisor.

Our team has made it possible to offer a broad array of services and products for RIA’s, retail, and institutional customers. This vision that DGB (Chris Dewey, Mark Goldwasser, and Dave Brown) had in 2019 when we purchased Ceros remains in place and has been surpassed in many areas, including the existing RIA business that Catherine Ayers-Rigsby and the Ceros team had originally built.

In 2022, Roger Monteforte joined Ceros as a Partner and Vice-Chairman, and the Forte Capital Group became a division, launching Innovation X Advisors, LLC, an RIA that advises the privately held Innovation X Funds. Innovation X Advisors, through the private funds, currently hold $2B of AUM and has raised over $900M for companies such as Stripe, SpaceX, and OpenAI.

Advisors Preferred, LLC provides advisory services to our Open-End Mutual Funds, and At-Cap Partners serves as an advisor to our retail advisory clients.

Corporate RIA’s can streamline operations, compliance functions, and cost. Mutual Funds can use Advisors Preferred to promote their brand, execute strategy, and realize success in the mutual fund marketplace. We can act as an advisor to the funds as well as providing a Shared Trust. Ceros provides distribution services for the Advisors Preferred funds. This offering is backed by a distinguished ownership and management group and a boutique feel, yet a high level of service.

Ceros Capital Markets specializes in fundraising (primarily Series A-D) for MedTech companies that are developing disruptive technologies, particularly for diagnostic and non-invasive procedures in the medical device, robotic, biotech, and digital health sectors. Our unique portfolio of companies features ventures identified in their early stages by some of the most experienced MedTech entrepreneurs who understand the synergies between innovation and healthcare. The common mission is often to reduce overall costs to the industry, increase doctor and nurse efficiency, while improving patient care. Ceros’ clients have the opportunity to invest in companies that are pushing the boundaries of technology, disrupting the medical industry, and fueling innovation to help change lives.

In addition to adding investment opportunities for our existing advisors as well as attracting new advisors seeking comprehensive solutions for their discerning clients, we will focus on expanding the company’s core business of mutual funds, RIA, and wealth management.

Israeli companies have always been part of our core focus, and we plan on growing our current industry playbook to include other technologies that we believe will provide significant opportunities for Ceros and our clients in the venture capital markets.

The Ceros office footprint now encompasses most of the US East Coast (New York, Connecticut, Maryland, and South Florida), and our client base is in all 50 States. I would like to thank all our clients and colleagues for contributing to a successful 2024 and look forward to a successful 2025 and the continued growth of our firm as we build on our achievements.

  • Mark Goldwasser

We’re Different

Combining our rich history of innovation and flexibility with a distinguished ownership and management team, we are optimally suited to help each advisor succeed.

While boutique in nature with our relationships and service model, we leverage the industry's biggest providers in their spaces to bring the advisor large-company resources and technology.

Learn More »

We’re Different

We’re Different

Combining our rich history of innovation and flexibility with a distinguished ownership and management team, we are optimally suited to help each advisor succeed.

While boutique in nature with our relationships and service model, we leverage the industry's biggest providers in their spaces to bring the advisor large-company resources and technology.

Learn More »

Ceros Management

Senior Executives

  • Mark Goldwasser

    CEO, Ceros Financial Services, Inc.

  • Chris Dewey

    Partner, Ceros Financial Services, Inc.

  • David Brown

    Partner, Ceros Financial Services, Inc.

  • Angela Holland, CRCP®, CAMS

    CCO, Ceros Financial Services, Inc.

    Compliance Manager, Advisors Preferred

  • Brian Humphrey

    Director, Sales & Marketing

    Ceros Financial Services, Inc.

    Advisors Preferred

  • Catherine Ayers-Rigsby, CFA

    President, Ceros Financial Services

    CEO, & President, Advisors Preferred

  • Daniel Gibson

    Trader/Dealer & Commissions Specialist

    Ceros Financial Services, Inc.

  • Jeff Meacham

    Senior Trader

    Ceros Financial Services, Inc.

  • Jon Greene

    Director of Trading Operations

    Ceros Financial Services, Inc.

  • Khin H. Mar

    Advisor Relations

    Ceros Financial Services, Inc.

  • Kim Powell

    CFO

    Ceros Financial Services, Inc.

    Advisors Preferred

Ceros Management

Senior Executives



  • Mark Goldwasser

    CEO, Ceros Financial Services, Inc.

  • Chris Dewey

    Partner, Ceros Financial Services, Inc.

  • David Brown

    Partner, Ceros Financial Services, Inc.

  • Angela Holland, CRCP®, CAMS

    CCO, Ceros Financial Services, Inc.

    Compliance Manager, Advisors Preferred

  • Brian Humphrey

    Director, Sales & Marketing

    Ceros Financial Services, Inc.

    Advisors Preferred

  • Catherine Ayers-Rigsby, CFA

    President, Ceros Financial Services, Inc.

    CEO & President, Advisors Preferred

  • Daniel Gibson

    Trader/Dealer & Commissions Specialist

    Ceros Financial Services, Inc.

  • Jeff Meacham

    Senior Trader

    Ceros Financial Services, Inc.

  • Jon Greene

    Director of Trading Operations

    Ceros Financial Services, Inc.

  • Khin H. Mar

    Advisor Relations

    Ceros Financial Services, Inc.

  • Kim Powell

    CFO

    Ceros Financial Services, Inc.

    Advisors Preferred

Fidelity Clearing & Custody Solutions

Our advisors enjoy access to the services offered by Fidelity Clearing & Custody Solutions (FCCS), a Fidelity Investments company. Through FCCS, you can leverage the strength of products, resources, services and technology offered by Fidelity, one of the world’s largest and most respected financial services firms, with $6.8 trillion in total client assets*

More Fidelity »

Fidelity Clearing & Custody Solutions

Our advisors enjoy access to the services offered by Fidelity Clearing & Custody Solutions (FCCS), a Fidelity Investments company. Through FCCS, you can leverage the strength of products, resources, services and technology offered by Fidelity, one of the world’s largest and most respected financial services firms, with $6.8 trillion in total client assets*

More Fidelity »

Build, Grow & Thrive with CEROS

Take your business to the next level with the subject-matter experience, custom support,
and comprehensive wealth management capabilities designed to help you succeed.

We are committed to your success. We do not share data.

If you’re a client and need assistance, please contact us directly at (866) 842-3356.
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