James E. Nevels
Founder & Chairman

Mr. Nevels founded The Swarthmore Group in 1991.  He has more than forty years of experience in the securities and investment industry, and is a member of the firm’s Executive Committee.  Mr. Nevels serves on the Board of Directors of three public companies including First Data, Alcoa Corporation, and as Lead Independent Director of WestRock.  Mr. Nevels was appointed by President Bush to the Advisory Committee to the Pension Benefit Guaranty Corporation and served a three year term, 2004-2007.  He served as Chairman from 2005-2007.  Mr. Nevels also served as Chairman (2009-2015) and Lead Independent Director (2015-2017) of The Hershey Company, member of the Board of the Hershey Trust Company and Milton Hershey School, Chair and member of the Board of the Federal Reserve Bank of Philadelphia, member of the Board of XL Group, member of the Board of the Marine Corps Heritage Foundation, member of the Board of MMG Insurance Company and member of the Board of Tasty Baking Company.  Mr. Nevels is an honors (cum laude and Phi Beta Kappa) graduate of Bucknell University, and holds an A.B. degree in Political Science and Philosophy, a M.B.A. degree from The Wharton School, the University of Pennsylvania, and a J.D. degree from the University of Pennsylvania Law School.  Mr. Nevels has also received four honorary degrees.

Mark Rogozinski
Chief Executive Officer

Prior to joining The Swarthmore Group, Mr. Rogozinski was the CEO of Asset Vantage Inc., a global wealth technology company providing Single-Family Offices and Accounting Firms with a SAAS investment accounting and performance reporting solution. He was Managing Director at SEI, heading up their Single Family and Multi-Family Technology Group. Previously, he was President of Rockit Solutions, Inc and the Head of the Operations and Technology Group of Rockefeller & Co, Inc. Prior to this, Mr. Rogozinski was a Senior Vice President of Corporate Development at WealthTrust, where he was responsible for acquisition development and strategic relationships with other wealth management firms. Mr. Rogozinski was a Partner, Principal and Chief Operating Officer for Homrich & Berg, Inc, where he was responsible for the direct management of client service, technology, operations and finance. Mr. Rogozinski also served as the Chief Operating Officer at Convergent Wealth Advisors, LLC. He previously served as Senior Vice President and Chief Financial Officer of Atlantic Trust PWM. Prior to his working in the financial services sector, Mark spent almost a decade with Raytheon Company and Nypro, Inc.  Mark received a triple-major B.S. in Finance/Investments, Entrepreneurial Studies and Communications from Babson College.

Joseph T. Carroll
Managing Director, Estate Planning and Tax Advisory Services

Joseph T. Carroll joined The Swarthmore Group in April 2019 as a Managing Director in the Family Office Services Group for its high-net-worth individual clients.  Prior to joining The Swarthmore Group, the majority of Joe’s career was working at Goldman, Sachs & Co. where he spent almost 32 years of service and retired from the firm in November 2009 as a Vice-President.  Joe was responsible for advising the partners of the firm on their individual income taxes, estate and gift taxes, and financial planning matters.   Joe has extensive experience in the areas of income tax compliance, tax research, and financial planning for high-net-worth individuals.  During Joe’s career at Goldman Sachs, he developed and managed the Estate Tax Planning Group while the firm was still a partnership, and for several years, The Goldman Sachs Family Office, after the firm became a public company.  After Joe retired from Goldman Sachs, he held several senior positions at financial services and wealth management investment advisory firms.  Joe was a Managing Director at TAG Associates LLC, where he worked in the Family Office Services Group.  He was a Managing Director at Rockefeller & Co., where he was a Senior Client Advisor and an Executive Director at Ernst & Young LLP in the Financial Services Office, where he was a market leader for Private Client Services.  Most recently, Joe was a Managing Director at the LeoGroup LLC where he advised high-net-worth individual clients on their domestic and international tax matters.  Joe received a Certificate in Financial Planning from New York University, an M.S. in Taxation from Long Island University, and a B.B.A. in Accounting from Baruch College.  Joe holds a New York State insurance license for life, accident and health and was formerly licensed as an Emergency Medical Technician with New York State Department of Health.

Risa Stolker, CFP
Senior Relationship Manager

Risa has almost 20 years of experience assisting high net worth individuals and families identify their financial, estate, and legacy planning goals and developing customized plans to meet those goals.  Prior to joining The Swarthmore Group in 2019, she was a Senior Wealth Strategist at PNC Wealth Management where she helped clients with retirement income planning, asset allocation, executive compensation analysis, risk management, and wealth transfer and gifting strategies.  Previously, Risa worked at U.S. Trust Company as a Financial Planner providing fee-based financial planning services to corporate executives and other high net worth clients.  Risa began her career in retirement planning and employee benefits and worked for J.P. Morgan and Marsh and McLennan Companies.  Risa earned a B.A. in Psychology from George Washington University, a M.A. from Teachers College, Columbia University in Organizational Psychology, and has been a Certified Financial Planner® since 1999.

Thomas Aichele
Client Relationship Manager

Mr. Aichele joins The Swarthmore Group from PNC Bank where he worked for over a decade as a Relationship Manager in Corporate and Institutional Banking as well as Asset Management. Prior to joining PNC, Mr. Aichele served in the United State Navy as a Surface Warfare Officer taking part in Operation Enduring Freedom and Partnership of the Americas. He received a graduate assistantship to obtain his Masters of Business Administration from Penn State University and attended Cornell University as an undergraduate on an ROTC scholarship. He currently serves as the Treasurer of the Philadelphia Bond Club, is a member of the Philadelphia Securities Association, and the Union League of Philadelphia.

Kurt W. Brunner, CFA
Senior Equity Portfolio Manager

Mr. Brunner joined The Swarthmore Group in 1998.  He has more than thirty years of experience in the investment industry.  Prior to joining The Swarthmore Group in 1998, Mr. Brunner was an analyst and assistant portfolio manager for PNC Equity Advisors Company.  Mr. Brunner holds a B.B.A. degree in Finance from Temple University, and an M.B.A. degree in Finance from Widener University.  He is a member of the Owl Fund Advisory Board for Temple University.  Additionally, he served as past President of the Board of Trustees and currently serves on the Board of Trustees and the Investment Committee of Episcopal Community Services.  He has earned the right to use the Chartered Financial Analyst (CFA) designation.

John B. DeLaney, CFA
Senior Fixed Income Portfolio Manager

Mr. DeLaney joined The Swarthmore Group in 2005.  He has over thirty years of experience in the investment industry.  Prior to joining The Swarthmore Group in 2005, he spent seven years as a Senior Portfolio Manager with Automatic Data Processing, where he was responsible for $7.5 billion in fixed income assets and investing and funding payroll float balances that periodically would exceed $10 billion.  Mr. DeLaney’s experience also includes being a member of SEI’s Global Fixed Income Management Unit, and serving as portfolio manager with The Fairfield Group, Independence Capital Management Inc. and Parkway Management Corporation.  Types of portfolios managed include: pension, savings bank, insurance company, bond proceeds, money market and mutual fund accounts.  Mr. DeLaney holds a B.A. in Economics from Bucknell University.  He has earned the right to use the Chartered Financial Analyst (CFA) designation.

Grace X. Schaffer, CFA
Fixed Income Portfolio Manager

Ms. Schaffer joined The Swarthmore Group in 2010.  She has over twenty years of experience in the investment industry.  Prior to joining The Swarthmore Group in 2010, she was a Portfolio Manager at Aberdeen Asset Management/Deutsche Asset Management and a member of the investment team responsible for managing $30 billion in fixed income assets.  She also has previous work experience as a Fixed Income Application Analyst with FNX Limited, now a part of SunGard.  Ms. Schaffer’s investment expertise is in the Corporate asset class.  Types of fixed income products managed include: Core, Core-plus, Global Aggregate, Short Duration, Intermediate Aggregate, Intermediate Government/Credit, Long Government/Credit, Long Credit, and LDI (Liability-driven investments).  Types of portfolios managed include: ERISA 401k, endowments and foundations, pension plans for corporations, state and local government, union pension plans, insurance general accounts, institutional and retail mutual funds.  Ms. Schaffer holds a B.A. in Economics from the University of International Relations and an M.B.A. from the University of Delaware.  She has earned the right to use the Chartered Financial Analyst (CFA) designation.

James F. Spencer, CFA
Investment Consultant

Mr. Spencer has over 25 years of experience in the investment management business.  He is currently an executive in residence with the Stephen D. Cutler Center for Investments and Finance, where he advises student managers of the Babson College Fund. Jim spent fourteen years as the chief investment officer of Cambridge Bancorp and its subsidiary Cambridge Trust Company. He began his investment management career in 1979 at Wells Fargo Investment Advisors in San Francisco. In 1981, he returned to the East Coast to become vice president and research analyst at Kidder Peabody, where he covered specialty chemicals. Jim later served as director and research analyst in specialty chemicals at Schroder Wertheim and Company in Boston, and as the Chief Equity Officer at Atlantic Trust Company.  Institutional Investor Magazine named Spencer a member of its All American Research Team for eight years.  Jim holds a B.S. from Babson College and he has earned the right to use the Chartered Financial Analyst (CFA) designation.

Christina A. Kowalski
Equity Research Analyst and Trader

Ms. Kowalski joined The Swarthmore Group in 2010.  She has over seventeen years of experience in the investment industry.  Prior to joining The Swarthmore Group in 2010, Ms. Kowalski served as Senior Equity Trader at StoneRidge Investment Partners and was responsible for all aspects of the trading area.  In addition, she assisted the Chief Equity Strategist with the equity modeling process.  Ms. Kowalski received a B.S. degree in Finance from Saint Joseph’s University. She is the affiliate contact for the Philadelphia area for the Security Traders Association (STA) Women in Finance Committee and serves as a board member for the Investment Traders Association of Philadelphia.  Ms. Kowalski is also on the board for Philly Girls in Motion, a non-profit in the Philadelphia area.

Allison Becker Giardinelli
Client Service Manager

Ms. Giardinelli joined The Swarthmore Group in 2013.  She holds a B.A. degree in Business, Organizations and Society from Franklin & Marshall College and a M.B.A from Drexel University.

Denise Caruso
Chief Compliance Officer and Controller

Denise Caruso serves as the Chief Compliance Officer and Controller for The Swarthmore Group, Inc.  In this role, Denise is also responsible for formulating and implementing Swarthmore Group’s policies and procedures, including its Code of Ethics, and making sure they are communicated and trained to all Swarthmore Group employees.   As Controller, Denise manages all finance and accounting operations for the company. She coordinates the preparation of budgets and financial forecasts, billing, and general accounting functions.

Erin H. Lockard
Marketing Manager

Ms. Lockard joined The Swarthmore Group in 2003.  She has over eleven years of client service and marketing experience in the investment industry.  Ms. Lockard holds a B.S. degree in Business Management from Wilmington University where she graduated with honors and completed her Masters in Accounting.

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