Five Star Wealth Managers

Transcription

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Special Advertising Section
Five Star
Wealth Managers
In a consumer study about dynamics between wealth
managers and their clients, Five Star Professional polled
wealth managers and consumers about communications. Both
groups said that connecting three to four times a year is the
right communications strategy, but expectations are not
aligned in all areas:
are financial advisors, financial planners, investment
advisors, tax advisors and estate planning attorneys.
• 2 9 percent of consumers want to be contacted by their
wealth manager whenever events require an update; only 7
percent of wealth managers say they contact clients based
on the impact of events.
Orange Coast magazine and Five Star Professional partnered
to find wealth managers who satisfy 10 objective eligibility
and evaluation criteria that are associated with wealth
managers who provide quality services to their clients.
Among many distinguishing attributes, the average oneyear client retention rate for this year ’s award winners is
more than 96 percent.
• 63 percent of consumers say they receive the right amount
of communication from their wealth manager.
From research conducted by Five Star Professional, April 2011.
Wealth managers, broadly defined, are those
individuals who help you manage your financial
world and/or implement aspects of your financial
strategies. Common examples of wealth managers
How do you find a wealth manager with experience, who
has a good base of clients with high retention rates, and
who has undergone a regulatory and complaint review?
And when you find them, are they accepting new clients?
Don’t listen to other people. Investigate for yourself. Be wary of advisers
who say they never had a down year.”
— Five Star Wealth Manager
A Select
Award
The 2012 Five Star Wealth Managers are a select group, representing less than 2 percent of the wealth
managers in the Orange County area.(1)
Although this list is a useful tool for anyone looking for help in managing their financial world or
implementing aspects of their financial strategies, it should not be considered exhaustive. Undoubtedly, there are many excellent
wealth managers who, for one reason or another, are not on this year’s list.
Award
In order to consider a broad population of high-quality wealth managers, award candidates
are identified by one of three sources: firm nomination, peer nomination or pre-qualification
based on industry standing. Self-nominations are not accepted. Orange County award
candidates were identified using internal and external research data, including a survey to
more than 9,400 registered financial services professionals and all identified financial service companies in the area that are
registered with FINRA or the SEC.
Candidates
www.fivestarprofessional.com: Five Star award information — FS 1
2012 Five Star Wealth Managers
2012 Orange County
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Determination
Of Award Winners
Award candidates who satisfied 10 objective eligibility and evaluation criteria that are
associated with wealth managers who provide quality services were named 2012 Five Star
Wealth Managers.(2)
Eligibility Criteria – Required(3)
2012
1. C redentialed as an investment advisory representative (IAR), a FINRA-registered
representative, a CPA or a licensed attorney.
2. Actively employed as a credentialed professional in the financial services industry for a
minimum of five years.
3. Favorable regulatory and complaint history review.(4)
4. Fulfilled their firm review based on internal firm standards.
5. Accepting new clients.
Evaluation Criteria – Considered(3)
6. One-year client retention rate (the average one-year client retention rate of this year’s
award winners is more than 96 percent).
The Five Star award goes to less
than 7 percent of wealth managers.
7. Five-year client retention rate.
8. Non-institutional discretionary and/or non-discretionary client assets administered (this
year’s award winners administer an average of $95 million in client assets).
9. Number of client households served (on average, this year’s award winners serve 248
households).
10. Education and professional designations.
Research
Disclosures
• Wealth managers do not pay a fee to be considered or
placed on the final list of Five Star Wealth Managers.
• The Five Star award is not indicative of the wealth manager’s future performance.
Insights from Five Star
Wealth Managers
Wishful thinking is not
planning. If you plan
for the worst, you will
never be unpleasantly
surprised.”
• Wealth managers may or may not use discretion in their practice and therefore may not manage
their clients’ assets.
• The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed
as an endorsement of the wealth manager by Five Star Professional and Orange Coast magazine.
• Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future
investment success, nor is there any guarantee that the selected wealth managers will be awarded
this accomplishment by Five Star Professional in the future.
• F ive Star Professional is not an advisory firm, and the content of this article should not be
considered financial advice. For more information on the Five Star award and the research/
selection methodology, go to www.fivestarprofessional.com.
• (1) 1,760 award candidates in the Orange County area were considered for the Five Star Wealth
Manager award. 255 (approximately 14 percent of the award candidates) were named 2012 Five
Star Wealth Managers. The 255 award winners represent less than 2 percent of the total wealth
managers in the area.
Wealth managers were required to certify that any information they provided was accurate.
Criteria 4, 8 and 9 do not apply to attorneys or CPAs.
(4)
As defined by Five Star Professional, the wealth manager has not:
• Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine.
• Had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or
Five Star Professional’s consumer complaint process.
• Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority.
• Filed for personal bankruptcy.
• Been convicted of a felony.
(2)
(3)
Clients don’t care how
much you know until
they know how much
you care.”
Only invest in something that you understand.”
What matters most is
how you recover from
setbacks.”
Five Star Professional conducts a regulatory review of each nominated wealth manager using the Investment Adviser Public Disclosure (IAPD) website. Five Star Professional also
uses multiple supporting processes to help ensure that a favorable regulatory and complaint history exists. Data submitted through these processes was applied per the above criteria:
• Each wealth manager who passes the Five Star Professional regulatory review must attest that they meet the definition of favorable regulatory history, based upon the criteria
listed above.
• Five Star Professional promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager.
• Five Star Professional contacted approximately 1 in 12 households identified as having a high propensity to use the services of wealth managers in order to provide consumers the
opportunity to submit complaints regarding a wealth manager. More than 27,000 households in the Orange County area were contacted.
The Five Star Wealth Manager selection criteria was updated for the 2012 award year. 2005 – 2011 Five Star Wealth Managers scored highest in overall satisfaction based on feedback
from clients, peers and industry experts. No more than 7 percent of wealth managers receive the award each year. The selection process for the 2005 – 2011 award winners can be
found at www.fivestarprofessional.com/2011/wealth_managers_research_overview.php.
FS 2 — Five Star award information: www.fivestarprofessional.com
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Business Planning
Elizabeth Bernay ∙ Morgan Stanley Smith
Barney
Andy Purmort ∙ EHG Financial Planning
Rischi Paul Sharma ∙ Assembly Pointe
Financial
Jeffrey Andrews ∙ Raymond Wesley Wealth
Management Group
Howard Ashlock ∙ Merrill Lynch
Bruce Duquette ∙ U.S. Bancorp
Page 19
Andrew Ehrlich ∙ Ameriprise Financial
Services, Inc.
Charles Farrell ∙ 65RETIRE
Lisa Banning ∙ Financial Management
Network
William Beeler ∙ Regal Wealth Group
Curtis Farrell ∙ Financial Management
Network
Estate Planning
Herbert Bennett ∙ Merrill Lynch
Monte Fitch ∙ VantagePoint Advisory Group
Cheryl Barrett ∙ Ferruzzo & Ferruzzo
Page 14
Lawrence Bennett ∙ Bennett Financial &
Insurance Services
Robert Foley ∙ Raymond James Financial
Services
John Bradshaw ∙ Ferruzzo & Ferruzzo
Page 14
Noah Boatright ∙ Boatright Capital
Management
Bruce Formes ∙ Bruce Formes Retirement
Planning
Matt Brown ∙ Brown & Streza
Matthew Bohm ∙ Charles Schwab &
Company
Kenneth Franklin ∙ Ameriprise Financial
Services, Inc.
Gary Bowman ∙ Strategic Retirement
Planning
G. Brad Fries ∙ Applied Financial
Management
Matthew Bradley ∙ Morgan Stanley Smith
Barney
Bruce Galloway ∙ Ameriprise Financial
Services, Inc.
Randal Bressette ∙ LPL Financial
Elaine Gennawey ∙ Morgan Stanley Smith
Barney
Michael Cruz ∙ Courtlandt Financial
Group Page 21
Ernie Ellsworth ∙ Ernie M. Ellsworth,
Attorney at Law
Bradley Erdosi ∙ Law Offices of Bradley S.
Erdosi
Rick Fenelli ∙ Law Offices of Rick J. Fenelli
Robert Burns ∙ Thrivent Financial
Jillyn Hess-Verdon ∙ Hess-Verdon &
Associates Page 9
Carl Camp ∙ Eclectic Associates
Donald Hunsberger ∙ Law Offices of
Donald A. Hunsberger Page 6
Karen Caporaso ∙ Commonwealth
James Leese ∙ Ferruzzo & Ferruzzo
Page 14
John Gerken ∙ Wealth Management Advisers
Loreen Gilbert ∙ Wealthwise Financial
Services Page 14
Martha Cannady ∙ Merrill Lynch
Joel Goldhirsh ∙ Goldhirsh & Goldhirsh
Luke Cattau ∙ Thrivent Financial
Rod Chamberlin ∙ Chamberlin & Associates
Emily Hermeno ∙ Financial Advocates
Melissa Levin ∙ Romero & Levin Wealth
Management
Robert Conlisk ∙ Mass Mutual Financial
Group
Thomas McKenzie ∙ McKenzie Law Firm
Page 19
Matthew Conner ∙ Financial Management
Network
Daryl Miller ∙ Russell & Miller
Arthur Cooper ∙ Cooper McManus
Joseph Mona ∙ Joseph M. Mona
Thomas Crider ∙ Citi Personal Wealth
Management
Thomas Roll ∙ Myers & Porter
Steven Schroeder ∙ Law Office of Steven F.
Schroeder
Arlyn Smith ∙ Morgan Stanley Smith Barney
W. Bailey Smith ∙ Tredway Lumsdaine &
Doyle
W. Rod Stern ∙ Murtaugh Meyer Nelson &
Treglia
H. Brooks Travis ∙ The Law Offices of H.
Brooks Travis Page 22
Mark Ziebold ∙ Ziebold Law Group
Financial Planning
Andrew Gordon ∙ Wealth Management
Advisers
Kate Hewell ∙ Laguna Financial Group
Page 22
Patrick Horn ∙ P&H Asset Management
Gary Hutto ∙ Hutto Dean & Company
Page 19
Tracy Jackson ∙ Jackson Financial
Management Page 10
Brett Curran ∙ Financial West Group
Christina D’Amore ∙ Ameriprise Financial
Services, Inc.
D. Paul D’Amore ∙ Ameriprise Financial
Services, Inc.
Frank DiFerdinando ∙ Northern Trust
Page 21
Karl Dimler ∙ Wealth Planning Group
Mark Jillson ∙ LPL Financial
James Kieckhafer ∙ Kieckhafer Schiffer &
Company
David King ∙ LPL Financial
Kate King ∙ The KFK Group
James Kirby ∙ Kirby Wealth Management
Carol Knowlton ∙ Knowlton Financial Group
Scott Doll ∙ Doll Capital Advisors
Marie Cadwallader Draper ∙ Sagemark
Consulting Page 21
Trenton Adams ∙ Trenton Adams Associates
Jeffrey Duncan ∙ VantagePoint Advisory
Group Page 18
Allen Ah You ∙ Monolithe Wealth
Planning Group Page 16
John Dunphy ∙ Haussmann Financial
Daniel Koblin ∙ Pinnacle Consulting Group
Sonny Kothari ∙ Merrill Lynch
Carl Lachman ∙ Eclectic Associates
Lisa Lockerman ∙ Newport Advisory
Page 22
Award winners listed by primary services and listed alphabetically by last name.
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Ryan Maroney ∙ Financial Management
Network
Mike Sheets ∙ Provence Wealth Management
Group
Victoria Barbisan ∙ Ameriprise Financial
Services, Inc.
Gordon Martin ∙ RBC Wealth Management
Jacob Shen ∙ Ameriprise Financial Services,
Inc.
Jeff Barlow ∙ Trillium Advisory Group
Martha Maruca ∙ Maruca Financial &
Insurance Services
Sean McGrath ∙ Western International
Securities
David McManus ∙ Cooper McManus
Richard Meeks ∙ Merrill Lynch
Jeff Motske ∙ Trilogy Financial Services
Bradley Stephenson ∙ Stephenson and
Company
Steven Sturner ∙ Ameriprise Financial
Services, Inc.
David Thompson ∙ RBC Wealth
Management
Alan Nakamura ∙ Merrill Lynch
Helen Timpe ∙ Morgan Stanley Smith
Barney Page 17
Julie Newcomb ∙ Newcomb & Athan
Financial
Michael Tuz ∙ Aegis Financial Partners
Page 22
Brent Oberlander ∙ Wealth Management
Strategies
Michael Vandenburg ∙ Coast Wealth
Management
Tino Pagano ∙ Merrill Lynch
David Wagner ∙ Morgan Stanley Smith
Barney
Avi Pai ∙ LPL Financial
Page 22
Eldon Pence ∙ Pence Wealth Management
Page 11
Thomas Walden ∙ National Planning
Corporation
Terry Benson ∙ Wells Fargo Advisors, LLC
Page 18
Steven Bernardy ∙ Merrill Lynch
Susan Bordeaux ∙ Morgan Stanley Smith
Barney
Bryce Bordwell ∙ Citi Personal Wealth
Management
David Boyer ∙ Wells Fargo Advisors, LLC
Page 21
Paul Byrd ∙ Wells Fargo Advisors, LLC
Ken Camarella ∙ Morgan Stanley Smith
Barney Page 13
Gina Cereda ∙ Wells Fargo Advisors, LLC
Page 18
John Chamberlin ∙ Deutsche Bank
Horacio Choi ∙ Wells Fargo Advisors, LLC
Jason Weaver ∙ Ameriprise Financial
Services, Inc.
Peter Christenson ∙ Ameriprise Financial
Services, Inc.
Louis Windawi ∙ Windawi & Associates
Page 20
Kelly Clyde ∙ South Coast Investment
Advisors
Bart Zandbergen ∙ Financial Management
Network
Barbara Cole ∙ Cole Insurance &
Financial Services Page 21
Joe Ziomek ∙ Laguna Financial Group
Eric Connella ∙ Edward Jones
James Zivich ∙ LPL Financial
Linda Coulson ∙ LPL Financial
Timothy Redmond ∙ Newcastle Financial
Advisors
Insurance
John Crittenden ∙ Crowell Weedon &
Company
Brian Reyes ∙ Provence Wealth Management
Group
Jay Huckabone ∙ Thrivent Financial
Laila Pence ∙ Pence Wealth Management
Page 11
Bryan Pepper ∙ Cornerstone Investment
Consulting
Joseph Peralta ∙ Retirement Distribution &
Wealth Management Strategies
Peter Prescott ∙ Prescott Tax & Wealth
Management
Mary Amen ∙ Pacific Advisors
Sydney Riccio ∙ Riccio Wealth
Management Advisors Page 22
Michael Maruca ∙ Maruca Financial &
Insurance Services
Dean Romo ∙ Raymond James Financial
Services
Monzur Mollah ∙ New York Life Insurance
Thomas Sim ∙ Tax & Financial Partners
Margarita San Juan ∙ Merrill Lynch
Investments
Shawn Sandoval ∙ Cooper McManus
Chris Sathre ∙ JRL Capital Corporation
Bradley Saunders ∙ Morgan Stanley Smith
Barney
Alan Schryer ∙ Noble Wealth Management
Neil Amor ∙ First Foundation Advisors
Mark Ansara ∙ Crowell Weedon &
Company Page 17
Louis Arlow ∙ Ameriprise Financial Services,
Inc.
Floyd Schwartz ∙ Raymond James
Financial Services Page 16
John Arnold ∙ Merrill Lynch
Sandip Sehmi ∙ OC Wealth Advisors
Anouchka Balog ∙ Morgan Stanley Smith
Barney
James Shanton ∙ Jackson Financial
Management Page 10
Guy Baker ∙ Wealth Teams Solutions
Kevin Darger ∙ Financial Management
Network
Mark Delp ∙ Wells Fargo Advisors, LLC
Jeannette Dobbyn ∙ Morgan Stanley Smith
Barney Page 13
Richard Doebler ∙ Merrill Lynch
Nicholas Dolle ∙ Morgan Stanley Smith
Barney
Kevin Donohue ∙ Morgan Stanley Smith
Barney Page 21
Derek Draper ∙ Wells Fargo Advisors,
LLC Page 8
Bill Duggins ∙ Duggins Financial
Linda Dunbar ∙ Cooper McManus
Page 18
George Faas ∙ Morgan Stanley Smith Barney
Will Fetter ∙ Edward Jones
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Sandra Field ∙ Asset Planning
John Fierro ∙ Wells Fargo Advisors, LLC
Page 21
Michael Friedman ∙ Churchill
Management Group Page 21
George McDaniel ∙ Lighthouse Financial
Services
Michael McQuilkin ∙ Wells Fargo Advisors,
LLC
Robert Meaux ∙ Thrivent Financial
John Milia ∙ Wells Fargo Advisors, LLC
Michael Gates ∙ Wells Fargo Advisors, LLC
Taryn Moll ∙ Merrill Lynch
David Geske ∙ Redwood Investments
Thomas Mooers ∙ Morgan Stanley Smith
Barney
Luis Orama ∙ Compak Asset Management
Kerry Givant ∙ Merrill Lynch
Patrick Guinet ∙ Wells Fargo Advisors, LLC
Christopher Haberl ∙ Haberl Wealth
Management Page 21
Mark Thon ∙ Rebel Wealth Management
Jeni Tryon ∙ Tryon & Company
Craig Tuthill ∙ Wells Fargo Advisors, LLC
Robert Vollmer ∙ First Allied Securities
John Gaines ∙ LPL Financial
Philip Gironda ∙ Edward Jones
Arthur Thielen ∙ Pathways Financial
Steven Pollack ∙ Steven Pollack & Associates
Patrick Powers ∙ Powers Capital Investments
Bryan Welbaum ∙ Morgan Stanley Smith
Barney
T. Douglas Welsh ∙ Crowell Weedon &
Company
Peter Wernemar ∙ Merrill Lynch
Tim Werth ∙ Edward Jones
David Reagan ∙ City National Bank
Carolyn Wyatt ∙ Crowell Weedon &
Company
James Riley ∙ Merrill Lynch
Taxation
Daniel Henry ∙ RBC Wealth Management
James Ritchie ∙ Morgan Stanley Smith
Barney
Rudy Baron ∙ Baron Accountancy
Corporation
Michael Hickey ∙ Wells Fargo Advisors, LLC
Donovan Ritter ∙ LPL Financial
Walt Hommerding ∙ Wells Fargo
Advisors, LLC Page 15
Michael Roane ∙ Morgan Stanley Smith
Barney
Corinne Baughman ∙ Moss Adams Wealth
Advisors Page 17
Tina Hum ∙ TMH Financial
Gary Robertson ∙ FMSI Advisors
Andrew Favor ∙ Ritt & Favor, CPAs
Daniel Romero ∙ Romero & Levin Wealth
Management
Michael Fujimoto ∙ Tice Gardner &
Fujimoto
Robert Rumishek ∙ Morgan Stanley Smith
Barney Page 22
Glenn Hetzel ∙ Glenn B. Hetzel
Steve Henningson ∙ SageView Advisory
Group
Page 22
Derek Johnson ∙ Merrill Lynch
Jeffrey Kanegae ∙ Wells Fargo Advisors, LLC
Rick Keller ∙ First Foundation Advisors
Chad Kessler ∙ C. K. Cooper & Company
Martin Klein ∙ J.P. Morgan Securities
Alex Salcedo ∙ U.S. Bancorp
Page 19
James Colclaser ∙ Colclaser & Associates
Page 20
Nicholas Hodges ∙ NCH Tax & Wealth
Advisors
Matthew Sassani ∙ Ameriprise Financial
Services, Inc.
Louise Liewald ∙ Liewald Accounting and
Consulting
Gary Kubesh ∙ Merrill Lynch
Robert Seaman ∙ Towneley Capital
Management
Steven Olmsted ∙ Olmsted & Associates
Tracy Kuntz ∙ Towneley Capital
Management
Suzanne Sellars ∙ Morgan Stanley Smith
Barney Page 20
John LaBriola ∙ Sagent Wealth Management
Steve Shatynski ∙ Wells Fargo Advisors, LLC
Thomas Lauderdale ∙ Wells Fargo Advisors,
LLC
Robert Shaw ∙ Morgan Stanley Smith Barney
Harmon Kong ∙ Iwamoto Kong Wealth
Management Group Page 15
Edward LeBeau ∙ Charles Schwab &
Company
Ralph Linzmeier ∙ Morgan Stanley Smith
Barney
Teri Rice ∙ Rice & Company Certified Public
Accountants
Neil Silverstein ∙ Silverstein & Associates, an
Accountancy Corporation
Shotaro Shiono ∙ Wells Fargo Advisors, LLC
Jerry Slusiewicz ∙ Pacific Financial Planners
Eric Spraker ∙ Wells Fargo Advisors, LLC
Ken Stelts ∙ Edward Jones
William Livingston ∙ Merrill Lynch
Douglas Stewart ∙ First Allied Securities
Julie Mains ∙ Gold Coast Financial Group
Winnie Sun ∙ Sun Group Wealth Partners
Raymond Martin ∙ Wells Fargo Advisors,
LLC
Mark Taylor ∙ Winthrop Taylor Financial
Page 22
Vincent Mazzotta ∙ Ameriprise Financial
Services, Inc.
Dean Tellone ∙ Tellone Management
Group Page 12
“Financial planning is
a holistic approach to
financial well-being.”
— Five Star award winner
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and the federally registered CFP (with flame logo) in the U.S., which it awards to
individuals who successfully complete CFP Board’s initial and ongoing certification requirements. The Chartered Financial Consultant credential [ChFC®] is a financial planning designation awarded by The
American College.
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Left to right: Abbey Moothart, Genene Hill, Alec Hunsberger,
Five Star award winner Donald A. Hunsberger, Sarah E. Barb, Valerie Barrett, Elaine Watrous
Professional and Personal Service for Your Peace of Mind
Hunsberger Law is a values-based law firm located in central Orange County that offers comprehensive legal experience and advice to
clients across Southern California. We guide families, individuals and business owners with all the aspects of estate planning, probate, trust
administration, business law and charitable giving.
Our mission is to provide quality estate planning and business services that accurately reflect your goals and safeguard your property. Every
estate and business plan is truly unique and is based upon the client’s specific situation. Together, we can craft a plan that maximizes net
worth, reduces taxation and avoids costly court interference.
Whether you are a newlywed, a growing family, own a home, or starting and running a business endeavor, Hunsberger Law Offices can help
you. We work with you personally on a one-on-one basis and are available to guide you throughout the entire process.
Protect what you have earned and provide for your loved ones by using legal strategies to help secure everyone’s peace of mind.
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Donald A. Hunsberger
Advanced Estate and Business Planning Attorney
• More than 30 years of teaching and practicing advanced planning techniques
• Extensive attorney guidance throughout the entire process
• Assistance in realizing goals to safeguard your family and business
Areas of Focus: Estate Planning, Probate, Trust Administration, Business Law and Charitable Giving
Designations: MBA, JD, Professor of CLU®, CFP®, CHFC® and CEBS designations, Editor of National Planning Journal
Hunsberger Law Offices
625 The City Drive South, Suite 345 • Orange, CA 92868
Office: (714) 663-8000
www.hunsbergerlaw.com
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Derek Draper
“The Difference Is That We Are Family and Clients Are Members.”
Areas of Focus:
Intergenerational Wealth
Transfers, 401(k) Roll-Overs
Left to right: Three-year winner Derek Draper, John Draper, Sr., Karen Thatcher, Suzanne Fjeldsted, Betty Draper
• Our core investment strategies have doubled over the last 10 years
• Draper Wealth Management Group of Wells Fargo Advisors helps preserve and grow
intergenerational family wealth
Titles/Designations: Derek Draper, CFP®, Vice President – Investments
John Draper, MBA, CFP®, Senior Vice President – Investments
Derek and John have 46 years of combined experience in
wealth management. Wealth management means taking
care of our clients, their families, their businesses and their
employees as part of a long-term and consultative relationship.
It’s best conceptualized as a platform where many different
sets of services and products are provided, beyond stocks,
bonds and mutual funds. Draper Wealth Management Group
of Wells Fargo Advisors offers a full-service model that covers
investment planning, stock options and retirement planning.
The Drapers take great pride in their great relationships with
third and fourth generations of original clients.
24431 Calle De La Louisa, Suite 100 • Laguna Hills, CA 92653
Office: (949) 768-9600 • Direct: (949) 768-8126
[email protected] • www.drapergorup.wfadv.com
Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection
process. Wells Fargo Advisors, LLC, Member SIPC. [CAR 0212-0643B].
Investment and Insurance Products:
NOT FDIC-Insured
NO Bank Guarantee
May Lose Value
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Trust and Estate Planning and
Disputes Over Inheritance
• Strategies for business owners and
complicated family issues
• Legal team handles trust and probate
litigation; more than 20 published appellate
court opinions
• Admitted to U.S. Supreme Court; attorneys
licensed in multiple states
Areas of Focus: Estate Planning, Business Planning,
Special Needs Trusts, Charitable Planning
Jillyn founded the law firm in 1990. Over the past 22 years, the
firm has advised thousands of clients, and the net worth of
their clients currently represented totals more than $7 billion.
Jillyn has appeared numerous times on TV and radio as a legal
expert and is a noted speaker on the subjects of advanced
estate planning, special needs trusts for disabled family
members, private and public foundations, and charitable
planning.
Our legal team also handles cases after a death for
administration of a trust or to resolve disputes over inheritance.
We are dedicated to resolving disputes, whether this is done by
settlement or litigation. Probate litigation requires a balancing
of sensitivity to family relationships and an aggressive
approach to litigation depending on each client’s particular
situation.
Our estate planning is more effective, because we see what can
go wrong with trusts and estates and know how to prevent
those problems.
620 Newport Center Drive, Suite 1030 • Newport Beach, CA 92660
Office: (949) 706-7300
[email protected] • www.hessverdon.com
Legal Advisory.
Jillyn
Hess-Verdon
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Tracy Jackson and the JFM Team
The Family CFO — Competence, Integrity, Maturity
Areas of Focus:
Comprehensive Private
Wealth Management and
Financial Planning
Left to right: Joanna Hsu, Kevin K. Chung, Pamela Brown, four-year winner Tracy O. Jackson,
2012 winner James A. Shanton, Justin Clare, Laurie Wearp, Christopher J. Rogers
• Solid track record of building lifelong relationships with clients
• Nationally recognized: Bloomberg, Reuters and Financial Advisor
• More than five decades of combined experience in wealth management
Designations: Three CFP® practitioners, One CFA® Charterholder and
Two Masters in Financial Planning
As your Family CFO, we provide a centralized solution for
coordinating all aspects of your wealth for the benefit of you
and your future generations. We lead your team of professional
advisors (including your CPAs, attorneys, insurance agents and
bankers) in developing and implementing multigenerational
wealth strategies. We provide you with the clarity and
confidence that comes with knowing that the details of your
financial life are being professionally managed in concert with
your personal goals, values and lifestyle.
Based on our guiding philosophy that true sustainable wealth
results from intelligent, disciplined decisions made over a
long period of time, our comprehensive financial planning
and innovative global investment management solutions
provide you with the framework for making and enacting
sound financial decisions that help lead to sustainable wealth
throughout your lifetime.
Jackson Financial Management
151 Kalmus Drive, Suite H7 • Costa Mesa, CA 92626
Office: (714) 434-6900
[email protected] • [email protected]
Publication rankings and/or other recognitions should not be construed as a guarantee that a client will experience a certain level of results, nor as a current
or past endorsement by any Jackson Financial Management client. A copy of Jackson Financial Management’s written disclosure statement is available upon request.
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Laila Pence, CFP® • E. Dryden Pence III • Five Star Award Winners
Planning and Asset
Management That
Makes a Difference
Left to right: Rory Hart, Martin Lombrano, four-year winner Laila Pence,
two-year winner E. Dryden Pence III, Douglas Frazier, Richard Sorensen
• Nationally recognized by Barron’s magazine in their top 100 rankings for the last four years
• Cash-flow focused investing — independent thinking — expert planning
• Comprehensive financial planning, retirement planning and asset management
Titles: LPL Registered Principals, LPL Financial Advisors, Ph.D., MBA
Designations: CFP®, CPM®, AIF®
Pence Wealth Management offers broad, deep expertise
across all aspects of a client’s financial life: financial and estate
planning, investments, insurance and retirement.
We make a difference in our clients’ lives by providing greater
comfort regarding their income and confidence regarding
their wealth.
Our approach focuses on client needs and goals independent Pence Wealth Management advisors have been trusted by
of what is occurring in the global markets through fee-based clients and their families nationwide for 32 years.
management and unbiased advice that you can trust.
5000 Birch Street, Suite 7600 • Newport Beach, CA 92660 • 990 West 190th Street, Suite 500 • Torrance, CA 90502
(949) 660-8777 • (800) 731-3623
[email protected] • PenceWealthManagement.com
CA Insurance License 0545421 • Barron’s rankings are based on assets under management, revenues the advisors generate for their firms and the quality of their practice.
Securities and fee-based advisory services offered through LPL Financial, Member FINRA/SIPC.
Pence Wealth Management Group
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Dean Tellone
Active Wealth Management to Help You Achieve Your Ideal Life
Areas of Focus: Asset
Management, Financial
and Estate Planning, Tax
and Accounting Services
Left to right: Top row: Mark Clement, Steven Wolfe, four-year winner Dean Tellone, Derek Pantele, Bill Vohsing
Bottom row: Urooj Sharif, Ronda McNeff, Emily Ashcroft
• As seen in Forbes, recognized as a “Leading Wealth Manager of Western U.S.”
• Comprehensive financial planning for individuals, businesses and estates
• Active asset management to take advantage of market volatility
CERTIFIED FINANCIAL PLANNER™, CPA, Enrolled Agent, MBA, Life Agent
Helping you live your ideal life is Tellone Management Group’s
top priority. The firm has designed a comprehensive financial
planning program to keep your total financial house in order
and fulfill your dreams. Founded in 1975 upon the principles
of integrity, reliability and dedicated service, TMG prides
itself on helping people attain their most important values
in life, with the highest probability of success. Through active
management and personal care for each client, they maintain
a 99-percent client retention rate. Above all, TMG is committed
to enhancing their clients’ financial health and independence
by providing the best service and advice from top experts in
the field.
6200 East Canyon Rim Road, Suite 201 • Anaheim Hills, CA 92807
Office: (714) 998-2290 • Fax: (714) 998-5613
[email protected] • www.tellone.com
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It Is Not How Much We Know, but
Rather How Much We Care
• Comprehensive team approach
• Your priorities shape the plan
• Superior service and integrity
Left to right: Five Star award winner Ken Camarella and George Strnad
For more than 30 years, our clients have been the foundation of our practice.
They entrust us with enormous responsibility. Our practice adheres to the highest
standards of ethical behavior. A key to successful investing lies in understanding
the client’s goals and needs, and managing risk. Only when this is done can
appropriate investments and strategies be employed. We are committed to
providing our clients with a superior level of service within a competitive, feebased practice.
Ken Camarella: Senior Vice President, Financial Advisor
George Strnad: Senior Vice President, Senior Institutional
Consultant, Financial Advisor
Ten Pointe Drive, Suite 400 • Brea, CA 92821
Toll-free: (800) 375-3413
Ken: (714) 674-4112 • George: (714) 674-4133
[email protected] • [email protected]
fa.smithbarney.com/thenorthpointegroup
© 2012 Morgan Stanley Smith Barney LLC. Member SIPC.
Jeannette M. Dobbyn
Character • Competency
Consistency • Continuity
• Serve families’ needs for financial guidance through
all life events
• Investment advisory services and wealth management
strategies to help grow and preserve wealth
• Provide comprehensive advice in a cohesive plan
for the future
Left to right: John B. Lyon, three-year winner Jeannette M. Dobbyn and Stacy R. Stryker
The Lyon Dobbyn Group at Morgan Stanley Smith Barney defines a Financial
Advisor as (1) an excellent listener who listens to and understands a client’s
problems, concerns and needs; (2) one who translates these issues into a mix of
investments tailored to the client’s specific requests and goals; (3) one who informs
and educates, provides professional financial advice and service tailored to specific
requests and goals; and (4) one who, only then, implements a client’s decision.
A relationship based on integrity, knowledge and effort is key to achieving one’s
long-range goals.
Title: First Vice President, Wealth Advisor, CFP® professional
10 Pointe Drive, Suite 400 • Brea, CA 92821
Phone: (714) 674-4125 • Toll-free: (800) 794-7682
[email protected]
www.fa.smithbarney.com/jdobbyn
Ken Camarella
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Ferruzzo & Ferruzzo Team
Master Builders
• Implementing client values
• Maximizing asset transfers
• Preserving family harmony
James K. Leese, Cheryl L. Barrett, Partners
Left to right: Three-year winners James K. Leese, Cheryl L. Barrett,
two-year winner John G. Bradshaw
Estate planners at Ferruzzo & Ferruzzo, LLP architect plans that embody client
goals and values. James Leese, a certified specialist in estate planning, with a
Master’s in Tax, orchestrates business succession and philanthropy into his clients’
plans. Cheryl Barrett combines her interest in special needs trusts with trust
administration and probate matters. John Bradshaw blends corporate law and
estate planning expertise. These lawyers build results that last beyond a lifetime.
3737 Birch Street, Suite 400 • Newport Beach, CA 92660
Phone: (949) 608-6900 • Phone: (714) 834-9322
www.ferruzzo.com
Loreen M. Gilbert
Wealth Management Redefined
• Retirement plan consulting
• Wealth management
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• Financial planning
Title: President, WealthWise Financial Services
“We work with families and businesses to integrate their money and their values so
that both their values and their money outlive them,” says Loreen Gilbert, President
of WealthWise Financial Services.
Whether your goal is accumulating, protecting or transferring wealth, WealthWise
Financial Services is your trusted partner. We are redefining wealth management
by providing customized strategies and advice delivered with competence,
integrity and care. In addition to being a wealth manager for more than 20 years,
Ms. Gilbert is also the incoming president of National Association of Women
Business Owners – OC and sits on the board of many philanthropic organizations.
9070 Irvine Center Drive, Suite 230
Irvine, CA 92618
Office: (949) 748-1177
[email protected]
www.wealthwisefinancial.com
Left to right: Two-year winner Loreen Gilbert
and Team Members Cynthia Downey, Hannah Gruss, Joshua Kushner
Designations: CIMA®, AIF®, CRC®, CLTC®
Loreen Gilbert is a Registered Representative with and securities and financial planning are offered through LPL Financial, a Registered Investment Advisor. Member FINRA/SIPC.
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Navigating in the Uncertain
World of Retirement
• Customized wealth management and
preservation strategies
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• Business owner and corporate executive services
• Dynamic asset allocation strategy with core/
satellite philosophy
Designations: Senior Vice President – Investments, PIM
Portfolio Manager
Through thoughtful listening, we help you develop a vision and execute a
tailored plan to help accomplish your financial lifestyle goals. Our belief is that
“uninterpreted information” should be differentiated from “knowledge” to help
achieve long-term success. This gap is bridged by virtue of Walt’s rare background
in accounting at Price Waterhouse Cooper (audit and tax consulting), Assistant
Vice President of a large real estate company to present as Senior Vice President
– Investments with Wells Fargo Advisors. His career in wealth management spans
25 years, and he is one of the select advisors entrusted to manage discretionary
portfolios.
Wells Fargo Advisors, LLC
620 Newport Center Drive, Suite 1600
Newport Beach, CA 92660
Toll-free: (800) 779-6955
Direct: (949) 759-4564
[email protected]
Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award
and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR 0212-1662 2/12].
Iwamoto Kong Wealth
Management Group
Significance Beyond Success
• Global investment perspective
• Comprehensive wealth management
• Family focus, integrity, trust, results
CFA, CFP®, MBA, CRPC®
Left to right: Landon Yoshida, 2011 winner Megan Pierpont,
two-year winner Rhonda Ducote, three-year winner Harmon Kong (seated)
At Iwamoto Kong, your wealth has significance beyond its monetary value. Our
goal is to build long-lasting, multigenerational relationships with our clients
grounded in open communication, understanding, competence and integrity. We
define significance beyond success as developing relationships with our clients
that extend beyond financial matters.
19200 Von Karman Avenue, Suite 1030
Irvine, CA 92612
Phone: (949) 253-8888
www.iwamotokong.com
A SEC-Registered Investment Advisory Firm.
Walt J. Hommerding
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Monolithe Wealth
Planning Group
Trusted, Strategic, Quality Advice
• Proactive wealth management
• Strategic, total relationship advisors
• Client objectives define the path
Wealth Advisors
Left to right: Three-year winner Allen Ah You, 2010 winner Jane An
and two-year winner Javier Vallejo
For more than a decade, our focus has been to provide unique client-centered
strategies to high-net-worth individuals and families as well as smaller institutional
clients. The Monolithe Group offers the security and trusted, unbiased knowledge
that comes with an independent firm. We are committed to ensuring an excellent
client experience by providing unbiased, evolving strategies which make sense to
investors in the current economy.
CRPC®, CRTP
Monolithe Wealth Planning Group
19200 Von Karman Avenue, Suite 500
Irvine, CA 92612
Office: (949) 477-8093 • Cell: (949) 400-6810
[email protected]
www.MonolitheGroup.com
Securities offered through Investors Capital Corporation Member FINRA/SIPC. Advisory Services offered through Investors Capital Advisory.
Floyd L. Schwartz
Utmost Integrity • 25 Years
• 1% of advisors honored for three years
• Featured in national publications
• Immaculate regulatory record
Titles: Registered Principal/ WM Specialist
Designations: WMS, CFP®
We provide experience and expertise to help people navigate through this
complex and difficult financial environment. We pride ourselves on having a
thorough understanding of our clients’ objectives, and provide viable solutions
for financial independence and wealth preservation for generations. Coordinated
plan among your professionals, including CPAs and attorneys. Utilization of proven
investment management techniques adopted by the largest endowments in the
world.
2901 West Coast Highway, Suite 200
Direct: (949) 270-2937 • Toll-free: (877) 858-7526
fl[email protected]
www.raymondjames.com/floydschwartz
Raymond James Financial Services, Inc. Member FINRA/SIPC. Featured in On Wall Street magazine. Immaculate regulatory record — no complaints on record for entire 25 years in the financial services
industry. 1.01% of the 13,411 licensed advisors in the Orange County area have been honored with the Five Star award for three years.
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Portfolio Manager
• Works with foundations and assists with trust
services
• Financial and cash-flow planning
Senior Vice President, Wealth Advisor
Left to right: Monica Timpe-Godfrey, four-year winner Helen Timpe,
Kate Jeffrey and Jacqueline Bruce
CFP® practitioner since 1985
The Timpe Group at Morgan Stanley Smith Barney is a family team headed by
four-time winner Helen H. Timpe, CFP®, and daughter Monica Timpe-Godfrey, Vice
President and Wealth Advisor. Flanked by Kate Jeffrey, CFP®, Relationship Manager,
and Jacqueline Bruce, Client Service Associate, the team prides itself on educating
clients through investment strategy sessions and personalized workshops. The
Timpe Group's process focuses on clients' objectives, preserving wealth and taxefficient strategies. Helen has been named to the board of Laura's House and is a
long-time member of the Tocqueville Society.
800 Newport Center Drive, Suite 700
Direct: (949) 760-2401 • Toll-free: (877) 679-7678
[email protected]
www.morganstanley.com/fa/thetimpegroup
© 2012 Morgan Stanley Smith Barney LLC. Member SIPC. Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Smith Barney Financial Advisors do not provide tax or legal advice. Individuals
should consult their tax advisor for matters involving taxation and their attorney for matters involving trust and estate planning and other legal matters.
Mark E. Ansara
Corinne Baughman
660 Newport Center Dr., Ste. 550
Office: (949) 644-1890, Ext. 4030
Toll-free: (800) 441-2926, Ext. 4030
[email protected]
www.crowellweedon.com
2030 Main St., Ste. 1400
Irvine, CA 92614
Office: (949) 221-4000
Direct: (949) 221-4048
Trusted Advice. Exceptional Service.
[email protected]
www.mossadams.com
Acumen • Agility • Answers
• Tactical risk-management strategies
• Option-strategy specialist
• Concierge level of service and support
• More than 25 years of experience
• Dependable, personal service
• Support short- and long-term financial needs
Title: Partner
Title: Tax Partner
Member FINRA and SIPC
Designation: CPA
Today’s markets require a broad understanding of numerous
investment vehicles to plan and invest in an uncertain world. This
knowledge includes potentially using equity options that can tailor
an investment strategy to your particular investment goals. Aside
from our specific investment expertise, having a financial advisory
team that can cater to your individual needs is critical to reducing the
stress caused by financial matters in an otherwise stressful world.
Corinne is committed to providing clients with dependable,
personal service in all areas of their financial lives. She provides
personal financial planning, tax planning, trust accounting, estate
planning, business succession planning and tax preparation in
multistate environments to high-net-worth clients, executives
and family-owned businesses. Corinne works to develop highly
integrated plans that support an individual’s short- and long-term
financial needs.
The material herein has been obtained from various sources and is not guaranteed by us as to
accuracy or authenticity. The opinions expressed herein are those of the financial advisor and do
not necessarily reflect those of Crowell, Weedon & Co. its managers and/or partners.
Helen H. Timpe
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Gina Cereda
Wells Fargo Advisors,
LLC
5000 Birch St., 10th Fl.
620 Newport Center Dr., Ste. 1600
Office: (949) 759-4559
[email protected]
Office: (949) 253-4497
Toll-free: (888) 850-8522
[email protected]
Trusted Advice. Exceptional Service.
Service and Integrity
• Personal attention with exceptional service
• Customized investment management
• Retirement and investment estate planning
• Wealth and estate investment planning service
• Dedicated to providing excellent customer service
• Serving high-net-worth families, business owners and executives
Vice President – Investments, Senior Financial Advisor
Focus: Investment Planning
Private Investment Manager
Title: First Vice President – Investments
I, along with my partner Mike Buntzen, thank our clients for their
continued trust and partnership. It is our honor to be working with you
and to help you achieve your financial and life goals. In our practice,
we devote ourselves to the unique needs and special situations of our
clients, and strive to deliver straightforward, unbiased financial advice.
Gina thanks her clients for their business and for selecting her for this
honor. Gina is at the center of her clients’ investment planning and is
happy to work with her clients’ tax advisors, attorneys and pension
advisors to help meet goals. Gina has served her clients’ financial needs
for more than 16 years and will continue to have high-service standards
including frequent communication and quarterly reviews.
Advisor selection is not reflective of individual client satisfaction or future performance. Please
see the introduction section for important information on the scope of the award and the Five Star
selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR-0212-00629].
Investment and Insurance Products:
Not FDIC-Insured
NO Bank Guarantee
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Terry Benson
MAY Lose Value
Advisor selection is not reflective of individual client satisfaction or future performance. Please see the
introduction section for important information on the scope of the award and the Five Star selection
process. Wells Fargo Advisors, LLC, Member SIPC. [CAR 0212-1157].
Linda Dunbar
Jeff Duncan
9870 Research Dr.
Irvine, CA 92618
Office: (949) 355-3173
[email protected]
18400 Von Karman Ave., Ste. 400
Irvine, CA 92612
Office: (949) 474-6815
jeff[email protected]
Process, Clarity, Action
• Experienced and knowledgeable
• Customized investment strategies
• Personalized client support
• Comprehensive planning process
• Helping to build, manage and protect your wealth
• Professional service team committed to you
Titles: Investment Director/Financial Advisor
Cooper McManus is a SEC-Registered Investment Advisory Firm Securities offered through
Securities America, Inc. A registered Broker/Dealer. Member FINRA/SIPC. Linda Dunbar, Registered
Representative. Cooper McManus and Securities America are not affiliated. California Insurance
License No. 0E55967.
Our aim is to provide a comprehensive and coordinated planning
process for our clients. In the financial planning process, we help
to develop a clear and accurate assessment of your total situation.
Motivation is a byproduct of clarity. Our process is designed to place
you on a focused and intentional path to reaching your financial
objectives.
Jeff Duncan is a registered representative of Lincoln Financial Advisors Corp. Securities offered
through Lincoln Financial Advisors Corp., a broker-dealer (member SIPC). Investment advisory
services offered through Sagemark Consulting, a division of Lincoln Financial Advisors Corp., a
registered investment advisor. Insurance offered through Lincoln Marketing and Insurance Agency,
LLC and Lincoln Associates Insurance Agency, Inc. and other fine companies. CRN201202-2064688.
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Gary Hutto
4100 Newport Pl., Ste. 100
Office: (949) 863-2499
1301 E Lincoln Ave., Ste. H
Orange, CA 92865
Phone: (714) 282-9670
Toll-free: (888) 403-2872
[email protected]
www.huttodean.com
Title: Financial Advisor
Comprehensive Wealth Management Solutions
Investment products are not a deposit, are not FDIC insured, are not guaranteed by the
bank, may lose value and are not insured by any federal government agency. Investment
products and services are offered through U.S. Bancorp Investments, Inc. member FINRA and SIPC, an
investment adviser and brokerage subsidiary of U.S. Bancorp and an affiliate of U.S. Bank. To receive
the 2012 Five Star Wealth Manager award, researched and managed by Five Star Professional, a wealth
manager must be nominated by either a peer or by their firm. In the case of representatives of U.S.
Bancorp Investments, nominations are made by either the individual’s Region or Division Manager.
Nominees were then evaluated using a list of 10 objective criteria and feedback from consumer surveys.
Consumer surveys are promoted via local advertising, through the Five Star Professional website and by
Five Star Professional contacting households identified as having a high propensity to use the services
of wealth managers. Those wealth managers who satisfy the criteria were named a Five Star Wealth
Manager. Find full measurement formulas and information on www.fivestarprofessional.com. The 2012
Five Star Wealth Managers do not pay a fee to be included in the research or the final list of Five Star
Wealth Managers, but may pay for licensed use of the Five Star emblem and award. Working with a
Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success nor
is there any guarantee that the selected wealth managers will be awarded this accomplishment by
Five Star Professional in the future. The Five Star Award is not indicative of the wealth manager’s future
performance. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be
construed as an endorsement of the wealth manager by Five Star Professional or Orange Coast magazine.
Chose Your Path … We'll Do the Rest
• The highest commitment to customer service
• Proprietary asset allocation models to fit your needs
• A+ rated by the Better Business Bureau
Registered Securities Principal
Registered Investment Advisor
With more than 25 years of experience, Gary has counseled thousands
of individuals with their retirement and wealth management needs all
across Southern Cal. As an independent financial advisor, he utilizes
numerous tools to provide unbiased recommendations to maintain the
utmost level of integrity. His strategic asset management models have
helped clients understand, more clearly, their retirement plans for years.
Gary Hutto is a Registered Securities Principal with GWN Securities, Inc., Securities offered
through GWN Securities, Inc., 11440 N Jog Rd., Palm Beach Gardens, FL 33418. Member FINRA/
SIPC. Investment advisory services offered through GWN Asset Management, a Registered
Investment Advisor. Hutto Dean is not an affiliate of GWN Securities, Inc.
Thomas McKenzie
Donovan Ritter
LPL Financial
4000 Birch St., Ste. 201D
One-Stop Legal and Financial Solutions
Office: (949) 743-5206
[email protected]
www.donovanritter.com
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2631 Copa De Oro Dr.
Los Alamitos, CA 90720
Phone: (800) 785-9370
[email protected]
www.thomas-mckenzie.com
Helping Clients Navigate Volatility
• Estate planning, trusts, wills
• Financial advice and services
• Elder law asset protection strategies
• Active and alternative investment strategies
• Financial planning and insurance protection
Titles: Attorney and Financial Counselor
LPL Financial Planner
Designations: JD, RFC
Chartered Life Underwriter®
McKenzie Law Firm is one of Southern California’s only independent,
full-service estate planning, financial consulting and elder law firms.
Clients are treated to a smorgasbord of options, ranging from living
trusts and wills to comprehensive financial, investment and estate
planning services. This unique approach enables the firm to provide
exceptional service at less cost. For more than 15 years, McKenzie
Law Firm has been a popular choice for consumers of all ages.
For 17 years, I have developed and nurtured long-term relationships
with clients by helping them implement a plan to pursue financial
independence. I do this by understanding each client’s specific
goals and risk tolerance and then combining different asset
allocation approaches and investment managers, each bringing
their own perspectives and responses to the markets. The end result
is a portfolio that attempts to better navigate volatility and keep my
clients on course.
Brokerage, investment and financial advisory services are made available through
NPB Financial Group, LLC, Member SIPC, MSRB and FINRA.
LPL Financial, Member FINRA/SIPC.
Bruce Duquette
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Suzanne Sellars
4180 Barranca Pkwy.
Irvine, CA 92604
Phone: (213) 500-1053
[email protected]
www.usbank.com
1901 Main St., Penthouse
Irvine, CA 92614
Phone: (949) 955-7518
[email protected]
Title: Financial Advisor
Comprehensive Wealth Management Solutions
Investment products are not a deposit, are not FDIC insured, are not guaranteed by the
bank, may lose value and are not insured by any federal government agency. Investment
products and services are offered through U.S. Bancorp Investments, Inc. member FINRA and SIPC, an
investment adviser and brokerage subsidiary of U.S. Bancorp and an affiliate of U.S. Bank. To receive
the 2012 Five Star Wealth Manager award, researched and managed by Five Star Professional, a wealth
manager must be nominated by either a peer or by their firm. In the case of representatives of U.S.
Bancorp Investments, nominations are made by either the individual’s Region or Division Manager.
Nominees were then evaluated using a list of 10 objective criteria and feedback from consumer surveys.
Consumer surveys are promoted via local advertising, through the Five Star Professional website and by
Five Star Professional contacting households identified as having a high propensity to use the services
of wealth managers. Those wealth managers who satisfy the criteria were named a Five Star Wealth
Manager. Find full measurement formulas and information on www.fivestarprofessional.com. The 2012
Five Star Wealth Managers do not pay a fee to be included in the research or the final list of Five Star
Wealth Managers, but may pay for licensed use of the Five Star emblem and award. Working with a
Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success nor
is there any guarantee that the selected wealth managers will be awarded this accomplishment by
Five Star Professional in the future. The Five Star Award is not indicative of the wealth manager’s future
performance. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be
construed as an endorsement of the wealth manager by Five Star Professional or Orange Coast magazine.
Louis Windawi
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Alex Salcedo
Committed to Advancing Your Interests
• Retirement and wealth accumulation planning
• Investment allocation strategies
Titles: Financial Planning Specialist, Vice President – Investments,
Financial Advisor
Suzanne has been providing counsel to distinguished clientele for a
period of 32 years — the first three years headquartered in New York
City. With the foundation of the research and support services of Morgan
Stanley Smith Barney, Suzanne looks forward to the future with a resolve
consistent with the Emersonian admonition: “These times, like all times,
are good times; if we but know what to do with them!” Suzanne’s full
commitment will be to isolate niche opportunities better to serve and
potentially increase client wealth consistent within that context.
Top five questions that wealth managers
want clients to answer:
1. What are your goals and objectives with your finances?
2. What is your most pressing need right now?
1422 Edinger Ave., Ste. 220
Tustin, CA 92780
Phone: (714) 258-9911
[email protected]
3. Where do you see yourself in 5, 10, 15 years?
4. Where are all of your assets invested now?
5. What is important about money to you?
Generating Income for a Lifetime
• Wealth management and retirement income strategies
• Extensive IRA training by Ed Slott, CPA
• Comprehensive financial planning
Areas of Focus: Retirement, Investment, Tax and Estate Planning
Designations: CFP®, AWMA®
Louis and his team specialize in addressing the needs of retirees by
creating strategies to generate income, reducing risk, simplifying
investment decisions and providing ongoing advisory services to
help clients retire confidently. Louis’ clients are transitioning into
retirement and need to start generating income they can rely on
for the rest of their lives. His comprehensive approach is proactive,
requiring his clients’ involvement, which gives clients confidence so
they can transition securely into retirement.
Louis Windawi is a branch manager with, and securities/advisory services are offered through,
LPL Financial, A Registered Investment Advisor. Member FINRA/SIPC.
From research conducted by
Five Star Professional, April 2011
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Barbara L. Cole
Michael L. Cruz
3020 Old Ranch Pkwy., Ste. 190
Seal Beach, CA 90740
Direct: (562) 533-6796
[email protected]
home.wellsfargoadvisors.
com/dave.a.boyer
Cole Insurance &
Financial Services
675 Placentia Ave., Ste. 250
Brea, CA 92821
Phone: (714) 255-5161
barbaracole@
ft.newyorklife.com
www.thecolegroup.net
Phone: (800) 994-7094
[email protected]
www.courtlandtgroup.com
Associate V.P. – Investment Advisor
David A. Boyer, MBA, has a disciplined approach
that is seasoned with integrity and advice based
on experience. He strives to identify client
objectives, address individual investment styles
and ensure that financial questions are answered
in the context of the whole financial picture.
Advisor selection is not reflective of individual client satisfaction or
future performance. Please see the introduction section for important
information on the scope of the award and the Five Star selection process.
Wells Fargo Advisors, LLC, Member SIPC. [CAR 0212-4020 2/23/2012].
Proudly serving Southern California since 1987.
Barbara Cole is a Registered Representative offering securities through
NYLIFE Securities LLC., Member FINRA/SIPC. Financial adviser
offering investment advisory services through Eagle Strategies LLC,
a Registered Investment Advisor. Cole Insurance Financial Services is
not owned or operated by NYLIFE Securities LLC or its affiliates.
Frank D.
DiFerdinando
Kevin P. Donohue
16 Corporate Plz. Dr.
Office: (949) 717-5500
[email protected]
www.northerntrust.com
8001 Irvine Center Dr., Ste. 800
Irvine, CA 92618
Phone: (949) 341-7803
[email protected]
www.morganstanley.com/
fa/kevin.donohue
Senior Vice President and Senior
Wealth Advisor
Frank D. DiFerdinando, CPA, PFS, is a senior
vice president and senior wealth advisor in
the Newport Beach office, responsible for
working with clients and their advisors on
comprehensive and integrated goals-driven
wealth management.
Title: Chairman and CEO
Focus: Legacy Wealth Planning
Designations: CLU®, CLTC®, CFP®
Again, we’re honored to have Michael be
recognized as a Five Star Wealth Manager.
As always, client satisfaction remains our
primary objective. We thank our clients
and industry professionals for the privilege
to serve them and promise to continue
Courtlandt’s tradition of integrity, service
and performance.
Established 1995
Marie Cadwallader
Draper
Sagemark Consulting/
Lincoln Financial
18400 Von Karman Ave., Ste. 400
Irvine, CA 92612
Phone: (949) 660-0661
www.mariedraper.com
CERTIFIED FINANCIAL PLANNER™
Financial Advisor, CFP®, ChFC®
Kevin's approach is based on the principal
that a thorough understanding of a
client's situation and needs is essential to
developing, implementing and monitoring
a successful financial plan. This balanced
strategy will help you to achieve your
financial goals.
Ms. Draper is a registered representative
offering securities through Lincoln Financial
Advisors.
Broker/Dealer Member SPIC. Investment Advisory
Services through Sagemark Consulting.
CRN201012-2049093.
Chris Haberl
Churchill Management
Group
5900 Wilshire Blvd., 4 th Fl.
Los Angeles, CA 90036
Phone: (949) 916-9400
7777 Center Ave., Ste. 120
Huntington Beach, CA 92647
Direct: (714) 799-0774, Ext. 3
[email protected]
www.haberlwealth.com
home.wellsfargoadvisors.com/john.fierro
Vice President – Investments
John Fierro is a CERTIFIED FINANCIAL PLANNER™
professional with 19 years of experience
advising high-net-worth clientele. His
focus is concentrated in the areas of estate
investment planning, retirement income
planning and wealth preservation.
Advisor selection is not reflective of individual client satisfaction or
future performance. Please see the introduction section for important
information on the scope of the award and the Five Star selection
process. Wells Fargo Advisors, LLC, Member SIPC. [CAR 0212-3414].
Title: Vice President
With more than 26 years in the investment
industry, Mr. Friedman is a Registered
Investment Advisor Representative and is
currently a Vice President of client relations
with Churchill Management Group, which
was founded in 1963.
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Michael Friedman
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John Fierro
Wells Fargo Advisors,
LLC
620 Newport Center Dr.,
Ste. 1600
Direct: (949) 759-4537
[email protected]
LPL Financial Consultant
Chris has been advising clients for 19 years.
He has vast experience with the intricacies
of investment, tax, financial and estate
planning. He counsels retirees and preretirees with retirement and investment
strategies.
Securities offered through LPL Financial, Member FINRA/SIPC.
David A. Boyer
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Tina Hum
TMH Financial, Inc.
895 Dove St., Ste. 300
Office: (949) 477-1219
[email protected]
www.lpl.com/tina.hum
332 Forest Ave., Ste. 18
Laguna Beach, CA 92651
Phone: (949) 715-7675
[email protected]
www.lagunafinancial.com
CFP®, LPL Registered Principal
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Kate Hewell
Financial Planner
CFP®, AIF®, ADPA
At Laguna Financial Group, we work with
individuals and families in navigating life’s
transitions and achieve long-term goals. We
pride ourselves on maintaining long-term
relationships with superior service and
proactive, ongoing communication.
Laguna Financial is a SEC-Registered Investment Adviser, pending State
registration. Advisory services are only offered to clients or prospective
clients where Laguna Financial and its representatives are properly
licensed or exempt from licensure. No advice may be rendered by Laguna
Financial unless a client service agreement is in place.
Lisa L. Lockerman
4695 MacArthur Ct., Ste. 480
Phone: (949) 622-9000
[email protected]
www.newportadvisory.com
Title: Principal
Tina has been a financial services professional
for 23 years and a CERTIFIED FINANCIAL PLANNER™
since 1994. Her emphasis is personal financial
planning for pre-retirees, professionals and
small-business owners.
Securities and Financial Planning offered through LPL Financial, a
Registered Investment Advisor. Member FINRA/SIPC.
For more than 20 years, Lisa has been helping
busy executives and business owners create
a life and legacy by design, not default.
Financial Planning Services offered through Newport Advisory, Inc.,
a Registered Investment Advisor. Investment Advisor Representative,
Cambridge Investment Research Advisors, Inc., a Registered
Investment Advisor. Registered Principal, Securities offered through
Cambridge Investment Research, Inc., a Broker/Dealer, Member
FINRA/SIPC. Newport Advisory, Inc. and Cambridge are not affiliated.
CA Insurance License 0G56777 and 0822719.
Avi K. Pai
Sydney Riccio
Robert A. Rumishek
18101 Von Karman Ave.,
Ste. 1290
Irvine, CA 92612
Phone: (949) 222-6400
[email protected]
9870 Research Dr.
Irvine, CA 92618
Office: (949) 788-1817
[email protected]
10 Pointe Dr., Ste. 400
Brea, CA 92821
Direct: (714) 674-4108
[email protected]
www.sydneyriccio.com
fa.smithbarney.com/robertrumishek
Senior Vice President, AIF®,
CRPC®, AWMASM, CFP®
Financial Advisor and Registered
Representative
Sr. Vice President, Financial Planning
Specialist, Financial Advisor, CFP®
Avi is a four-time winner of the Five Star
Wealth Manager award. He provides
comprehensive financial planning and
investment advice. He measures the success
of a relationship by how educated, informed
and comfortable you will be.
Securities and advisory services offered through LPL Financial,
Member FINRA/SIPC, a Registered Investment Advisor. Insurance
products offered through LPL Financial or its licensed affiliates.
Not FDIC Insured
Not Bank Guaranteed
May Lose Value
Our mission is to help our clients pursue
their goals and dreams. We go beyond the
numbers to understand, clarify and simplify.
Integrity, independence, agility and personal
relationships are core to our practice.
Securities offered through Securities America, Inc. a Registered Broker
Dealer, Member FINRA/SIPC. Sydney Riccio, Registered Representative.
Advisory services offered through Cooper McManus, a SEC-Registered
Advisory firm. Securities America, Cooper McManus and Riccio Wealth
Management Advisors are unaffiliated. CA Insurance License #0E01624.
Mark Taylor
H. Brooks Travis
Winthrop Taylor
Financial, Inc.
241 Avenida Del Mar
San Clemente, CA 92672
Phone: (949) 369-2525
Toll-free: (877) 369-2529
[email protected]
WinthropTaylor.com
The Law Offices of
H. Brooks Travis, PC
28202 Cabot Rd., 3 rd Fl.
Laguna Niguel, CA 92677
Office: (949) 454-8706
[email protected]
HBTravis-Law.com
Winthrop Taylor Financial is dedicated to
providing our clients with exceptional care
and service, while helping them pursue their
financial goals and dreams. Mark has been
working with families and businesses since 1983.
Securities offered through Securities America, Inc., member FINRA/SIPC.
Advisory services offered through Securities America Advisors, Inc.
Winthrop Taylor Financial, Inc. and the Securities America companies are
unaffiliated. CA Insurance License # 0654835.
Estate Planning, Trusts, Probate,
Charitable Giving, Special Needs
We are a member of the American Academy
of Estate Planning Attorneys. As Academy
members, we are dedicated to educating our
clients and to providing the tools needed
to protect our clients’ estate for the ones
they love. Our firm makes estate planning a
positive and fulfilling experience.
Bob focuses on the four pillars of wealth
management: investment, risk, liabilities
and the process of passing on wealth from
one generation to another. Bob is firmly
committed to long-term relationships and
strives to deliver exceptional personalized
service.
Michael L. Tuz
18400 Von Karmon Ave.,
Ste. 400
Irvine, CA 92612
Office: (949) 623-1786
[email protected]
aegisfinancialpartners.com
ChFC®, CRPC®, CFS®, MBA
With more than 25 years in the financial
services industry, Mike has a customized
approach for financial life planning to help
clients meet their future financial goals.
Mike Tuz is a registered representative of Lincoln Financial Advisors
Corp. Securities and investment advisory services through Lincoln
Financial Advisors, a broker/dealer (member SIPC) and a registered
investment advisor. CRN201202-2064157.

Five Star Wealth Managers

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