Five Star Wealth Managers

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1 In a consumer study about dynamics between wealth managers and their clients, Fivl 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: 29 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. 63 percent of consumers say they receive the right amount of communication from their wealth manager. From research conducted by Fivl, April 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 Award 2012 Orange County Five Star Wealth Managers are financial advisors, financial planners, investment advisors, tax advisors and estate planning attorneys. 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? Orange Coast magazine and Fivl 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. Don t listen to other people. Investigate for yourself. Be wary of advisers who say they never had a down year. Fivl A Select Award Five Star Wealth Manager The 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. Fivl 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 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. Five ofession Five Star award information FS 1 Five ofes

2 Determination Of Award Winners Research Disclosures FS 2 Five Star award information: 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) 1. Credentialed 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). 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. 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. 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 Fivl 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 Fivl in the future. Fivl 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 (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. Fivl (2) Wealth managers were required to certify that any information they provided was accurate. (3) Criteria 4, 8 and 9 do not apply to attorneys or CPAs. (4) As defined by Fivl, 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 Fivl 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 The Five Star award goes to less than 7 percent of wealth managers. Insights from Five Star Wealth Managers Wishful thinking is not planning. If you plan for the worst, you will never be unpleasantly surprised. 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. Fivl Fivl conducts a regulatory review of each nominated wealth manager using the Investment Adviser Public Disclosure (IAPD) website. Fivl 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 Fivl regulatory review must attest that they meet the definition of favorable regulatory history, based upon the criteria listed above. Fivl promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager. Fivl 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 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 award winners can be found at Five ofession Five ofes

3 Business Planning Elizabeth Bernay Morgan Stanley Smith Andy Purmort EHG Financial Planning Rischi Paul Sharma Assembly Pointe Financial Estate Planning Cheryl Barrett Ferruzzo & Ferruzzo Page 14 John Bradshaw Ferruzzo & Ferruzzo Page 14 Matt Brown Brown & Streza 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 Jillyn Hess-Verdon Hess-Verdon & Associates Page 9 Donald Hunsberger Law Offices of Donald A. Hunsberger Page 6 James Leese Ferruzzo & Ferruzzo Page 14 Melissa Levin Romero & Levin Wealth Management Thomas McKenzie McKenzie Law Firm Page 19 Daryl Miller Russell & Miller Joseph Mona Joseph M. Mona Thomas Roll Myers & Porter Steven Schroeder Law Office of Steven F. Schroeder Arlyn Smith Morgan Stanley Smith 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 Trenton Adams Trenton Adams Associates Allen Ah You Monolithe Wealth Planning Group Page 16 Award winners listed by primary services and listed alphabetically by last name. Jeffrey Andrews Raymond Wesley Wealth Management Group Howard Ashlock Merrill Lynch Lisa Banning Financial Management Network William Beeler Regal Wealth Group Herbert Bennett Merrill Lynch Lawrence Bennett Bennett Financial & Insurance Services Noah Boatright Boatright Capital Management Matthew Bohm Charles Schwab & Company Gary Bowman Strategic Retirement Planning Matthew Bradley Morgan Stanley Smith Randal Bressette LPL Financial Robert Burns Thrivent Financial Carl Camp Eclectic Associates Martha Cannady Merrill Lynch Karen Caporaso Commonwealth Luke Cattau Thrivent Financial Rod Chamberlin Chamberlin & Associates Robert Conlisk Mass Mutual Financial Group Matthew Conner Financial Management Network Arthur Cooper Cooper McManus Thomas Crider Citi Personal Wealth Management 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 Scott Doll Doll Capital Advisors Marie Cadwallader Draper Sagemark Consulting Page 21 Jeffrey Duncan VantagePoint Advisory Group Page 18 John Dunphy Haussmann Financial Bruce Duquette U.S. Bancorp Page 19 Andrew Ehrlich Ameriprise Financial Services, Inc. Charles Farrell 65RETIRE Curtis Farrell Financial Management Network Monte Fitch VantagePoint Advisory Group Robert Foley Raymond James Financial Services Bruce Formes Bruce Formes Retirement Planning Kenneth Franklin Ameriprise Financial Services, Inc. G. Brad Fries Applied Financial Management Bruce Galloway Ameriprise Financial Services, Inc. Elaine Gennawey Morgan Stanley Smith John Gerken Wealth Management Advisers Loreen Gilbert Wealthwise Financial Services Page 14 Joel Goldhirsh Goldhirsh & Goldhirsh Andrew Gordon Wealth Management Advisers Fivl Emily Hermeno Financial Advocates 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 Mark Jillson LPL Financial James Kieckhafer Kieckhafer Schiffer & Company Fivl David King LPL Financial Kate King The KFK Group James Kirby Kirby Wealth Management Carol Knowlton Knowlton Financial Group Daniel Koblin Pinnacle Consulting Group Five ofession Sonny Kothari Merrill Lynch Carl Lachman Eclectic Associates Lisa Lockerman Newport Advisory Page 22 Five Star award information FS 3 Five ofes

4 Ryan Maroney Financial Management Network Gordon Martin RBC Wealth Management Martha Maruca Maruca Financial & Insurance Services Sean McGrath Western International Securities David McManus Cooper McManus Richard Meeks Merrill Lynch Jeff Motske Trilogy Financial Services Alan Nakamura Merrill Lynch Julie Newcomb Newcomb & Athan Financial Brent Oberlander Wealth Management Strategies Tino Pagano Merrill Lynch Avi Pai LPL Financial Page 22 Eldon Pence Pence Wealth Management Page 11 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 Timothy Redmond Newcastle Financial Advisors Brian Reyes Provence Wealth Management Group Sydney Riccio Riccio Wealth Management Advisors Page 22 Dean Romo Raymond James Financial Services Margarita San Juan Merrill Lynch Shawn Sandoval Cooper McManus Chris Sathre JRL Capital Corporation Bradley Saunders Morgan Stanley Smith Alan Schryer Noble Wealth Management Floyd Schwartz Raymond James Financial Services Page 16 Sandip Sehmi OC Wealth Advisors James Shanton Jackson Financial Management Page 10 FS 4 Five Star award information: Award winners listed by primary services and listed alphabetically by last name. Mike Sheets Provence Wealth Management Group Jacob Shen Ameriprise Financial Services, Inc. Bradley Stephenson Stephenson and Company Steven Sturner Ameriprise Financial Services, Inc. David Thompson RBC Wealth Management Helen Timpe Morgan Stanley Smith Page 17 Michael Tuz Aegis Financial Partners Page 22 Michael Vandenburg Coast Wealth Management David Wagner Morgan Stanley Smith Thomas Walden National Planning Corporation Jason Weaver Ameriprise Financial Services, Inc. Louis Windawi Windawi & Associates Page 20 Bart Zandbergen Financial Management Network Joe Ziomek Laguna Financial Group James Zivich LPL Financial Insurance Mary Amen Pacific Advisors Jay Huckabone Thrivent Financial Michael Maruca Maruca Financial & Insurance Services Monzur Mollah New York Life Insurance Thomas Sim Tax & Financial Partners Investments Neil Amor First Foundation Advisors Mark Ansara Crowell Weedon & Company Page 17 Louis Arlow Ameriprise Financial Services, Inc. John Arnold Merrill Lynch Guy Baker Wealth Teams Solutions Anouchka Balog Morgan Stanley Smith Victoria Barbisan Ameriprise Financial Services, Inc. Jeff Barlow Trillium Advisory Group Terry Benson Wells Fargo Advisors, LLC Page 18 Steven Bernardy Merrill Lynch Susan Bordeaux Morgan Stanley Smith 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 Page 13 Gina Cereda Wells Fargo Advisors, LLC Page 18 John Chamberlin Deutsche Bank Horacio Choi Wells Fargo Advisors, LLC Peter Christenson Ameriprise Financial Services, Inc. Kelly Clyde South Coast Investment Advisors Barbara Cole Cole Insurance & Financial Services Page 21 Eric Connella Edward Jones Linda Coulson LPL Financial John Crittenden Crowell Weedon & Company Kevin Darger Financial Management Network Mark Delp Wells Fargo Advisors, LLC Jeannette Dobbyn Morgan Stanley Smith Page 13 Richard Doebler Merrill Lynch Nicholas Dolle Morgan Stanley Smith Kevin Donohue Morgan Stanley Smith 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 Will Fetter Edward Jones Fivl Fivl Five ofession Five ofes

5 Sandra Field Asset Planning John Fierro Wells Fargo Advisors, LLC Page 21 Michael Friedman Churchill Management Group Page 21 John Gaines LPL Financial Michael Gates Wells Fargo Advisors, LLC David Geske Redwood Investments Philip Gironda Edward Jones Kerry Givant Merrill Lynch Patrick Guinet Wells Fargo Advisors, LLC Christopher Haberl Haberl Wealth Management Page 21 Steve Henningson SageView Advisory Group Daniel Henry RBC Wealth Management Michael Hickey Wells Fargo Advisors, LLC Walt Hommerding Wells Fargo Advisors, LLC Page 15 Tina Hum TMH Financial 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 Harmon Kong Iwamoto Kong Wealth Management Group Page 15 Gary Kubesh Merrill Lynch Tracy Kuntz Towneley Capital Management John LaBriola Sagent Wealth Management Thomas Lauderdale Wells Fargo Advisors, LLC Edward LeBeau Charles Schwab & Company Ralph Linzmeier Morgan Stanley Smith William Livingston Merrill Lynch Julie Mains Gold Coast Financial Group Raymond Martin Wells Fargo Advisors, LLC Vincent Mazzotta Ameriprise Financial Services, Inc. Award winners listed by primary services and listed alphabetically by last name. George McDaniel Lighthouse Financial Services Michael McQuilkin Wells Fargo Advisors, LLC Robert Meaux Thrivent Financial John Milia Wells Fargo Advisors, LLC Taryn Moll Merrill Lynch Thomas Mooers Morgan Stanley Smith Luis Orama Compak Asset Management Steven Pollack Steven Pollack & Associates Patrick Powers Powers Capital Investments David Reagan City National Bank James Riley Merrill Lynch James Ritchie Morgan Stanley Smith Donovan Ritter LPL Financial Page 19 Michael Roane Morgan Stanley Smith Gary Robertson FMSI Advisors Daniel Romero Romero & Levin Wealth Management Robert Rumishek Morgan Stanley Smith Page 22 Alex Salcedo U.S. Bancorp Page 20 Matthew Sassani Ameriprise Financial Services, Inc. Robert Seaman Towneley Capital Management Suzanne Sellars Morgan Stanley Smith Page 20 Steve Shatynski Wells Fargo Advisors, LLC Robert Shaw Morgan Stanley Smith Shotaro Shiono Wells Fargo Advisors, LLC Jerry Slusiewicz Pacific Financial Planners Eric Spraker Wells Fargo Advisors, LLC Ken Stelts Edward Jones Douglas Stewart First Allied Securities Winnie Sun Sun Group Wealth Partners Mark Taylor Winthrop Taylor Financial Page 22 Dean Tellone Tellone Management Group Page 12 Arthur Thielen Pathways Financial Mark Thon Rebel Wealth Management Jeni Tryon Tryon & Company Craig Tuthill Wells Fargo Advisors, LLC Robert Vollmer First Allied Securities Bryan Welbaum Morgan Stanley Smith T. Douglas Welsh Crowell Weedon & Company Peter Wernemar Merrill Lynch Tim Werth Edward Jones Carolyn Wyatt Crowell Weedon & Company Taxation Rudy Baron Baron Accountancy Corporation Corinne Baughman Moss Adams Wealth Advisors Page 17 James Colclaser Colclaser & Associates Andrew Favor Ritt & Favor, CPAs Michael Fujimoto Tice Gardner & Fujimoto Glenn Hetzel Glenn B. Hetzel Nicholas Hodges NCH Tax & Wealth Advisors Louise Liewald Liewald Accounting and Consulting Steven Olmsted Olmsted & Associates Teri Rice Rice & Company Certified Public Accountants Neil Silverstein Silverstein & Associates, an Accountancy Corporation Fivl Fivl Financial planning is a holistic approach to financial well-being. Five ofession 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. Five Star award information FS 5 Five ofes

6 FS 6 Five Star award information: Fivl 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. Fivl 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. Five ofession Protect what you have earned and provide for your loved ones by using legal strategies to help secure everyone s peace of mind. Five ofes

7 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 Office: (714) Fivl Fivl Five ofession Five Star award information FS 7 Five ofes

8 Derek Draper FS 8 Five Star award information: The Difference Is That We Are Family and Clients Are Members. 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 Fivl 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, Areas of Focus: Intergenerational Wealth Transfers, 401(k) Roll-Overs 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. Fivl Calle De La Louisa, Suite 100 Laguna Hills, CA Office: (949) Direct: (949) Five ofession 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 B]. Investment and Insurance Products: Five ofes NOT FDIC-Insured NO Bank Guarantee May Lose Value

9 Jillyn founded the law firm in 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. Jillyn Hess-Verdon Trust and Estate Planning and Disputes Over Inheritance 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 Office: (949) Legal Advisory. 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 Fivl Fivl Five ofession Five Star award information FS 9 Five ofes

10 FS 10 Five Star award information: Tracy Jackson and the JFM Team The Family CFO Competence, Integrity, Maturity 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 Fivl 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 Jackson Financial Management 151 Kalmus Drive, Suite H7 Costa Mesa, CA Office: (714) Areas of Focus: Comprehensive Private Wealth Management and Financial Planning 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. Fivl Five ofession Five ofes 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.

11 Pence Wealth Management Group Laila Pence, CFP E. Dryden Pence III Five Star Award Winners Left to right: Rory Hart, Martin Lombrano, four-year winner Laila Pence, two-year winner E. Dryden Pence III, Douglas Frazier, Richard Sorensen Planning and Asset Management That Makes a Difference 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 Fivl Pence Wealth Management offers broad, deep expertise across all aspects of a client s financial life: financial and estate planning, investments, insurance and retirement. Our approach focuses on client needs and goals independent of what is occurring in the global markets through fee-based management and unbiased advice that you can trust. We make a difference in our clients lives by providing greater comfort regarding their income and confidence regarding their wealth. Pence Wealth Management advisors have been trusted by clients and their families nationwide for 32 years. Fivl 5000 Birch Street, Suite West 190 th Street, Suite 500 Torrance, CA (949) (800) PenceWealthManagement.com Five ofession CA Insurance License 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. Five Star award information FS 11 Five ofes

12 Dean Tellone FS 12 Five Star award information: Active Wealth Management to Help You Achieve Your Ideal Life 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 Fivl 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 Areas of Focus: Asset Management, Financial and Estate Planning, Tax and Accounting Services 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. Fivl 6200 East Canyon Rim Road, Suite 201 Anaheim Hills, CA Office: (714) Fax: (714) Five ofession Five ofes

13 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. Left to right: John B. Lyon, three-year winner Jeannette M. Dobbyn and Stacy R. Stryker The Lyon Dobbyn Group at Morgan Stanley Smith 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 Morgan Stanley Smith LLC. Member SIPC. Ken Camarella 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 2012 Morgan Stanley Smith LLC. Member SIPC. Ken Camarella: Senior Vice President, Financial Advisor George Strnad: Senior Vice President, Senior Institutional Consultant, Financial Advisor Ten Pointe Drive, Suite 400 Brea, CA Toll-free: (800) Ken: (714) George: (714) fa.smithbarney.com/thenorthpointegroup Jeannette M. Dobbyn Fivl 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 Fivl Title: First Vice President, Wealth Advisor, CFP professional 10 Pointe Drive, Suite 400 Brea, CA Phone: (714) Toll-free: (800) Five ofession Five Star award information FS 13 Five ofes

14 Left to right: Three-year winners James K. Leese, Cheryl L. Barrett, two-year winner John G. Bradshaw FS 14 Five Star award information: Ferruzzo & Ferruzzo Team Master Builders Implementing client values Maximizing asset transfers Preserving family harmony James K. Leese, Cheryl L. Barrett, Partners 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 Birch Street, Suite 400 Phone: (949) Phone: (714) Left to right: Two-year winner Loreen Gilbert and Team Members Cynthia Downey, Hannah Gruss, Joshua Kushner 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. Loreen M. Gilbert Fivl Wealth Management Redefined Retirement plan consulting Wealth management Financial planning Title: President, WealthWise Financial Servic es Designations: CIMA, AIF, CRC, CLTC 9070 Irvine Center Drive, Suite 230 Irvine, CA Office: (949) Loreen Gilbert is a Registered Representative with and securities and financial planning are offered through LPL Financial, a Registered Investment Advisor. Member FINRA/SIPC. Fivl Five ofession Two-Year Winner Five ofes

15 Walt J. Hommerding Navigating in the Uncertain World of Retirement Customized wealth management and preservation strategies Business owner and corporate executive services Dynamic asset allocation strategy with core/ satellite philosophy o Fivl Two-Year Winner Fivl 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 Wells Fargo Advisors, LLC uninterpreted information should be differentiated from knowledge to help 620 Newport Center Drive, Suite 1600 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 Toll-free: (800) Investments with Wells Fargo Advisors. His career in wealth management spans Direct: (949) years, and he is one of the select advisors entrusted to manage discretionary portfolios. 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 /12]. Left to right: Landon Yoshida, 2011 winner Megan Pierpont, two-year winner Rhonda Ducote, three-year winner Harmon Kong (seated) Iwamoto Kong Wealth Management Group Significance Beyond Success Global investment perspective Comprehensive wealth management Family focus, integrity, trust, results CFA, CFP, MBA, CRPC 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 Von Karman Avenue, Suite 1030 Irvine, CA Phone: (949) Five ofession A SEC-Registered Investment Advisory Firm. Five Star award information FS 15 Five ofes

16 Left to right: Three-year winner Allen Ah You, 2010 winner Jane An and two-year winner Javier Vallejo FS 16 Five Star award information: 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. 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. Monolithe Wealth Planning Group Trusted, Strategic, Quality Advice Proactive wealth management Strategic, total relationship advisors Client objectives define the path Wealth Advisors CRPC, CRTP Monolithe Wealth Planning Group Von Karman Avenue, Suite 500 Irvine, CA Office: (949) Cell: (949) Securities offered through Investors Capital Corporation Member FINRA/SIPC. Advisory Services offered through Investors Capital Advisory. Floyd L. Schwartz Fivl Utmost Integrity 25 Years 1% of advisors honored for three years Featured in national publications Immaculate regulatory record Fivl Titles: Registered Principal/ WM Specialist Designations: WMS, CFP 2901 West Coast Highway, Suite 200 Newport Beach, CA Five ofession Direct: (949) Toll-free: (877) Five ofes 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.

17 Left to right: Monica Timpe-Godfrey, four-year winner Helen Timpe, Kate Jeffrey and Jacqueline Bruce Helen H. Timpe Portfolio Manager Comprehensive wealth management Works with foundations and assists with trust services Financial and cash-flow planning Senior Vice President, Wealth Advisor CFP practitioner since 1985 The Timpe Group at Morgan Stanley Smith 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 800 Newport Center Drive, Suite 700 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 Direct: (949) Toll-free: (877) long-time member of the Tocqueville Society Morgan Stanley Smith LLC. Member SIPC. Morgan Stanley Smith LLC, its affiliates and Morgan Stanley Smith 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 660 Newport Center Dr., Ste. 550 Office: (949) , Ext Toll-free: (800) , Ext Trusted Advice. Exceptional Service. Tactical risk-management strategies Option-strategy specialist Concierge level of service and support Title: Partner Member FINRA and SIPC 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. 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. Corinne Baughman Fivl 2030 Main St., Ste Irvine, CA Office: (949) Direct: (949) Acumen Agility Answers More than 25 years of experience Dependable, personal service Support short- and long-term financial needs Title: Tax Partner Designation: CPA 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. Fivl Five ofession Five Star award information FS 17 Five ofes

18 Experienced and knowledgeable Customized investment strategies Personalized client support Terry Benson Linda Dunbar Titles: Investment Director/Financial Advisor Wells Fargo Advisors, LLC 5000 Birch St., 10 th Fl. Office: (949) Toll-free: (888) Trusted Advice. Exceptional Service. Personal attention with exceptional service Customized investment management Retirement and investment estate planning Vice President Investments, Senior Financial Advisor Private Investment Manager FS 18 Five Star award information: 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. 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 ]. Investment and Insurance Products: Not FDIC-Insured NO Bank Guarantee MAY Lose Value 9870 Research Dr. Irvine, CA Office: (949) 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. 0E Gina Cereda 620 Newport Center Dr., Ste Office: (949) Wealth and estate investment planning service Dedicated to providing excellent customer service Serving high-net-worth families, business owners and executives Focus: Investment Planning Service and Integrity Title: First Vice President Investments 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 ]. Jeff Duncan Fivl Von Karman Ave., Ste. 400 Irvine, CA Office: (949) Process, Clarity, Action Comprehensive planning process Helping to build, manage and protect your wealth Professional service team committed to you Fivl Two-Year Winner 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. CRN Five ofession Five ofes

19 Bruce Duquette 4100 Newport Pl., Ste. 100 Office: (949) 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 Fivl, 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 Fivl website and by Fivl 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 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 Fivl 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 Fivl or Orange Coast magazine. Thomas McKenzie 2631 Copa De Oro Dr. Los Alamitos, CA Phone: (800) One-Stop Legal and Financial Solutions Estate planning, trusts, wills Financial advice and services Elder law asset protection strategies Titles: Attorney and Financial Counselor Designations: JD, RFC 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. Brokerage, investment and financial advisory services are made available through NPB Financial Group, LLC, Member SIPC, MSRB and FINRA. Gary Hutto 1301 E Lincoln Ave., Ste. H Orange, CA Phone: (714) Toll-free: (888) 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., N Jog Rd., Palm Beach Gardens, FL 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. Donovan Ritter LPL Financial Fivl 4000 Birch St., Ste. 201D Office: (949) Helping Clients Navigate Volatility Comprehensive wealth management Active and alternative investment strategies Financial planning and insurance protection LPL Financial Planner Chartered Life Underwriter 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. LPL Financial, Member FINRA/SIPC. Fivl Five ofession Two-Year Winner Five ofes Five Star award information FS 19

20 Louis Windawi 1422 Edinger Ave., Ste. 220 Tustin, CA Phone: (714) 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 Alex Salcedo 4180 Barranca Pkwy. Irvine, CA Phone: (213) Title: Financial Advisor Comprehensive Wealth Management Solutions FS 20 Five Star award information: 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 Fivl, 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 Fivl website and by Fivl 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 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 Fivl 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 Fivl or Orange Coast magazine. 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. Suzanne Sellars 1901 Main St., Penthouse Irvine, CA Phone: (949) Committed to Advancing Your Interests Comprehensive wealth management 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, 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 Morgan Stanley Smith LLC. Member SIPC. 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? 3. Where do you see yourself in 5, 10, 15 years? Fivl Fivl Two-Year Winner 4. Where are all of your assets invested now? 5. What is important about money to you? Five ofession Five ofes From research conducted by Fivl, April 2011

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