2014 dallas/fort worth five star wealth · pdf filethe five star wealth manager award,...
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SPECIAL ADVERTISING SECTION 2014 F
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Finding a wealth manager who suits your needs can be a daunting task. In fact, many consumers have a hard time figuring out where to even begin.
Sometimes, a few simple questions can set one off on the right path. Asking a wealth manager what makes working with him or her a unique experience can help you understand how they work and if their style meshes with your own. Further, asking a financial advisor to talk about any specialties they might have can help uncover skills you might find useful.
Ultimately, how do you find an experienced wealth manager w h o y o u f e e l c o m f o r t a b l e working with? One who has
high retention rates? One who has undergone a thorough complaint and regulatory review? One who has tenure in the industry?
Texas Monthly and Five Star Professional partnered to find wealth managers who satisfy 10 objective eligibility and evaluation criteria. Among many distinguishing attributes, the average one-year client retention rate for this year’s award winners is more than 96 percent.
Five Star Wealth Managers
2014 Dallas/Fort Worth
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
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.
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. Dallas/Fort Worth award candidates were identified using internal and external research data.
AWARDA Select
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Wishful thinking is not planning. If you plan for the worst, you will never be unpleasantly surprised.”
What matters most is how you recover from setbacks.”
Only invest in something that you understand.”
Insights from Five Star Wealth Managers
Clients don’t care how much you know until they know how much you care.”
• 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 Five Star Professional or Texas Monthly.
• 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.
• Five 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.
• 5,080 award candidates in the Dallas/Fort Worth area were considered for the Five Star Wealth Manager award. 621 (approximately 13 percent of the award candidates) were named 2014 Five Star Wealth Managers.
DISCLOSURESResearch
Award candidates who satisfied 10 objective eligibility and evaluation criteria were named 2014 Five Star Wealth Managers.
Eligibility Criteria – Required
1. Credentialed as an investment advisory representative or a registered investment advisor. 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. Fulfilled their firm review based on internal firm standards. 5. Accepting new clients.
Evaluation Criteria - Considered
6. One-year client retention rate. 7. Five-year client retention rate. 8. Non-institutional discretionary and/or non-discretionary client assets administered. 9. Number of client households served. 10. Education and professional designations.
OF AWARD WINNERSDetermination
Regulatory ReviewAs 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.
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.
For more information on the program, go to FiveStarProfessional.com/awards/cpa_epa_wm_program.php.
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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FCM Investments TeamT. Montgomery Jones, Managing Partner
Separate Account Management forHigh-Net-Worth Investors
Left to right: Three-year winner Monty Jones, CFA, MBA; Michael Wu, CFA, MS; Brian O’Leary, CFA, MBA; David Lewis, CFA, MBA
• Independent boutique manager serving a limited number of private clients• Emphasizing growth stocks and dividend yield stocks on a global basis• Tax effi ciency in separate accounts; no outside funds utilized
FCM Investments takes a long-term approach to relationships and investing. Since our founding in 1987, we have focused exclusively on the prudent stewardship of our clients’ portfolios. Our clients are private investors — individuals, families, their
trusts and private foundations — more than three quarters of whom have relied on FCM to manage their securities for at least a decade. Our chief goals are the preservation and growth of capital through all investment environments.
FCM Investments2200 Ross Avenue, Suite 4600 West • Dallas, TX 75201
Office: 214-665-6900www.fcminvest.com
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Gail UtterWorld-Class Service Within a Tradition of Distinctive Excellence
Investment PlanningComprehensive ReviewsTax-Efficient Strategies
Left to right: Krystyl Garrison, Client Associate; Callie Wynn, CRPC®, Financial Consultant; two-year winner Gail Utter, MBA, CPWA®, CRPC®, Managing Director – Investments, Financial Advisor;
Jason Blankenship, AAMS®, Financial Consultant; Natalie Tuttle, Senior Registered Client Associate
• Named to Barron’s Top 1,000 for fi ve consecutive years*• Named to Barron’s Top 100 Women Financial Advisors for four consecutive years**• Pre-eminent services for multigenerational planning
Gail Utter and the Utter Wealth Management Group of Wells Fargo Advisors are fully invested in each client’s success, providing sound fi nancial strategies tailored to each client’s goals. Utter provides complimentary reviews of portfolio assets of $1 million or greater. She and her team deliver world-class
services within a tradition of distinctive excellence. Services include a tactical and strategic approach to help clients reach specifi ed objectives. The team is committed to customized customer service, ensuring rapid response to client needs.
2027 Texoma Parkway • Sherman, TX 75090Office: 903-893-6227 • Toll-free: 800-876-8221
[email protected] • www.utterwealth.wfadv.com
*Rankings for Barron’s Top 1,000 Advisors are generally based on data provided by over 4,000 of the nation’s most productive advisors. Factors considered include assets under management, revenues, regulatory record, quality of practice and philanthropic work. Portfolio performance not explicit component. Advisor selection is not reflective of individual client satisfaction or future
performance. **Barron’s Top 100 Women Financial Advisors (2012) Criteria was based on filtered nominations from investment, insurance, banking and other related firms which were narrowed down based on many factors including volume of assets overseen by the advisors and their teams, revenues generated for the firms and the quality of the advisors’ practices. Portfolio
performance is not a criterion because most advisors do not have audited track records. Wells Fargo Advisors, LLC, Member SIPC. [CAR 0414-00425].
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Michael P. MillerA Fresh, Personalized Approach to Fulfi lling Your Vision
Fee-Only Retirement Planning and WealthAdvisory Services
Two-year winner Michael P. Miller, CFP®, Founder of Miller Premier Investment Planning, LLC
• Help discovering your personal path in a peaceful, private setting• Independent, fee-only advice built on award-winning research• Continual guidance and partnership with you toward achieving your goals
Miller Premier Investment Planning, LLC was founded on the idea that great investment advice starts with clearly defi ning your vision and taking the time to educate you on the choices available. Our fee-only process, tools and advice are based on solid award-winning research.
1510 Wagon Wheel Court • Midlothian, TX 76065Office: 817-680-8198
[email protected] • www.finplng.com
Philosophy:A clear vision plus solid path equals success
Client approach:Education on pros and cons of each path choice
Compensation method:Fee-only
Favorite book:The Bible — it’s the gift that keeps on giving!
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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David E. Meadors
Meadors Wealth Management Group
at Morgan Stanley
Three-year winner David E. Meadors
Left to right: Hilary Meadors, Sonya Prince, three-year winner David E. Meadors, Denise Elliott
• Holistic wealth management
• Personalized client support
• Retirement, fi nancial and estate planning
David E. Meadors, Senior Vice President — Wealth Management, Portfolio Management Director;Hilary Meadors, Senior Marketing Associate;Sonya Prince, Senior Client Service Associate;Denise Elliott, Client Service Associate;Not pictured: Vicki Tavenner, Senior Client Service Associate
David has been a fi nancial advisor since 1994 and focuses on comprehensive wealth management strategies for individuals and institutions. He takes the time to help his clients build a life plan, so together, they can develop a supporting investment plan. It is his belief that portfolio structure is just as important as product selection in determining the appropriate asset allocation to meet the client’s fi nancial objectives. Client reviews are also an important part of David’s process.
Our area of focus is comprehensive wealth management strategies.
Meadors Wealth Management Group at Morgan Stanley7500 Dallas Parkway, Suite 500 • Plano, TX 75024
Office: 972-943-7256 • Toll-free: [email protected] • www.morganstanleyfa.com/david.e.meadors
©2014 Morgan Stanley Smith Barney LLC. Member SIPC.
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Paula A. CzapkoRelationships Based on Trust
Focus: Results With Education
2014 winner Paula A. Czapko, AAMS©, First Vice President – Investment Offi cer
• Dedicated to exceptional service• Works diligently to understand your goals• Customized investment strategies
With more than 30 years of experience in fi nancial services, I am dedicated to helping individuals meet their fi nancial goals. I develop a comprehensive investment plan based on long-term goals and risk tolerance. My extensive experience — throughout major shifts in the market — enables me to help my clients structure balanced portfolios to address specifi c
goals. I am a member of Denton Benefi t League and Kiwanis of Denton.
I show American quarter horses on a national level, and I go all over the country and meet so many friends all over the world because of horses.
701 South Carroll Boulevard • Denton, TX 76201 Office: 940-381-5538 • Toll-free: 800-727-1819
[email protected] • www.wfadvisors.com/paula.czapko
Wells Fargo Advisors, LLC, Member SIPC. [CAR 0414-05474].
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Quest Capital Management, Inc.People and Processes That Fit With You and Your Life Goals
Areas of Focus: Wealth Management and Financial Planning
Left to right: Two-year winner Chandler Ferguson, CFP®; three-year winners Kalita Beck Blessing, CFP®, CAP®; Rob Cox, CFP®; Chris S. Young, CFP®; Mary Durie, CFP®, CAP® and Carl J. Kunhardt, CFP®, CIMA®, AEP®
• A unique and best practices approach to fi nancial planning and wealth management• More than $1 billion in assets under management for 300 families around the world• Twenty-six years of helping clients achieve their fi nancial goals and build their legacies
Quest Capital Management works with individuals and families who are seeking a highly personalized approach to their fi nancial planning. We design a tailored Plan for Life® that addresses every aspect of your fi nancial life — understanding your distinctive past so we can focus on your present concerns and future realities.
When it comes to your money, there is no fi nish line. Our approach is to craft a well-planned road map that meets the changing needs of you and your family.
We invite you to join our Quest client family. Let us help you achieve your dreams.
8117 Preston Road, Suite 700 • Dallas, TX 75225Office: 214-691-6090 • Toll-free: 800-668-1283
[email protected] • www.QuestAdvisor.com
Quest Capital Management, Inc. is an Independent Registered Investment Advisor. Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC.
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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The Team at Summit Financial Group
A Route to a Dignifi ed Retirement
Left to right: Front row: Gentry Moore; Kim Kjerstad; Jennifer Dillee, CFDP®; 2014 winner Blair H. Rogers, CFP®, Principal; Elena MerrellBack row: Donna Lance; Nicole Heath; Michael D. Arp, CPA; Debbie Mitchell; George Warner, CFP®, CEP®, RFC®, AEP®
Toll-free: 866-348-3433 • www.sfgonline.com
Securities and Investment Advisory Services offered through NFP Securities, Inc. (NFPSI), member FINRA/SIPC. NFPSI and Summit Financial Groupare subsidiaries of National Financial Partners Corp. (NFP) NFPSI does not provide legal or tax advice.
NFPSI is not affiliated Five Star Wealth Manager.
Dallas8131 LBJ Freeway, Suite 770 A
Dallas, TX 75251
Rockwall104 West Kaufman, Suite A
Rockwall, TX 75087
Amarillo2201 Civic Circle, Suite 401
Amarillo, TX 79109
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Navigation Financial GroupDedicated to the Creation and Preservation of Financial Wealth
Areas of Focus: Financial Planning and Retirement Income Planning Professionals
Left to right: 2014 winners John Wolverton, CLU®, CFS®, RFC®, Director and Clyde Wyatt, CLU®, CFS®, Managing Director; two-year winner Steve Hagemann, CLU®, Director, President; 2014 winner Chris Wyatt;
two-year winner Roger Gekiere, CFP®, CFS®, Director
• The combined experience and skills of more than 20 fi nancial professionals• A passion for the success and happiness of our clients• Independent, unbiased fi nancial advice based on your personal needs
For over 30 years, Navigation Financial Group a been an independent fi rm representing clients, not particular company’s products. We take a comprehensive approach to fi nancial planning, coordinating retirement, investment, tax, estate and insurance strategies. To better serve you, we have
developed strategic alliances with other professionals, off ering a broad menu of fi nancial services. Our mission is to free our clients from fi nancial concern, to counsel according to our clients’ individual goals, to listen and to strive to exceed our clients’ expectations.
15770 North Dallas Parkway, Suite 650 • Dallas, TX 75248Phone: 214-217-5800 • Toll-free: 800-222-5649
www.NavigationFinancial.com
Other offices in Amarillo, Angleton, Canyon, Corpus Christi and Mount Vernon, TX and Metairie, LA. Securities offered through Securities America, Inc. Member FINRA/SIPC. Advisory Services offered through Securities America Advisors, Inc. Navigation Financial Group and Securities America are not affiliated.
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Evos FinancialWe Help Maximize and Protect Your Money Over the Course of Your Life
Areas of Focus: Financial Planning, Wealth Management and Estate Planning
Left to right: Seated: 2014 winner Marilyn Harris, CLU®; two-year winner Curtis Harris, CFP®; three-year winner M. DeLene Gilbert, CFP®
Standing: Kathryn Boutte, CFP®; Derek Thomson; Randy Martin and Matt Sanders
• Over 100 years of experience in the fi nancial services industry• Independently owned, fee-based organization• Committed to providing unbiased solutions for our clients and their families
Evos Financial is based on the principle that education and understanding of one’s current fi nancial situation is vital to successfully make prudent decisions concerning one’s future fi nancial condition. By helping people get organized, we have provided the most personal service available, thus earning a reputation for excellence in our industry. For each of our clients we strive to help create fi nancial stability and security to provide fi nancial independence.
Our team consists of experienced professionals with a hands-on approach to fi nancial guidance. Not only do clients fi nd our team members knowledgeable, but they also discover that the Evos Financial team truly cares about making their dreams a reality. We do everything in our power to keep you focused on where you want to go, advise you on how to get there and continually remind you of the importance of maintaining a disciplined approach to realizing your dreams.
5485 Belt Line Road, Suite 280 • Dallas, TX 75254-7687Office: 214-353-9999
[email protected] • www.evosllc.com
Registered Representative, Securities offered through Cambridge Investment Research, Inc., a Broker/Dealer, member FINRA/SIPC. Investment Advisor Representative, Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Cambridge and EVOS Financial are not affiliated.
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Rogers Wealth GroupCollaborative Total Wealth Management for Affl uent Clients
Solutions for Wealth Enhancement, Protection and Transfer forAffluent Clients
Left to right: Standing: Rick Wilkinson, Matt Lankford, Amanda Atcheson, Deanna Williams, Chris Manross, Austin Lewis Seated: Alice Frazier, three-year winner Craig C. Rogers, Dale Rogers
• Expertise: access to the brightest minds in academia and fi nance• Partnership: mutually benefi cial relationships where values are aligned• Discipline: processes to uncover and achieve the goals of our clients
Through our collaborative wealth management process, we ensure smart decisions are made regardless of market conditions. We design our experience based on what you want and do our best to uncover and achieve what is most important to you. Let’s “win the losers’ game” together.
1330 Summit Avenue • Fort Worth, TX 76102Office: 817-334-0351 • Toll-free: 866-4ROGERS
[email protected] • www.rogerswealthgroup.com
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Staib Wealth Management
Financial GuidanceSimple • Secure • Smart
• Tired of Wall Street fees and commissions?
• Do you feel confi dent about your fi nancial future?
• We are focused on your goals and your future!
Left to right: Three-year winners Tandy Ervin and Christi Staib, CRPC®, MBA, LPL Registered Principal and Mark Yanez
Our goal is to work toward building and protecting every client’s fi nancial position, to help simplify their lives and to be accountable for our work. We strive to have our clients experience more confi dence in their fi nancial future. We use the latest, most sophisticated tools available to guide our clients in acquiring, preserving and transferring wealth according to their wishes. We off er access to portfolios that include innovative risk management strategies. You can seek the performance you need by potentially reducing the risk that exceeds your comfort level. Remember, no strategy ensures a profi t or protects against loss.
17304 Preston Road, Suite 800Dallas, TX 75252
Offi ce: 972-608-2624
[email protected]@[email protected]
www.StaibWealthManagment.com
Securities and advisory services offered through LPL Financial, a Registered Investment Advisor. Member FINRA/SIPC.
Frances Gardner
ARMOR Wealth ManagementFinancial Solutions Group
• Comprehensive retirement planning
• Financial planning to widows and divorcees
• Strategic business owner planning
Left to right: Robert Gardner, CFEd, CEPA; three-year winner Frances Gardner, CFP®, CDFA™, CFEd; Andrew Gardner, CFEd; Patrick Wallace, CFEd
Frannie Gardner, CFP®, works with ARMOR Wealth Management, a fi nancial services organization. She specializes in comprehensive retirement planning, strategic business owner planning and fi nancial planning to widows and divorcees. Frannie’s commitment to her clients’ fi nancial independence assures them that they are prepared for all of life’s possibilities. She has won several industry awards and is a continuing education instructor at local colleges.
16479 Dallas Parkway, Suite 850Addison, TX 75001
Offi ce: 469-737-4000Direct: 469-737-4108
[email protected] nancialsolutionsgroup.com
Registered Representative of, and Securities and Investment Advisory Services offered through, Hornor, Townsend and Kent, Inc. (HTK) Registered Investment Advisor, Member FINRA/SIPC.16479 Dallas Pkwy, Suite 850, Addison, TX 75001. ARMOR Wealth Management is independent of HTK. HTK does not offer tax or legal advise. A3CM-0529-05E2.
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Fiduciary Financial Services
Personalized Investment Management
• Customized investment management since 1992
• Independent, objective advice
• Free no-obligation review of current portfolio
Left to right: Two-year winner Paul Welch, Esq.; Mike Gavett; Don McCoy; three-year winner Richard Wright, CFA, CPA
Fiduciary Financial Services takes the anxiety out of investment management. Its portfolio management team has more than 30 years of experience helping individuals achieve their fi nancial goals through personalized strategies that are client focused. Fiduciary Financial Services is an independent adviser and maintains a level of integrity that places its clients’ interests above all others. Through ongoing communication with its clients, Fiduciary Financial Services provides an appropriate blend of investment and retirement services that match each client’s individual needs.
Fiduciary Financial Services of the Southwest
12222 Merit Drive, Suite 920Dallas, TX 75251
Offi ce: 972-934-9070
info@ff ss.netwww.ff ss.net
See announcement page for selection criteria.
Jamie Richardson
Trusted Advice • Exceptional Service
• Comprehensive wealth management
• Independent, unbiased and objective advice
• Risk-management and tax-savings strategies
2012, 2013 and 2014 winner Jamie Richardson, CRPC®
As a client of Jamie’s, you can be sure his concern is your fi nancial well-being. As a Raymond James fi nancial advisor at ViewPoint Investment Group, he has the freedom to make recommendations based solely on your specifi c needs and provides you access to the full resources and expertise of a highly respected fi nancial services fi rm.
Raymond James Financial Services, Inc.
1309 West 15th Street, Suite 400 • Plano, TX 75075Offi ce: 972-398-3472
[email protected]/invest
Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC, an independent broker/dealer, and are not insured by bank insurance, the FDIC or any other government agency, are not deposits or obligations of the bank, are not guaranteed by the bank and are subject to risks, including the possible loss of principal. ViewPoint Investment Group and ViewPoint
Bank are independent of Raymond James Financial Services, Inc. This award is bestowed by an independent third party organization not affiliated with Raymond James.
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Snow Garrett Wealth Management
• Investment management with a downside risk-protection focus
• Comprehensive fi nancial planning — specializing in estate planning and tax planning
• Business consulting and executive benefi ts planning
Left to right: Standing: Brandon Garrett, Angela Smith, Gary SnowSeated: Three-year winner Wayne Garrett
At Snow Garrett Wealth Management, we understand that investors face many important decisions that can aff ect their long-term fi nancial success. Whether it is navigating today’s volatile markets or creating a plan to reduce the risk of outliving retirement funds, we are positioned to approach such challenges with experience and skill.
1207 Santa Fe DriveWeatherford, TX 76086
Phone: 817-596-9301
Securities & Financial Planning offered through LPL Financial, a Registered Investment Advisor. Member: FINRA/SIPC.
InTouch Credit Union Wealth Management*
Your Goals. Our Commitment.
• Delivering the fl exibility of a boutique fi rm
• Dedicated to developing lasting relationships
• Committed to creating client value
Left to right: Two-year winner Gloria Lietz, CRPC®; three-year winner James Simpson, Vice President; Sean Smith; Lynn Fiorletta
We are committed to educating clients about the concepts of fi nancial management along with the potential rewards available when they take a proactive approach to their fi nances. We off er a robust and comprehensive approach to investment management, retirement and income strategies, estate conservation and insurance products. In addition, we develop customized fi nancial programs tailored to help our clients feel confi dent in their goals and decisions.
5640 Democracy Drive Plano, TX 75024
Offi ce: 800-337-3328, option 8 Fax: 214-291-1310
lynn.fi [email protected] www.itcuinvestmentservices.org
*Non-deposit investment products and services are o� ered through CUSO Financial Services, L.P. (“CFS”), a registered broker-dealer (Member FINRA/SIPC) and SEC Registered Investment Advisor. Products o� ered through CFS: are not NCUA/NCUSIF or otherwise federally insured, are not guarantees or obligations of the credit union, and may involve investment risk including possible loss of principal. Investment
Representatives are registered through CFS. InTouch Credit Union has contracted with CFS to make non-deposit investment products and services available to credit union members. (Member FINRA, SIPC).
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Miller Walker Group
Tailored, Proactive, Tactical Planning
• Wealth accumulation and protection
• Retirement income strategies
• Comprehensive fee-based asset management
Left to right: Kelly Montgomery, Client Services Coordinator; Scott A. Miller, Financial Advisor; two-year winners Jeremy J. Walker, Financial Advisor, CRPC®, AWMA® and Matt Hubbell, Financial Advisor
Our vision: to be the fi rm of choice for clients committed to creating long-term wealth.
Our mission: to create a client experience of unsurpassed excellence in fi nancial advice.
Our values: integrity, compassion, excellence, leadership, trust and service.
835 Southwest Alsbury, Suite HBurleson, TX 76028
Offi ce: 817-447-6464Fax: 817-447-7104
Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Brokerage, investment and financial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA and SIPC.
Probity Advisors, Inc.
A Member of Wealth Services Alliance
• Independent, fee-only fi nancial planning and wealth management
• Highly credentialed and experienced advisors
• Individually managed, custom portfolios for every investor
Left to right: Two-year winner Christopher Sorrow, CFA®, MBA, Vice President; 2014 winner Whitney Magers, Financial Advisor
For more than 60 years, our team of Chartered Financial Analysts®, Accredited Estate Planners® and Chartered Financial Consultants® has been helping individuals, families and businesses manage their fi nancial assets in order to achieve independence and security. Our fi rm’s guiding principle is to uphold the highest ethical standards and to approach every interaction with our clients, partners and affi liates with honesty and integrity.
10,000 North Central Expressway, Suite 1350Dallas, TX 75231
Offi ce: 214-891-8131Toll-free: 800-818-2663
facebook.com/ProbityAdvisors
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Irv Munn
Helping Clients Manage Their Financial Future
• Proactive investment strategy
• Focus on preserving assets and mitigating risk
• Help clients achieve a comfortable retirement
Left to right: Edward Morris, RJFS Registered Principal; 2013 and 2014 winner Irv Munn, CPA, CFP®, President; Roy Gray, CFP®, Partner
While we are highly experienced in off ering guidance for all the fi nancial issues and stages of your life, we have particular expertise in helping you plan for the biggest milestone of all — your retirement. The strategy for building a comfortable retirement dramatically diff ers from one used during the accumulation stage of your working life. It is a strategy that requires a signifi cant shift in focus toward preserving your assets and mitigating risks.
14180 Dallas Parkway, Suite 530Dallas, TX 75254
Phone: 972-692-0909
Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Munn & Morris Financial Advisors, Inc. is independent of Raymond James Financial Services. This award is bestowed by an independent third party organization not affiliated with Raymond James.
Cotton Wealth Management Associates
Relationships Built on Trust
• Independent, objective advice
• Tailored investment strategies
• Highly personalized service
Left to right: Deb McCarter, 2012, 2013 and 2014 winner Steve Cotton, Daniel Youngblood
The Cotton Wealth Management Team brings more than 30 years of proven experience helping clients pursue their fi nancial goals. We provide personal, family and career fi nancial planning services, wealth transfer and investment strategies for individuals and organizations. We focus on our clients’ needs fi rst and let that drive us to the right planning and investment solutions. We believe managing risk and achieving growth are equally important objectives.
15301 Spectrum Drive, Suite 390Addison, TX 75001
Offi ce: 214-420-4440
Securities offered through LPL Financial, Member, FINRA/SIPC. Investment advice offered through Group1 Wealth Management, a registered investment advisor. Group1 Wealth Management and Cotton Wealth Management Associates, LLC are separate entities from LPL Financial. Award based on 10 objective criteria associated with providing quality services to clients such as credentials, experience, and assets under management among other factors. Wealth managers do not pay a fee to be considered or placed on the final list of 2012,
2013, 2014 Five Star Wealth Managers.
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Stephen A. Engro
17300 Preston Rd., Ste. 120Dallas, TX 75252Toll-free: 800-201-4373Offi ce: [email protected]
• Specialist in retirement planning• Simplify the complexities of investing• 4-dimensional investing approach
Making Sophisticated Investing Simple!
Our approach: At Beacon Financial Group, we follow a disciplined approach that identifi es long-term trends to establish an effi cient (less volatile) and eff ective (preservation and growth-oriented) investment strategy. Simply put, we pursue preservation and growth for our clients but not at the expense of unnecessary volatility. We call this approach four-dimensional investing.
Securities offered through NFP Securities, Inc. (NFPSI), member FINRA/SIPC. Investment Advisory Services offered through NFPSI or Beacon Financial Group.Beacon Financial Group
and NFPSI are affiliated. Neither firm is affiliated with Five Star Professional.
MBA, Duke UniversityB.A., University of Notre Dame
Gary N. Holland
7001 Blvd. 26, Ste. 505North Richland Hills, TX 76180Offi ce: 817-698-9800Cell: [email protected]
• The client always comes fi rst• Independent, unbiased advice• Traditional and alternative asset strategies
Investment Strategies for Today’s World
For over 20 years, my relationships with clients have been built on honesty, integrity and doing what is right for the client. This has resulted in a high rate of client retention and referrals. Please visit our website at www.hollandim.com to see how our investment strategies are designed for today’s complex, crisis-prone markets.
Holland Investment Management is a Registered Investment Adviser. Advisory services are only offered to clients or prospective clients where Holland Investment Management and its representatives are properly licensed or exempt from licensure. Past performance is no
guarantee of future returns. Investing involves risk. Securities offered through LPL Financial, Member FINRA/SIPC.
Graduate of the Wharton School of Finance at the University of Penn.
Allen Gibson
Helping You Simplify Your Financial Life
• Offi ces in Dallas, Tyler and Lufkin
• Our team has 126 years of experience
Three-year winner Allen Gibson, Private Wealth Advisor, CFP®, ChFC®, CRPC®, CLTC, CDFA®, CEP®
Our team off ers personalized fi nancial and wealth management services for successful people who want to simplify their lives as they work toward their fi nancial goals. We can work with your other trusted advisors, such as CPAs and estate planning attorneys, to make sure that everyone is on the same page and working together for you.
Gibson Greer Wealth Management, a private wealth advisory practice of Ameriprise Financial Services, Inc.
1308 Village Creek Drive, Suite 2000Plano, TX 75093
Phone: 972-437-4720
Ameriprise Financial and its representatives do not provide tax or legal advice. Consult your tax advisor or attorney regarding specific tax or legal issues. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Brokerage, investment and financial advisory services are made available
through Ameriprise Financial Services, Inc., Member FINRA and SIPC.
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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Dan Sullivan
RBC Wealth Management100 Crescent Ct., Ste. 1500Dallas, TX 75201Direct: 214-775-6424Toll-free: [email protected]/dan.sullivan
• Customized investment strategies• Independent, objective advice• Global strength of RBC
There’s Wealth in Our Approach™
My priority is responsibly managing the fi nancial assets you entrust to RBC Wealth Management. Regular contact with my clients is essential to ensure a disciplined and continuous cycle of investment success. By working together with the client’s other advisors, we can provide customized and timely strategies that will allow clients to look past the short-term distractions and focus on their wealth management objectives.
©2014 RBC Wealth Management, a division of RBC Capital Markets, LLC, Member NYSE/FINRA/SIPC .
Senior Vice President – Finanical Advisor, CIMA®, CFP®
Jal Dennis
205 S Ballard Ave.Wylie, TX 75098Offi ce: 972-429-0603Cell: [email protected]
• Complete wealth management strategies • Income investing with tax planning focus • Wealth accumulation strategies
We Aim to Exceed Your Expectations
There was a time when real people stood behind the name on a door and a person’s word or handshake meant something. At the Jal Dennis Group, it still does — and we are not about to change that. “We value client relationships more than fi nancial products. Focusing on what is truly in your best interests, we create strategies that help move you toward your fi nancial goals.” — Jal Dennis, LPL Registered Principal
LPL Registerted Principal
William “Bill” Dendy
5420 LBJ Fwy., Ste. 275Dallas, TX 75240Offi ce: [email protected]
• Comprehensive investment planning off ered • Sound advice with outstanding service • Emphasis on client partnership approach
Expertise, Experience and Independence
For more than 20 years, Bill has helped people build investment portfolios and today heads a team of advisors with offi ces in Dallas, Plano, Houston, Midland and Las Colinas, Texas.Elite Financial Management is currently accepting new clients and off ers complimentary fi rst appointments.
Securities and advisory services offered through LPL Financial, a Registered Investment Advisor — Member FINRA/SIPC.
JD, MBA, CPA, CFP®, PFS, CLU®, CDFP
Kevin G. Brown
3333 Premier Dr., Ste. 100Plano, TX 75023Offi ce: 972-543-4866Cell: [email protected]/kevin.g.brown
• Retirement planning strategies • Investments and estate planning strategies• Women’s fi nancial strategies
A Unique and Disciplined Approach
Today, it’s natural to have questions about your retirement, even if you’ve saved and planned for it. With our Confi dent RetirementTM
approach, we will fi nd answers and take the fi rst step toward creating a road map to the future you want. We will talk through the four basic principles of retirement: 1) covering essential expenses; 2) assuring your lifestyle; 3) preparing for the unexpected and 4) leaving a legacy. Retire on your own terms.Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial success. Brokerage, investment and � nancial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA and SIPC.
Financial AdvisorFranchise Owner
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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201 Main St., Ste. 1700Ft. Worth, TX 76102Phone: 817-877-9848Toll-free: 800-762-6231
Michael J. Steinberg
During volatile and confusing markets, I understand that even the most patient investors may come to question the wisdom of the investment plan they’ve been following. I’d like to help, and I can start by offering a cup of coffee and a second opinion.
Wells Fargo Advisors, LLC, Member SIPC. [CAR 0414-03338].
First Vice President – Investments, PIM® Portfolio Manager
2000 E Lamar Blvd., Ste. 300Arlington, TX 76006Direct: 817-462-1826Toll-free: [email protected]
Merry Lyn Bagwell
Whether I am working with women toward achieving their personal and financial goals or developing a business strategy for company retirement plans, I encourage results that fit with my clients’ goals.
Wells Fargo Advisors, LLC, Member SIPC. [CAR 0414-01864].
First Vice President – Investment Officer
3333 Premier Dr., Ste 100Plano, TX 75023Direct: [email protected]/mark.s.stegman
Mark S. Stegman
Today, it’s natural to have questions about your retirement, even if you have saved and planned for it. I help my clients achieve their retirement goals by finding answers and creating a clear road map.
Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial
success. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
Financial Advisor, CFP®
7557 Rambler Rd., Ste. 1465Dallas, TX 75231Direct: [email protected]/carol.j.harper
Carol J. Harper
My goal is to help clients make dreams happen and to feel more confident in their financial future and retirement. Using my 27 years of experience with knowledgeable advice and planning, I tailor a strategy to meet each client’s unique needs and simplify their financial lives.
Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial
success. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
Financial Advisor, Vice President, CRPC®
260 N Denton Tap Rd., Ste. 270Coppell, TX 75019Office: [email protected]
Raymond “Ray” Clark
I help clients identify and reach their dreams, while protecting their loved ones from the rainy days that occur in everyone’s lives. I focus on how planning and investing can help you bring your dreams and goals more within reach. Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial
success. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
Financial Advisor, CERTIFIED FINANCIAL PLANNER™ practitioner
Diesslin & Associates, Inc.303 Main St., Ste. 200Ft. Worth, TX 76102Phone: [email protected]
N. Rocky Farr
Rocky has 30-plus years of experience with high-net-worth clients and small practices, with extensive knowledge in income tax and estate structuring.
CFP®, EA, ATA
201 W Pearl St. Granbury, TX 76048Office: [email protected]
Bradley S. Burnfield
A relat ionship for real l i fe, providing personalized advice, professional service and the investment guidance that affluent retirees desire.
Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial
success. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
CFP®, ChFC®, Financial Advisor
8383 Preston Center Plz. Dr., Ste. 400Dallas, TX [email protected]/reneesterling
Renee Sterling
Renee works with high-net-worth individuals in providing holistic, disciplined financial life planning that integrates personal, business, foundation investments and estate planning. She believes in making a difference. Results do not just happen; they take planning.
©2014 Morgan Stanley Smith Barney LLC. Member SIPC.
Second Vice President, Wealth Advisor
Diesslin & Associates, Inc.303 Main St., Ste. 200Ft. Worth, TX 76102Phone: [email protected]
David Diesslin
David, founder of Diesslin & Associates, Inc., is a nationally recognized, fee-only advisor.Intention, context, organization, focus and execution create the prospect for a successful life in an uncertain world.
CFP®, MBA
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SPECIAL ADVERTISING SECTION
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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13455 Noel Rd., 18th Fl.Dallas, TX 75240Direct: 972-450-6605Toll-free: 800-999-1942david.r.noonan@morganstanley.comwww.morganstanleyfa.com/davidnoonan
David R. Noonan
Your financial success is my first priority. Morgan Stanley has meaningful intelligence about every major asset class and a presence in every major market, as well as investment research from some of the world’s most respected analysts.
©2014 Morgan Stanley Smith Barney LLC, Member SIPC.
Senior Vice President – Wealth Management, Financial Advisor
Allegiant Wealth Management10000 N Central Expy., Ste. 1200Dallas, TX 75231Direct: 972-348-6337Office: 972-348-6300lrapfogel@financialguide.comdallas-fortworth.massmutual.com
Lisa Rapfogel Ostroff
At Allegiant Wealth Management, our passion is to understand our clients’ dreams for a secure financial future and guide them in making those dreams their reality. We appreciate our clients’ continued confidence and their trust in us for more than nearly 22 years.
Securities, investment advisory, and � nancial planning services through MML Investors Services, LLC. Supervisory O� ce: 1000 N. Central Expressway, Ste.
1200, Dallas, TX 75231 972-348-6300 Allegiant Wealth Managements is not a subsidiary or a� liate of MML Investor Services LLC, or its a� liated companies.
CERTIFIED FINANCIAL PLANNER™
4880 Long Prairie Rd., Ste 220Flower Mound, TX 75028Office: [email protected]
Paul Pomeroy
We provide comprehensive f inancia l planning and investment services, featuring nonproprietary programs and fee-based portfolios. We also specialize in company retirement plans, focusing on financial wellness.
LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC.
CFP®, MBA, AIF®
17300 Preston Rd., Ste. 260 Dallas, TX 75252 Direct: 214-379-0349 Office: 972-661-0101 [email protected]
Joe B. Foster
I offer investment consulting and investment management. Advanced planning includes: tax mitigation, cash flow planning, wealth transfer, wealth protection and charitable planning. Live the Golden Rule — Exceed customer expectations — Achieve financial results .
Securities and investment advisory services are o� ered solely through Ameritas Investment Corp. (AIC). Member FINRA/SIPC. AIC and Foster Financial Group (FFG)
are not a� liated. Additional products and services may be available through Joe B. Foster or FFG that are not o� ered through AIC.
Financial Advisor, CERTIFIED FINANCIAL PLANNER™
1401 Precinct Line Rd.Hurst, TX 76053Office: [email protected]/howard.k.bellet
Howard K. Bellet
Putting the needs of clients first is the approach I believe in. I’ll work with you to find the right financial solutions to help you plan for your unique goals. And together, we’ll track your progress over time, adjusting your plan along the way to help get you where you want to go. Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial
success. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
CFP®, CRPC®, MBA, Financial Advisor
700 Highlander Blvd., Ste. 335Arlington, TX 760152435 N Central Expwy., Ste. 1200Richardson, TX 75080Phone: 817-419-6001www.DerrickKinney.com
Derrick Kinney
Derrick Kinney & Associates has been helping clients plan for their retirement goals for 20 years. We serve successful clients throughout the Dallas/Fort Worth metroplex.
Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial
success. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
Private Wealth Advisor, ChFC®, CASL®, CLTC
14800 Landmark Blvd., Ste. 848Dallas, TX 75254Phone: [email protected]
Mitch Kramer
Fluent Financial® helps clients find a balance between enjoying life today while also adopting a sound financial plan to pursue long-term goals.
Securities o� ered through LPL Financial, Member FINRA/SIPC. Investment Advice o� ered through Fluent Financial, LLC, a registered
investment advisor and separate entity from LPL Financial.
Founder, CFP®, MBA
201 Main St., Ste. 1700Ft. Worth, TX 76102Office: 817-877-9819kurt.brown@wfadvisors.comwww.home.wellsfargoadvisors.com/kurt.brown
J. Kurt Brown
Kurt helps clients achieve their goals by first listening and then taking the time to understand their financial objectives. He offers investment advice including tactical trading plans and income strategies to help clients meet their goals while seeking to minimize risk. Visit www.home.wellsfargoadvisors.com/kurt.brown for more information.
Wells Fargo Advisors, LLC, Member SIPC. [CAR 0514-02026].
First Vice President, CERTIFIED FINANCIAL PLANNER™
If you’re in this business for money alone, you will never make it. You have to genuinely want to
make a difference in
your clients’ lives.
— Five Star award winner
© Five
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The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. 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. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. 5,080 Dallas/Fort Worth wealth managers were considered for the award; 621 (13 percent of candidates) were named Five Star Wealth Managers.
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10440 N Central Exwy., Ste. 1040Dallas, TX 75231 Phone: 214-706-0839 [email protected]
Lora J. Hoff
Providing fee-based financial planning, wealth and r isk management, tax and investment strategies, employee benefits, business and succession planning, estate and trust planning, asset protection, legacy preservation and charitable planning.
Securities and Advice o� ered through Investment Planners, Inc. (Member NASD/SIPC) and IPI Asset Management, Inc., 226 West
Eldorado Street, Decatur, IL 62522. Phone: 217-425-6340.
Wealth Manager, CFP®
7500 Dallas Pkwy., Fifth Fl.Plano, TX 75024Office: 972-943-7272Toll-free: [email protected]/robhrnicek
Robert L. Hrnicek
I focus on keeping things clear and simple, so you’ll understand exactly what we’re doing to plan for your financial future. I pride myself on making a difference in the lives of my clients by helping them fulfill their most important financial goals.
© 2014 Morgan Stanley Smith Barney LLC. Member SIPC. Certi� ed Financial Planner Board of Standards Inc. owns the certi� cation marks CFP,
CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with � ame design) in the U.S. ,which it awards to individuals who successfully complete CFP
Board’s initial and ongoing certi� cation requirements.
CFP®, Vice President, Financial Advisor
2435 N Central Expy., Ste. 1200Richardson,TX 75080Office: 972-422-5369Cell: [email protected]
Silveria S. Hufstedler
Everyone has a different expectation relative to retirement planning. Whatever your plan, we commit to help you develop a strategy specific to your needs. This process begins with you because, after all, it is all about you.
LPL Financial, Member FINRA/SIPC.
Financial Advisor
16479 Dallas Pkwy., Ste. 850Addison, TX 75001 Office: 469-737-4119Toll-free: [email protected] www.ArmorWealth.com
Mel Meyers
Mel has a BS/MS degree in aeronautical engineering from the University of Oklahoma and was a member of the Apollo Space Program. He has been in the financial services industry for 40 years and uses a unique and disciplined approach to investing and retirement distributions.Registered Representative of, and Securities and Investment Advisory Services o� ered through, Hornor, Townsend & Kent, Inc, a Registered Investment Advisor, Member FINRA/SIPC. ARMOR
Wealth Management is independent of Hornor, Townsend & Kent, Inc.
Financial Advisor, Chartered Financial Consultant®
A4TM-0514-02E2 16479 Dallas Pkwy., Ste. 850, Addison, TX 75001.
200 Crescent Ct., Ste. 900Dallas, TX 75201Office: [email protected]
Michael E. Crossley
The values that count and should be adhered to are honesty, fairness and consistency. Living up to both the letter and the spirit of honorable conduct is the basis of mutual trust and should be the foundation for all client relationships.
©2014 Morgan Stanley Smith Barney LLC. Member SIPC.
Senior Vice President, Senior Portfolio Manager, Financial Advisor
P.O. Box 251606 Plano, TX 75025Office: 972-359-1827Cell: 972-814-7874dcaruso@lincolninvestment.comkwgutshallandassociates.com
Damian Caruso
Damian can help you create a financial plan, a personalized road map that can help you solve your financial problems and achieve your short- and long-term financial goals. He will work one-on-one with you to understand your current financial situation and then design a financial plan that is customized to your needs.
Advisory Services and Securities o� ered through Lincoln Investment Planning, Inc. Registered Investment Advisor, Broker/Dealer, Member FINRA/SIPC Supervisory O� ce: 218 Glenside Avenue, Wyncote, PA 19095 215-887-8111 Lincoln Investment Planning,
Inc. and K.W. Gutshall & Associates are not a� liated.
Financial Advisor
1529 W Lingelville Rd., Ste. AStephenville, TX 76401Phone: [email protected]
Doug McLemore
We help clients simplify their financial lives, generate income for the life they want now and later, and build a lasting legacy.
Securities offered through LPL Financial. Member FINRA/SIPC. Investment advice offered through 360 Wealth Management, a Registered Investment Advisor and a
separate entity from LPL Financial.
LPL Financial Advisor
Don Hubbard Investment Services 903 N Main St.Weatherford, TX 76086Phone: 817-594-6556Phone: [email protected]
Don Hubbard
Retire with confidence.The mission of Don Hubbard Investment Services is to help individuals and families understand their investment options and make wise decisions to pursue their specific goals and achieve financial confidence.
Securities o� ered through LPL Financial. Member FINRA/SIPC.
LPL Financial Advisor
Financial planning
is a holistic approach
to financial
well-being.
— Five Star award winner© Fi
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Award winners listed by primary services and listed alphabetically by last name.
Business Planning
Joseph T. Chenoweth ∙ Armor Wealth Management
Michael J. Weaver ∙ Armor Wealth Management
Estate Planning
Larry Anders ∙ Summit Alliance Cos
Joseph Logsdon ∙ Wealth Management Group
Fritz Mowery ∙ Mowery Capital Management
Dianna Goodson Parker ∙ Lincoln Financial Advisors
Dana Pingenot ∙ Lee Financial Corporation
Darrell Roberts ∙ Financial West Group/Ameriprise Financial Services, Inc.
Financial Planning
Clint L. Adams ∙ Adams Wealth Management
Nicholas Craig Adamson ∙ Ameriprise Financial Services, Inc.
George B. Alden, Jr. ∙ Eagle Strategies
Alexander Alfano ∙ MetLife
Zachary Allen ∙ Disciplined Advisors Group
Richard Lance Alston ∙ New Dimensions Wealth Management
Michael Anderson ∙ True North Advisors
Marcos Andujar ∙ Clarity Financial Group
Roger S. Asel ∙ Certified Financial Strategies Corporation
Philip Benson Athey ∙ Atlas Wealth Advisors
Thomas Chad Atkins ∙ LPL Financial
James Aughenbaugh II ∙ Stephens
Mark Baker ∙ RBC Wealth Management
Michael Clifford Barron ∙ Barron Wealth Strategies
Eric Bartel ∙ Financial Coaching
Richard Barton ∙ Morgan Stanley
Paul Bateman ∙ Ameriprise Financial Services, Inc.
Barron Beal ∙ Covenant Multifamily Offices
Kristopher Beaulieu ∙ Clarity Financial Group
Emerson Lovett Bell ∙ Halvorson-Boyd & Bell
Howard K. Bellet ∙ Ameriprise Financial Services, Inc. Page 21
Michelle Leigh Berry ∙ Raymond James
Glenda Bianchi ∙ Cypress Point Wealth Management
Benjamin Biggs ∙ Raymond James
Charlotte Joyce Birk ∙ LPL Financial
Randy Black ∙ Spectrum Financial Group
Ryan Blair ∙ SFMG Wealth Advisors
Tara Blair ∙ Sagemark Consulting
Kalita H. Blessing ∙ Quest Capital Management Page 8
Danny P. Blevins ∙ Ameriprise Financial Services, Inc.
Stephen J. Blum ∙ Strategic Wealth Planning
Jason Bottenfield ∙ Morgan Stanley
Colleen Bowler ∙ Lincoln Financial Advisors
Jaime Boyles ∙ Lee Financial Corporation
Jeffrey Bridges ∙ Morgan Stanley
Grover Cleveland Brillhart ∙ Armor Wealth Management
Sean M. Brown ∙ Ameriprise Financial Services, Inc.
Lynn W. Bryant ∙ LPL Financial
Bradley Burnfield ∙ Ameriprise Financial Services, Inc. Page 20
Terry Bussard ∙ Money Matters
Scott Christopher Byrd ∙ Ameriprise Financial Services, Inc.
Dusti Lynn Calandar ∙ Ameriprise Financial Services, Inc.
Nick Campbell ∙ LPL Financial
Holly Carroccio ∙ MassMutual Financial Group
Tre Carruthers ∙ Ameriprise Financial Services, Inc.
Bill Carter ∙ Carter Financial Management
Travis Carter ∙ Insight Wealth Partners
David Caviness ∙ Caviness Wealth Management
Michael Mordechai Charne ∙ Merrill Lynch
Brian Chastain ∙ Ausdal Financial Partners
John J. Checki ∙ John Checki, Jr., CPA
Guy Christian Church ∙ Ameriprise Financial Services, Inc.
17304 Preston Rd., Ste. 1220Dallas, TX 75252Office: 972-248-2032Toll-free: 800-280-7022bill@firstdallasfinancial.comwww.firstdallasfinancial.com
William “Bill” A Mathews
I help people find the financial path to work toward their goals of wealth accumulation, retirement income, education expenses and providing a legacy.
Securities o� ered through Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC. Advisory Services o� ered
through Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Cambridge and First Dallas are not a� liated.
MBA, Financial Advisor
LPL Financial99 Trophy Club Dr.Trophy Club, TX 76262Office: 817-488-3373Cell: [email protected]
Karen A. Meinz
Helping my clients pursue their retirement dreams.
Securities o� ered through LPL Financial member FINRA/SIPC Investment advice o� ered through 360 Wealth Management
LLC, a registered investment advisor and separate entity from LPL Financial. Copyright 2012 – LPL Financial. All Rights Reserved.
Wealth Consultant
UNITY Financial Services610 N Town East Blvd. Mesquite, TX 75150Office: 972-329-9453Cell: [email protected]
James A. “Jim” Wade
I am dedicated to building a trusting relationship with individuals and small businesses for the purpose of pursuing their financial goals. Using an extensive background in tax preparation and integrating major wealth management issues, we work together to create a financial action plan.
Securities o� ered through HD Vest Investment ServicesSM, Member: SIPC Advisory Services o� ered through HD Vest Advisory ServicesSM .
CFP®, CSA®, MBA
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
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Professional
© Five
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Professional
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Star
Professional
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Professional
© Five
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Professional
© Five
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Professional
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Professional
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Professional
SPECIAL ADVERTISING SECTION
2014 Fiv
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Award winners listed by primary services and listed alphabetically by last name.
Raymond J. Clark ∙ Ameriprise Financial Services, Inc. Page 20
Gregory Clifton ∙ Clifton Capital Partners
Bryan Clintsman ∙ Clintsman Financial Planning
Douglas Cochran ∙ LPL Financial
Scott Cohen ∙ Waldman Bros
Kyle M. Coleman ∙ Ameriprise Financial Services, Inc.
Lynn A. Corniello ∙ Ameriprise Financial Services, Inc.
Steve Cotton ∙ Cotton Wealth Management Associates Page 17
Robert A. Cox ∙ Quest Capital Management Page 8
Philip A. Crew ∙ Morgan Stanley
Carl Wayne Cuff ∙ The Ayco Company
Christopher Currin ∙ Pegasus Advisors
Michael Dallas ∙ Michael Dallas Retirement Solutions
Bryce Danley ∙ Ameriprise Financial Services, Inc.
Betty Dawson ∙ Merrill Lynch
Michael DeGroat ∙ Ameriprise Financial Services, Inc.
Steven J. Diamond ∙ LPL Financial
Elizabeth Kim Dignum ∙ Dignum Financial Partners
Michael Andrew Domingo ∙ Cadence Financial Advisors
Woot Alfred Dougherty ∙ Dougherty Wealth Management
Shaun Dowling ∙ Howard Financial Services
David Downs ∙ AXA Advisors
Elias Robert Dragon ∙ Money Matters
David Dryden ∙ Insight Wealth Partners
Mark K. Duckworth ∙ Morgan Stanley
Adam Duey ∙ Duey Financial Group
Jonathan Evan Dumas ∙ Dean, Jacobson Financial Services
Mary Durie ∙ Quest Capital Management Page 8
Brian W. Eckeberger ∙ Signal Securities
Lisa Emmons ∙ ING Financial Partners
Stephen Engro ∙ Beacon Financial Group Page 18
Laura Enwere ∙ Ameriprise Financial Services, Inc.
Tandy Ervin ∙ Staib Wealth Management Page 13
Charles Albert Eshelman ∙ AXA Advisors
Art Fahim ∙ Ameriprise Financial Services, Inc.
N. Rocky Farr ∙ Diesslin & Associates Page 20
John Charles Farris ∙ MPACT Financial Group
Deborah Federick ∙ Ameriprise Financial Services, Inc.
Michael Felker ∙ Ameriprise Financial Services, Inc.
Chandler Ferguson ∙ Quest Capital Management Page 8
Charla Fields ∙ Ameriprise Financial Services, Inc.
Mark Fillnow ∙ Ameriprise Financial Services, Inc.
Tiffany Finney-Johnson ∙ New Dimensions Wealth Management
Richard Ford ∙ Texas Financial
Michael Franklin ∙ The Asset Preservation Group
Patrick Freeman ∙ Freeman Wealth Management
Steve Freeman ∙ BFT Financial
Greg Galbraith ∙ Deutsche Bank Securities
Joseph Galloway ∙ Ameriprise Financial Services, Inc.
Frances Rutchik Gardner ∙ Armor Wealth Management Page 13
Crawford Gates ∙ Sagemark Consulting
John Gay ∙ Frisco Financial Planning
Roger Gekiere ∙ Navigation Financial Group Page 10
Allen Gibson ∙ Ameriprise Financial Services, Inc. Page 18
M. Delene Gilbert ∙ Evos Financial Page 11
Doug Gill ∙ Summit Alliance Cos
Sonia Ginnell ∙ Merrill Lynch
Nicholas Giorgio ∙ Ameriprise Financial Services, Inc.
Roger K. Glass ∙ Martin Financial Group
Henri Glover ∙ H.G. Tailored Financial Services
Damon Gonzalez ∙ Domestique Capital
Ed Gough ∙ Merrill Lynch
Howard Eden Grace ∙ Morgan Stanley
Neil Edward Grant ∙ Robert W. Baird & Company
Todd H. Green ∙ Perennial Financial Solutions
Stuart Greenfield ∙ Greenfield Seitz Capital Management
Craig Metz Greenway ∙ SFMG Wealth Advisors
Arthur Griffin ∙ H.D. Vest Financial Services
Barton Gunter ∙ LPL Financial
Nathan Hale ∙ Ameriprise Financial Services, Inc.
Scott Hammel ∙ Atlas Wealth Advisors
Dylan Harig ∙ Redwood Financial
Carol J. Harper ∙ Ameriprise Financial Services, Inc. Page 20
Curtis D. Harris ∙ Evos Financial Page 11
Thomas Blake Harris ∙ Ameriprise Financial Services, Inc.
Charles R. Hart ∙ Ameriprise Financial Services, Inc.
J. Michael Hemp ∙ Stratford Consulting
Bryn Todd Henry ∙ Global Wealth Advisors
Sallie Herzog-Behnke ∙ Morgan Stanley
Darren C. Hill ∙ Morgan Stanley
Craig Hodges ∙ First Dallas Securities
Kim Holland ∙ LPL Financial
Donald Hubbard ∙ LPL Financial Page 22
Matt Hubbell ∙ Ameriprise Financial Services, Inc. Page 16
Silveria Hufstedler ∙ LPL Financial Page 22
Jennifer Wells Ibarguen ∙ Ameriprise Financial Services, Inc.
Matthew B. Irwin ∙ Ameriprise Financial Services, Inc.
David P. James ∙ James Financial Group
James Johnson ∙ LPL Financial
Benjamin Jones ∙ Ameriprise Financial Services, Inc.
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
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Professional
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Award winners listed by primary services and listed alphabetically by last name.
Charles Jones ∙ Ameriprise Financial Services, Inc.
Lindsay Jones ∙ Ameriprise Financial Services, Inc.
Monty Jones ∙ FCM Investments Page 3
Bryan Keever ∙ Ameriprise Financial Services, Inc.
Adam Patrick Keller ∙ Atlas Wealth Advisors
Tony Kim ∙ Ameriprise Financial Services, Inc.
Carey King ∙ LPL Financial
Jacob B. King ∙ Beaird Harris Wealth Management
Derrick Kinney ∙ Ameriprise Financial Services, Inc. Page 21
Stephanie Free Kinnunen ∙ Ameriprise Financial Services, Inc.
John Joseph Kolinofsky ∙ Ameriprise Financial Services, Inc.
Mitchell Kramer ∙ Fluent Financial Page 21
Carl Joseph Kunhardt ∙ Quest Capital Management Page 8
Travis Ladner ∙ Ameriprise Financial Services, Inc.
Brian H. Langford ∙ Ameriprise Financial Services, Inc.
James Larkin ∙ Ameriprise Financial Services, Inc.
Bryan Leake ∙ Ameriprise Financial Services, Inc.
Chris Leap ∙ Leap Wealth Management
Charles C. Lee ∙ Ameriprise Financial Services, Inc.
James Lehman ∙ Wolfe, Lehman, Wammack & Associates/Ameriprise Financial Services, Inc.
Dwayne Leleux ∙ Ameriprise Financial Services, Inc.
Harold A. Levinson ∙ LS Wealth Strategies
Steve Lindberg ∙ Lindberg Financial
Brent Little ∙ Odyssey Wealth Management
Steven Lorio ∙ Lorio Wealth Management
Christopher B. Lott ∙ Smith Anglin Financial
John Loyd ∙ LPL Financial
Thomas Lynch ∙ Sunbelt Securities
Marcus Whitney Magers ∙ Probity Advisors Page 16
Kris Maksimovich ∙ Global Wealth Advisors
Blaine Malcolm ∙ The Botsford Group
David Malleck ∙ Malleck Wealth Management
Pat R. Mandola ∙ Money Matters
James Michael Marsden ∙ Atlas Wealth Advisors
Patrick Masterson ∙ Money Matters
Daniel Mauck ∙ Clintsman Financial Planning
R. Scott Maxwell ∙ Talis Advisory Services
Walter May ∙ Eagle Strategies
Jonathan F. Mazur ∙ Linch Financial
Spencer McGowan ∙ Spire Securities
Lynn Blair McIntire ∙ Cadent Capital
Thomas McIntire ∙ Cadent Capital
Matthew McKinney ∙ Arcon Wealth Management
Stewart McLauchlan ∙ Ameriprise Financial Services, Inc.
Mark McLeland ∙ Merrill Lynch
Douglas Kyle McLemore ∙ McLemore Financial Group Page 22
Levi McMellian ∙ Ausdal Financial Partners
David Elgin Meadors ∙ Morgan Stanley Page 6
Jonathan Richard Meaney ∙ Carter Financial Management
Timothy H. Mebane ∙ LPL Financial
Karen Ann Meinz ∙ LPL Financial Page 23
James Mewhinney ∙ Morgan Stanley
Melvin Meyers ∙ Armor Wealth Management Page 22
Jimmy R. Middlebrook ∙ Ameriprise Financial Services, Inc.
John Mockovciak ∙ Robert W. Baird & Company
Marie A. Moore ∙ Morgan Stanley
Ken Moraif ∙ Money Matters
Brent Morton ∙ Morton Wealth Management
Robyn Morton ∙ Ameriprise Financial Services, Inc.
Scott Mulloy ∙ Ameriprise Financial Services, Inc.
Mark Mundy ∙ Foster Financial Group
Luisa Nemati ∙ Weaver Wealth Management
Aubrey L. Nestman ∙ Ameriprise Financial Services, Inc.
Jeremy Newton ∙ LPL Financial
Robert Nursey ∙ Ivy League Retirement Planning
Lisa Rapfogel Ostroff ∙ MassMutual Financial Group Page 21
Steven H. Owen ∙ Ameriprise Financial Services, Inc.
Jason Palmer ∙ Ameriprise Financial Services, Inc.
Ashley Parks ∙ Martin Financial Group
Tom G. Parks, Jr. ∙ Parks and Associates/Ameriprise Financial Services, Inc.
Kimberly Victoria Pauley ∙ Pauley Financial Services
Timothy Peach ∙ Morgan Stanley
Robin Pearce ∙ Ameriprise Financial Services, Inc.
Robert David Pearson ∙ Morgan Stanley
Charles Pepkin ∙ Ameriprise Financial Services, Inc.
Brad Perry ∙ MassMutual Financial Group
Thomas Philipp ∙ Professional Wealth
Lance Phillips ∙ Optima Asset Management
Kevin John Pittman ∙ Ameriprise Financial Services, Inc.
Betty Joy Poage ∙ Ameriprise Financial Services, Inc.
John Pollock ∙ John Pollock Financial
Donald Pope ∙ Raymond James
Britt Lee Porter ∙ True North Advisors
Marc Prda ∙ Morgan Stanley
Adam Prewett ∙ Prewett Financial
Jeffery D. Price ∙ Merrill Lynch
Lee Price ∙ Smith Anglin Financial
David Ragan ∙ Grunden Financial Advisory
Brandon Ratzlaff ∙ Carter Financial Management
James Rees ∙ LPL Financial
Curtis Reese ∙ Money Matters
Christopher Roberts ∙ AXA Advisors
Gerald Robinson ∙ Lightforce Financial
Eduardo Rodriguez ∙ Lee Financial Corporation
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
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Professional
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Professional
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SPECIAL ADVERTISING SECTION
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Award winners listed by primary services and listed alphabetically by last name.
Blair Rogers ∙ Summit Financial Group Page 9
Craig Rogers ∙ Rogers Wealth Group Page 12
David Russakov ∙ Charles Schwab & Company
Ivan Sacks ∙ Kingsley Advisors
Richard Andrew Salmeron ∙ Salmeron Financial
Arthur Douglas Salmon IV ∙ GS Wealth Management
Bill Saplicki ∙ LS Wealth Strategies
Susan G. Schildt ∙ Stratford Consulting
Paul Schmitz ∙ Morgan Stanley
Mark Schupbach ∙ LPL Financial
Eric Karl Schuster ∙ First Command Financial Services
Mark Charles Seebeck ∙ Seebeck & Associates
Shashin Shah ∙ SGS Wealth Management
Roger Shake ∙ Legacy Consulting Group
Kyle Shores ∙ The Botsford Group
Brent Sikes ∙ Milestone Planning Partners
Lawrence Silverman ∙ Silverman LeGate Advisory Group
James A. Simpson ∙ Intouch Wealth Management Page 15
Michael Scott Slayton ∙ MetLife
William Philip Smiley ∙ Ameriprise Financial Services, Inc.
Christopher Smith ∙ Ameriprise Financial Services, Inc.
Michael Smith ∙ Lifetime Strategies Group
Wayne Smith III ∙ Insight Wealth Partners
Jennifer Elizabeth Snee ∙ Ameriprise Financial Services, Inc.
Ted D. Snow ∙ Snow Financial Group
Christopher Sorrow ∙ Probity Advisors Page 16
Joseph Stack ∙ Pensionmark Retirement Group
Richard Stainsby ∙ Ameriprise Financial Services, Inc.
Taylor A. Steele ∙ Cadent Capital
Mark Stegman ∙ Ameriprise Financial Services, Inc. Page 20
Helen Stephens ∙ Aspen Wealth Management
John Stockton ∙ Financial Coaching
Annette Story ∙ Financial Coaching
Scott Stratton ∙ Stratford Consulting
Sandra Strohmeyer ∙ Ameriprise Financial Services, Inc.
David L. Stull ∙ Storehouse Financial
R. Louie Sullins ∙ Merrill Lynch
Craig Sullivan ∙ Sullivan Financial Partners
Drew Swedlund ∙ Merrill Lynch
James W. Taylor ∙ AXA Advisors
Jeff Taylor ∙ Ameriprise Financial Services, Inc.
Holli Terry ∙ RBC Wealth Management
Mark Trewitt ∙ Integrated Financial Solutions Group
Robert Tunnell ∙ Money Matters
Alfonso Valente ∙ Raymond James
Kyli Vardeman ∙ Ameriprise Financial Services, Inc.
Neal Vasso ∙ Ameriprise Financial Services, Inc.
Bryan Vaughn ∙ Ameriprise Financial Services, Inc.
Derek Vaughn ∙ Ameriprise Financial Services, Inc.
Kane Vines ∙ Ameriprise Financial Services, Inc.
Lindsay Vitovsky ∙ Armor Wealth Management
Ruth Thoes Vivrett ∙ Ameriprise Financial Services, Inc.
Steven Wachs ∙ Legacy Consulting Group
James Albert Wade ∙ Unity Financial Services Page 23
Casey Waits ∙ Waits Financial Group
Jeremy Walker ∙ Ameriprise Financial Services, Inc. Page 16
Tammie Dunn Walker ∙ Ameriprise Financial Services, Inc.
Dusty Wallace ∙ Lee Financial Corporation
Clint Wammack ∙ Wolfe, Lehman, Wammack & Associates/Ameriprise Financial Services, Inc.
Dexter Ward ∙ Dexter Ward & Associates
Sharon Washburn ∙ Morgan Stanley
Sean Weaver ∙ LPL Financial
Christina Williams ∙ Lee Financial Corporation
Timothy Wilson ∙ LPL Financial
Eric Wolfe ∙ Wolfe, Lehman, Wammack & Associates/Ameriprise Financial Services, Inc.
Wesley Keith Wood ∙ Morgan Stanley
Christopher Wyatt ∙ Navigation Financial Group Page 10
Clyde W. Wyatt III ∙ Navigation Financial Group Page 10
Billy Allen Yarbrough ∙ Ameriprise Financial Services, Inc.
Christopher S. Young ∙ Quest Capital Management Page 8
Insurance
Steven Hagemann ∙ Navigation Financial Group Page 10
Marilyn Harris ∙ Evos Financial Page 11
Irving Munn ∙ Raymond James & Associates Page 17
Kirk G. Quaschnick ∙ Eagle Strategies
Investments
Christopher Abel ∙ Ameriprise Financial Services, Inc.
Jesse Abercrombie ∙ Edward Jones
Austin Adams ∙ LPL Financial
James C. Aldendifer ∙ Raymond James
William B. Alderdice ∙ Silverbrook Investment Advisors
James Timothy Allen ∙ Wells Fargo Advisors, LLC
Jesse Gilbert Anderson ∙ Snider Advisors
Frank Aswad ∙ Edward Jones
Merry Lyn Bagwell ∙ Wells Fargo Advisors, LLC Page 20
Jayson Bales ∙ Robert W. Baird & Company
Danny Howard Barlow ∙ Barlow Capital Advisors
R. Brennan Barlow ∙ Barlow Capital Advisors
Clifton L. Barrett ∙ Edward Jones
Douglas Merrill Bartol ∙ Money Matters
Barbara Ann Barton ∙ American Financial Services
Michael R. Beck ∙ Gerald L. Ray & Associates
Tony Blauvelt ∙ Edward Jones
Michael R. Bless ∙ Wells Fargo Advisors, LLC
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
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Star
Professional
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Professional
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Professional
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Professional
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Award winners listed by primary services and listed alphabetically by last name.
Jamie Bloom ∙ Charles Schwab & Company
Sonja Blumoff ∙ Merrill Lynch
Lisa Bordelon ∙ Raymond James
Jimmy Lee Bowers ∙ Morgan Stanley
Timothy J. Bowrey ∙ Raymond James
Danny Boyce ∙ Lee Financial Corporation
Suzanne Cline Boyd-Chapman ∙ RBC Wealth Management
James Stephen Breen ∙ Wells Fargo Advisors, LLC
Brian Brode ∙ Wells Fargo Advisors, LLC
Robert Brooks ∙ Prudent Money Financial Services
Brent Brown ∙ Wells Fargo Advisors, LLC
Jay Brown ∙ Wells Fargo Advisors, LLC Page 21
Kevin Brown ∙ Ameriprise Financial Services, Inc. Page 19
Michael Brown ∙ Edward Jones
Wayne Warren Bruns ∙ Merrill Lynch
David Burgess ∙ Rhodes Securities
Rugger Burke ∙ Satori Capital
Michael Busch ∙ Philip Vogel & Company
Michelle Diane Calabro ∙ RBC Wealth Management
William Linc Campbell ∙ Ameriprise Financial Services, Inc.
Mark B. Cannon ∙ Ameriprise Financial Services, Inc.
John Carpenter ∙ Merrill Lynch
Lois Cartwright ∙ Merrill Lynch
Damian Caruso ∙ K.W. Gutshall & Associates Page 22
Richard Cather ∙ Merrill Lynch
Natalie Chandler ∙ Money Matters
Rod Chisholm ∙ Flagship Financial Group
David James Christensen ∙ Morgan Stanley
Kelley Abington Clowe ∙ Capital West Securities
Donald Valdian Cohen ∙ Morgan Stanley
Richard F. Colleoni, Jr. ∙ Wunderlich Securities
Braxton Bragg Comer ∙ Bragg Comer Financial Advisors
Mischelle Copeland ∙ Wells Fargo Advisors, LLC
David Cox ∙ Merrill Lynch
Michael E. Crossley ∙ Morgan Stanley Page 22
Paula Czapko ∙ Wells Fargo Advisors, LLC Page 7
John Dalton ∙ Provident Capital Management
Matthew Dann ∙ Wells Fargo Advisors, LLC
Wes Darilek ∙ Wells Fargo Advisors, LLC
Christopher Ray Davis ∙ Morgan Stanley
Jimmy Day ∙ Day Wealth Management
William Edward Dendy ∙ Elite Financial Management Page 19
Allen Kent Dennis ∙ Merrill Lynch
Jal Dennis ∙ The Jal Dennis Group Page 19
Brenda DeVore ∙ Edward Jones
Barbara Dickson ∙ South Texas Money Management
David H. Diesslin ∙ Diesslin & Associates Page 20
Daniel Dioguardi ∙ RBC Wealth Management
John Olwyn Dix, Jr. ∙ Wells Fargo Advisors, LLC
Timothy Dwight ∙ True North Advisors
Doug Dyer ∙ Money Matters
Wendy Sue Edwards ∙ Wells Fargo Advisors, LLC
Zachary Egbert ∙ Redwood Financial
John Eggleton ∙ Ameritas Investment Corporation
Peggy W. Etheridge ∙ Wells Fargo Advisors, LLC
Joann Eubank ∙ Ameriprise Financial Services, Inc.
Andrew Eure ∙ Edward Jones
Andy Evans ∙ Wells Fargo Advisors, LLC
Barry L. Evans ∙ SFMG Wealth Advisors
Charles Leon Evans ∙ RBC Wealth Management
Jeffrey Brent Everett ∙ Talis Advisory Services
Richard Fairchild ∙ RBC Wealth Management
James C. Farris ∙ Farris Capital Management
Justin Farris ∙ Farris Capital Management
Mark Fields ∙ Estatemark Financial
Alan Lorch Folz ∙ Morgan Stanley
John J. Ford ∙ Mercantile Investment Advisors
Joe B. Foster ∙ Foster Financial Group Page 21
Kevin David Freeman ∙ Freeman Global Investment Counsel
Christopher Gabel ∙ Edward Jones
Mason W. Gann ∙ Berthel, Fisher and Company
David Wayne Garrett ∙ Snow Garrett Wealth Management Page 15
Lorie Lynn Gebbie ∙ Wells Fargo Advisors, LLC
Mark Gehlbach ∙ True North Advisors
Charles Arthur Gelineau ∙ LPL Financial
Jennifer George-Smith ∙ American National Bank
John Gesek ∙ Fusion Capital Management
David R. Gilmore ∙ Edward Jones
Alan Mack Glazner ∙ Wells Fargo Advisors, LLC
Donald P. Goerner ∙ Spectrum Wealth Management
Adam Charles Goldenberg ∙ True North Advisors
Pamela S. Gothard ∙ Wells Fargo Advisors, LLC
Barney Grossman ∙ Morgan Stanley
Ricky Lee Grunden ∙ Grunden Financial Advisory
Steven Gundy ∙ GS Wealth Management
Tricia Haber ∙ Merrill Lynch
Arvle Dan Hale ∙ Raymond James
Robert Hamrick ∙ Hamrick Financial
Sarah Helen Hancock ∙ Hancock-Smith
Scott W. Hancock ∙ Oak Capital Advisors
Janet C. Hanna ∙ Edward Jones
Bland Harvey Harper ∙ Edward Jones
Samuel Jared Harrell ∙ Morgan Stanley
Emily Harwood ∙ Charles Schwab & Company
Tere Hatcher ∙ Ameriprise Financial Services, Inc.
Thomas Hatfield IV ∙ Hatfield Financial
C. Chris Hatton ∙ Money Matters
J. Dan Heard ∙ Morgan Stanley
Brian Hendon ∙ Edward Jones
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
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Professional
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Professional
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Professional
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Professional
SPECIAL ADVERTISING SECTION
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Award winners listed by primary services and listed alphabetically by last name.
Leon Henry ∙ Edward Jones
Sarah Henze ∙ Lee Financial Corporation
Joshua Ian Hersh ∙ Merrill Lynch
John O. Hetzel ∙ Beaird Harris Wealth Management
Hillary Higgins ∙ KRWMG
Lora Hoff ∙ IPI Wealth Management, Dallas Page 22
James M. Hogue ∙ Morgan Stanley
Gary Neal Holland ∙ LPL Financial Page 18
Robert Holman ∙ Edward Jones
Robert Hrnicek ∙ Morgan Stanley Page 22
Andrea Hughes ∙ Wells Fargo Advisors, LLC
Gary T. Hughes ∙ LPL Financial
Thomas Hughes ∙ Wells Fargo Advisors, LLC
Don Jacobson ∙ Dean, Jacobson Financial Services
Christopher Jeng ∙ Ameriprise Financial Services, Inc.
Diana L. Jenkins ∙ Malleck Wealth Management
Leonard H. Johnson ∙ Wells Fargo Advisors, LLC
Sheila Kaplan ∙ Merrill Lynch
Keith Dale Karnes ∙ Wells Fargo Advisors, LLC
Tom Karsten ∙ Karsten Advisors
Jack Kaye ∙ Edward Jones
Philip Kendall ∙ Charles Schwab & Company
Jay Khatter ∙ ING Financial Partners
Valli J. Kindred ∙ Kindred Stephens Financial Group
Joy Davis Kirsch ∙ Kirsch & Associates
Bill Knight ∙ Robert W. Baird & Company
Kerry Knox ∙ Merrill Lynch
James E. Koestner ∙ Wells Fargo Advisors, LLC
Robert James Lamse ∙ Talis Advisory Services
Frederick Lear ∙ Sloan Wealth Management
John Ledford ∙ Morgan Stanley
James Curt Leonard ∙ Merrill Lynch
Lisa Tilley Leonard ∙ True North Advisors
Johnny Lewis ∙ Edward Jones
Gloria A. Lietz ∙ Intouch Wealth Management Page 15
Brad Linch ∙ Linch Financial
Sidney J. Lorio ∙ Lorio Wealth Management
Matthew Lowe ∙ Wells Fargo Advisors, LLC
Tim Lowry ∙ Dean, Jacobson Financial Services
Steven M. Lugar ∙ Beaird Harris Wealth Management
James Patrick Malone ∙ Oakview Capital Management
Brian Roger Marks ∙ Merrill Lynch
William A. Mathews ∙ First Dallas Financial Corporation Page 23
Randy Matthews ∙ Matthews Wealth Management
Ryan Maynard ∙ Merrill Lynch
David McBee ∙ Wells Fargo Advisors, LLC
Greg McCoy ∙ Wells Fargo Advisors, LLC
Daniel McVeigh ∙ Merrill Lynch
David Megarity ∙ Wells Fargo Advisors, LLC
Joseph Mentesana ∙ Edward Jones
Mary Susan Meyer ∙ Edward Jones
Bill Miller ∙ Edward Jones
Marcia Miller ∙ Ameriprise Financial Services, Inc.
Michael Miller ∙ Miller Premier Investment Planning Page 5
Scott Lewis Miller ∙ Miller Global Investments
Shott Miller ∙ Merrill Lynch
Robert Lynn Mitchell ∙ Morgan Stanley
Mark Morgan ∙ Porter Morgan
Hank N. Mulvihill ∙ Mulvihill Asset Management
Steve Nagel ∙ Merrill Lynch
Michael Nettleton ∙ Morgan Stanley
Robert B. Nicholas ∙ Wells Fargo Advisors, LLC
Julie Noble ∙ Morgan Stanley
David R. Noonan ∙ Morgan Stanley Page 21
Chris Oberling ∙ Ameriprise Financial Services, Inc.
George Wesley Oliver IV ∙ Robert W. Baird & Company
Gary Wayne Owens ∙ Morgan Stanley
Thomas Pace ∙ Eagle Strategies
James Pacholek ∙ Wells Fargo Advisors, LLC
Timothy Painter ∙ Lindus Advisors
Jeffrey Paladini ∙ Karsten Advisors
Virginia Malave Paneda ∙ Richard P. Slaughter Associates
Jason Lane Parker ∙ MetLife
Brick Parsons ∙ Edward Jones
Christopher Pascuzzi ∙ PSE Wealth Management
Brian K. Payne ∙ Wells Fargo Advisors, LLC
Michael Peschel ∙ Wells Fargo Advisors, LLC
Daniel Scott Peters ∙ Lee Financial Corporation
Donald Pete Peterson ∙ Visionpoint Advisory Group
Wayne Albert Peterson ∙ Family Business Office
Charles Peyton ∙ Edward Jones
Daniel H. Phillips ∙ Edward Jones
Adam Piper ∙ Edward Jones
Paul Pittman ∙ Edward Jones
Clinton Poarch ∙ LPL Financial
Paul Scott Pomeroy ∙ LPL Financial Page 21
Randall Pope ∙ Edward Jones
Jason Andrew Potts ∙ Lifetime Wealth Management
David Quick ∙ Hearthstone Financial
Brian Rahlfs ∙ Rahlfs Capital
Joseph Ray ∙ Gerald L. Ray & Associates
Larry Gorden Ray ∙ Wells Fargo Advisors, LLC
John Wade Reagan ∙ Wells Fargo Advisors, LLC
Micky Chamberlain Reeves ∙ Buckingham Asset Management
Vince Regan ∙ Charles Schwab & Company
James Gordon Rhodes ∙ Rhodes Securities
Jamie Richardson ∙ Raymond James Page 14
Kelly Rigas ∙ KRWMG
Danie Roark ∙ Wells Fargo Advisors, LLC
Adam Robinson ∙ Commonwealth Financial Network
Mark Robinson ∙ The Watchman Group
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
© Five
Star
Professional
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Star
Professional
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Star
Professional
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Star
Professional
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Professional
SPECIAL ADVERTISING SECTION 2014 F
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Award winners listed by primary services and listed alphabetically by last name.
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.
Guy Rodgers ∙ Edward Jones
Michael Rodriguez ∙ Merrill Lynch
Charles Romig ∙ Morgan Stanley
Alisha Renee Rosenthal ∙ Rosenthal Retirement Planning
Ronald Ames Rotthaus ∙ BOSC
Angelyn Russell ∙ Wells Fargo Advisors, LLC
Zeta Lois Russell ∙ Tuggle & Russell
Karee H. Sampson ∙ Wells Fargo Advisors, LLC
Jeffrey Sandene ∙ LPL Financial
Jeffrey Sanders ∙ Edward Jones
Trey L. Sartin ∙ Wells Fargo Advisors, LLC
Andrew Saunders ∙ Ameriprise Financial Services, Inc.
Steven T. Schlegel ∙ SchlegelDunn
Jeffrey Schmeltekopf ∙ Dean, Jacobson Financial Services
Greg Schmitz ∙ Talis Advisory Services
Cari Ann Schulz ∙ Morgan Stanley
Myron Henry Schwitzer ∙ Morgan Stanley
James Franklin Scott ∙ Milestone Wealth Strategies
Robyn Scott ∙ Edward Jones
Amber Koop Seale ∙ Edward Jones
Dax Seale ∙ Edward Jones
Brian Keith Shelton ∙ Wells Fargo Advisors, LLC
James R. Shelton ∙ 360 Wealth Management
Steven Shi ∙ Wells Fargo Advisors, LLC
Brandon Wayne Simmons ∙ Ameriprise Financial Services, Inc.
Frank Sloan ∙ Sloan Wealth Management
Elizabeth Brainerd Sparks ∙ Wells Fargo Advisors, LLC
Christi Staib ∙ Staib Wealth Management Page 13
Larry Dale Stamps ∙ Spar Investment Counsel
Michael Steinberg ∙ Wells Fargo Advisors, LLC Page 20
Charles N. Stephens ∙ Kindred Stephens Financial Group
Renee Sterling ∙ Morgan Stanley Page 20
Daniel Stewart ∙ Noram Asset Management
Jeffery Jay Stogsdill ∙ Cetera Investment Services
Dan Sullivan ∙ RBC Wealth Management Page 19
Bruce Louis Sutherland ∙ Money Matters
Cheryl Ann Sutter ∙ American National Bank
Byron Talbot ∙ Merrill Lynch
Joel Lawrence Tannebaum ∙ Morgan Stanley
Trey Kenyon Taylor ∙ Leap Wealth Management
Michael Taysom ∙ Edward Jones
Chet Allen Teichman ∙ Lighthouse Financial Group
Grayson Tennison ∙ Edward Jones
Lawrence Terry ∙ Ameriprise Financial Services, Inc.
John R. Thane ∙ Merrill Lynch
Bradley Dean Thomas ∙ Morgan Stanley
Paul Mcinnis Thompson ∙ Signal Securities
Duke Tran ∙ RBC Wealth Management
Christopher Troseth ∙ The Watchman Group
Peggy D. Tyler ∙ Wells Fargo Advisors, LLC
Gail W. Utter ∙ Wells Fargo Advisors, LLC Page 4
Stephen Valelly ∙ Raymond James
Ryan Valenzuela ∙ Edward Jones
Craig VanWinkle ∙ Wells Fargo Advisors, LLC
Phillip Layne Vick ∙ Sovereignty Wealth Advisors
Marcus Brent Walker ∙ Karsten Advisors
Robert Walker ∙ Morgan Stanley
Ralph Mebee Walker III ∙ Merrill Lynch
Gary Griffith Walsh ∙ Luther King Capital Management
Kyle Walters ∙ Atlas Wealth Advisors
Peter Gigstad Warren ∙ Wells Fargo Advisors, LLC
Jana Darlene Waters ∙ Waters Financial Planning
Allan P. Watt ∙ Wells Fargo Advisors, LLC
James Webb ∙ Webb Financial
Bradley Weddle ∙ LPL Financial
Robert James Weilbacher ∙ LPL Financial
Jon L. Weinstein ∙ Cetera Advisor Networks
Paul H. Welch ∙ Fiduciary Financial Services of the Southwest Page 14
Stephen Wheeler ∙ Wells Fargo Advisors, LLC
Robert Roy Whittenburg ∙ Wells Fargo Advisors, LLC
Bobi R. Williams ∙ Ameriprise Financial Services, Inc.
James W. Williams IV ∙ Raymond James
Mark Witte ∙ Mark Witte Investment Services
John Wolverton ∙ Navigation Financial Group Page 10
Scott Wood ∙ True North Advisors
Larry Wright ∙ Morgan Stanley
Richard Wright ∙ Fiduciary Financial Services of the Southwest Page 14
Alan Yonack ∙ Morgan Stanley
Ralph L. Youngblood ∙ LPL Financial
Frank Zaccardo ∙ LPL Financial
Peggy Zarro ∙ Wells Fargo Advisors, LLC
Taxation
Frank B. Arnold ∙ Weaver Wealth Management
Donald B. Harris ∙ Beaird Harris Wealth Management
Ron Skalberg ∙ Beaird Harris Wealth Management
Alan Spencer ∙ Alan Spencer & Associates
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Five Star Accounting and Estate Planning Professionals2014 Dallas/Fort Worth
How do you find an accounting or estate planning professional with experience, who has a good base of cl ients with high retention rates, and who has undergone a regulatory and complaint review? And when you find them, are they accepting new clients?
Texas Monthly and Five Star Professional partnered to find accounting and estate
planning professionals who satisfy 10 objective eligibility and evaluation criteria. Among many distinguishing attributes, the average one-year client retention rate for this year ’s award-winning certified public accountants is more than 97 percent . Meanwhile, our winning estate planning attorneys clock an average of 78 percent of their hours as billable.
The 2014 Five Star Certified Public Accountants and Estate Planning Attorneys are a select group, representing less than 1 percent of the certified public accountants and 2 percent of the estate planning attorneys in the Dallas/Fort Worth area.
Although this list is a useful tool for anyone looking for help with accounting or managing their estate, it should not be considered exhaustive. Undoubtedly, there are many excellent accounting and estate planning professionals who, for one reason or another, are not on this year’s list. Self-nominations for this award are not accepted. Dallas/Fort Worth award candidates were identified using internal and external research data.
AWARDA Select
Award candidates who satisfied the following objective eligibility and evaluation criteria were named 2014 Five Star Certified Public Accountants or Estate Planning Attorneys.OF AWARD WINNERS
Determination
Regulatory ReviewAs defined by Five Star Professional, the accounting or estate planning professional 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.
Five Star Professional conducts a regulatory review of each candidate. Five Star Professional also uses multiple supporting processes to help ensure that a favorable regulatory and complaint history exists.
• Each candidate 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 potential winner.• Five Star Professional contacted approximately 1 in 12 households identified as having a high propensity to use taxation or estate planning services in order to provide consumers the
opportunity to submit complaints regarding a potential winner.
Eligibility Criteria – Required1. Credentialed, licensed attorney. 2. Actively employed as a credentialed professional in
the estate planning services industry for a minimum of five years.
3. Favorable regulatory and complaint history review. 4. A minimum of 50 percent of practice focus on estate
planning services. 5. Accepting new clients.
Evaluation Criteria – Considered 6. Number of transactions in last 12 months. 7. Number of client households served. 8. Industry and board certifications. 9. Education and professional designations. 10. Pro bono activities.
Estate Planning AttorneysEligibility Criteria – Required 1. Credentialed Certified Public Accountant (CPA).2. Actively employed as a credentialed professional in
the accounting services industry for a minimum of five years.
3. Favorable regulatory and complaint history review.4. Accepting new clients.5. Spend more than 50 percent of their time on taxation
or other accounting services.
Evaluation Criteria – Considered6. One-year client retention rate.7. Five-year client retention rate.8. Number of clients served.9. One-year billing realization rate.10. Educat ion and profess ional des ignat ions/
certifications.
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Research Disclosures• Accounting and estate planning professionals do not pay a fee to be considered or placed on the final list of Five Star Certified Public
Accountants or Estate Planning Attorneys. Once awarded, accounting and estate planning professionals may opt to purchase additional profile ad space or related award promotional products. • The Five Star award is not indicative of an accounting or estate planning professional’s future performance. • The inclusion of an accounting or estate planning professional on the Five Star Certified Public Accountants or Estate Planning Attorneys list should not be construed as an endorsement of the professional by Five Star Professional or Texas Monthly. • Five 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, go to www.fivestarprofessional.com. • 760 award candidates in the Dallas/Fort Worth area were considered for the Five Star Certified Public Accountant award. 11 (approximately 2 percent of the award candidates) were named 2014 Five Star Certified Public Accountants. • 370 award candidates in the Dallas/Fort Worth area were considered for the Five Star Estate Planning Attorney award. 18 (approximately 5 percent of the award candidates) were named 2014 Five Star Estate Planning Attorneys. • The award methodology does not evaluate the quality of services provided.
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Jeff Rasco
Rasco & Rasco, P.C.
112 SW Thomas St., Ste. 100
Burleson, TX 76028
Offi ce: 817-295-2202
jeff [email protected]
www.rascocpa.com
• Trusted fi nancial services combined with tax expertise• Helping minimize taxes and preserve wealth
Golden Rule Financial Advice
In business for over 38 years.
CPA, BBA BaylorMember AICPA and TSCPA
Steven E. Miller, CPA PC
It’s Not About Numbers —It’s About Relationships
2014 winner Steven Miller, CPA
We have a passion for what we do.
Relationships take work. But the eff ort can pay off handsomely. Do you want more from an accounting fi rm than just tax returns or fi nancial reports?
Do you have goals but are unsure how to achieve them? Are you looking for guidance and counsel you can understand? Then perhaps we should talk. Let us have the opportunity to listen to you.
7616 LBJ Freeway, Suite 600Dallas, TX 75251-1122
Offi ce: 214-361-1131Fax: 214-253-2138
“Don’t listen to other people. Investigate for yourself. Be wary of wealth managers who say they never had a down year.”
— Five Star award winner
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Award winners listed by primary services and listed alphabetically by last name.
Accounting
Paula Allgood ∙ Beaird Harris Wealth Management
Fred Bastie ∙ Fred J. Bastie & Associates
Terri Calverley ∙ Gandy, Calverley & Company
Walt Hatter ∙ Hatter & Associates
Mark M. Jones ∙ Mark M. Jones & Associates
Steven Miller ∙ Steven E. Miller, CPA Page 31
Clint Pugh ∙ Savillle, Dodgen & Company
Jeff Rasco ∙ Rasco & Rasco Page 31
Karen Roberton ∙ John Harman, CPA
Jeffrey Whittaker ∙ R. Jeffrey Whittaker, CPA
Gail Wills ∙ Gail D. Wills, CPA
Estate Planning
Ronald Adams ∙ Brackett & Ellis
T. Daniel Brittain ∙ Glast, Phillips & Murray
Edward Copley ∙ Akin, Gump, Strauss, Hauer, & Feld
Lora Davis ∙ The Blum Firm
Liza Farrow-Gillespie ∙ Farrow-Gillespie & Heath
Ronald A. Foxman ∙ Higier Allen & Lautin
R. Thomas Groves, Jr. ∙ Jackson Walker
William Houser ∙ Jordan, Houser & Flournoy
Allan Howeth ∙ Cantey Hanger
Michael Kaufman ∙ Jackson Walker
Terry R. Leach ∙ Leach & Fox
Norman A. Lofgren ∙ Gray Reed
Barkley Miller ∙ Law Office of Barkley T. Miller
Daniel P. Novakov ∙ Greenberg Traurig
Ryan A. Randall ∙ Staubus & Randall
Sol Reifer ∙ Wright Ginsberg Brusilow
John Round ∙ Strasburger & Price
Bert Starr ∙ Law Offices of Bert Starr
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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