SPECIAL ADVERTISING SECTION
WEALTH MANAGE RS
2017 COLUMBUS AWARD WINNERS Connect with Five Star Wealth Managers A SELECT AWARD 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 adviser to talk about any specialties they might have can help uncover skills you might find useful.
Five Star Wealth Manager Criteria Determination of Award Winners Award candidates who satisfied 10 objective eligibility and evaluation criteria were named 2017 Five Star Wealth Managers.
Eligibility Criteria – Required 1. Credentialed as a registered investment adviser or a registered investment adviser representative. 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.
Ultimately, how do you find an experienced wealth manager who you feel comfortable 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? Five Star Professional uses its own proprietary research methodology to name outstanding professionals, then works with publications such as Columbus Monthly to get word out about award winners 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. 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. Columbus award candidates were identified using internal and external research data.
Regulatory Review
For the complete list of winners, go to www.fivestarprofessional.com.
As defined by Five Star Professional, the wealth manager has not:
R E S E A R C H D I S C LO S U R E S
• Individually contributed to a financial settlement of a customer complaint
• 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 Columbus 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 advisery 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. • 828 award candidates in the Columbus area were considered for the Five Star Wealth Manager award. 71 (approximately 9 percent of the award candidates) were named 2017 Five Star Wealth Managers.
• Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine • Been convicted of a felony • Within the past 11 years: – Been terminated from a wealth management or financial services firm – Filed for personal bankruptcy – Had more than a total of three settled or pending complaints filed against them (and no more than five total pending, dismissed, or denied) with any regulatory authority 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.
OCTOBER 2017
COLUMBUS MONTHLY
FS 1
SPECIAL ADVERTISING SECTION
W E A LT H M A N A G E R S
Fullen Financial Group, Inc.
2
YEAR WINNER Left to right: Back row: Two-year winner Milt Fullen, CPA, CFP®, ChFC®, CLU®, CASL® Front row: Joe Fullen, CFP®; Jodi Murray; Lisa Bushman
When Only a Fiduciary Will Do HIGHLIGHTS Clients have always come first. It is not just a tagline; it is built into the fabric of the organization
Fullen Financial is an independent, fee-only registered investment advisory firm. We represent our clients, and only our clients, in a fiduciary capacity. Because we are fiduciaries, Fullen Financial is bound to put the needs of our clients first. Our clients’ goals are supported by individually designed and regularly monitored financial plans that are followed for continued relevance and success. We provide our clients with state-of-the-art IT platforms, regular investment oversight, education and competitive management fees designed for the needs and pocketbooks of individuals and small businesses, wherever life may take them.
We are a fee-only, independent advisory firm, which allows us to tailor our solutions to you
C O N TA C T 3720 North High Street • Columbus, OH 43214 Office: 614-946-6052 • milt@fullenfinancial.com www.fullenfinancial.com
We help clients achieve their goals. We measure our success by your success
Wealth Manager Award Winner
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal 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. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. 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 client’s 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 828 Columbus wealth managers were considered for the award; 71 (9 percent of candidates) were named 2017 Five Star Wealth Managers.
FS 2
COLUMBUS MONTHLY OCTOBER 2017
SPECIAL ADVERTISING SECTION
W E A LT H M A N A G E R S
Budros, Ruhlin & Roe, Inc.
4
YEAR WINNER Left to right: Four-year winner Amy Weldele; 2017 winner John Schuman; Three-year winner Jessica Lee; Four-year winner John McHugh; 2017 winner Daniel Roe; Four-year winners Daniel Due, Andrea Ellis and Aaron Armstrong; Scott Kidwell
HIGHLIGHTS Chief Executive Officer Peggy Ruhlin named to InvestmentNews 2016 “Women to Watch” list
Budros, Ruhlin & Roe named to Financial Times Top 300 Registered Investment Advisers list 2017
Chief Investment Officer Dan Roe named one of Barron’s 2016 Top 100 Independent Advisors
Building Money Toward Meaning Budros, Ruhlin & Roe, Inc. is an independent, fee-only wealth management firm serving its clients in a fiduciary capacity. The company, based in Columbus, Ohio, manages over $2 billion of assets for clients throughout the country. Built on a foundation of trust and understanding, our firm successfully provides portfolio and wealth management services to high net worth individuals. Our firm also manages investment portfolios for foundations, endowments and employee retirement plans. We bring a unique, proactive and collaborative approach to wealth management which has helped individuals, families and institutions accomplish their financial goals for more than three decades.
C O N TA C T
FOLLOW
1801 Watermark Drive, Suite 300 Columbus, OH 43215 Office: 614-481-6900 info@b-r-r.com www.b-r-r.com
Twitter: @budrosruhlinroe #BRR LinkedIn: Budros, Ruhlin & Roe
Rankings, awards and/or recognitions by unaffiliated organizations and/or publications should not be construed that a certain level of results will be achieved if Budros, Ruhlin & Roe, Inc. is engaged to provide investment advisory services, nor should they be construed as an endorsement of Budros, Ruhlin & Roe by any of its past or current clients. Rankings are generally based upon information submitted by the advisor. A copy of Budros, Ruhlin & Roe’s written disclosure statement is available at www.b-r-r.com/disclaimer. Wealth Manager Award Winner
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal 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. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. 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 client’s 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 828 Columbus wealth managers were considered for the award; 71 (9 percent of candidates) were named 2017 Five Star Wealth Managers.
OCTOBER 2017
COLUMBUS MONTHLY
FS 3
SPECIAL ADVERTISING SECTION
W E A LT H M A N A G E R S
Trinity Financial Advisors LLC
2
YEAR WINNER
Left to right: Jennifer Metz; 2016 – 2017 winner Geoffrey R. Biehn, CPA, CFP®
Helping Clients Invest in What Matters At Trinity Financial Advisors, we work hard to earn the trust of clients by adhering to what we, and our clients, value - integrity in our relationships and across all situations; discipline in our methodology and approach; and excellence in all aspects of our work. As a fee-only firm, we act in our clients’ best interests at all times. Our goal is to help clients achieve their financial goals while also inspiring a spirit of generosity that encourages them to invest in what matters most.
C O N TA C T 7140 North High Street, Suite 240 • Worthington, OH 43085 Phone: 614-848-7667 • gbiehn@tfadvisors.com • www.tfadvisors.com www.linkedin.com/in/geoffreybiehn
Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if Trinity Financial Advisors, LLC is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of Trinity Financial Advisors, LLC by any of its clients. Rankings published my magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized advisor. Rankings are generally limited to participating advisors. Wealth Manager Award Winner
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal 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. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. 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 client’s 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 828 Columbus wealth managers were considered for the award; 71 (9 percent of candidates) were named 2017 Five Star Wealth Managers.
FS 4
COLUMBUS MONTHLY OCTOBER 2017
SPECIAL ADVERTISING SECTION
W E A LT H M A N A G E R S
Waller Financial Planning Group, Inc. Financial Planners
4
YEAR WINNER Left to right: Scott Rendle, CFP®; 2017 winner Kathy Kincaid, CFP®; Four-year winner Jason Eliason, CFP®, ChFC®, CFA®; 2017 winners Jason Farris, CFP®, CAP®, and Chris Olsgard, CFP®
Lifestyle & Legacy by DesignSM HIGHLIGHTS Legacy planning: recognizing the importance of passing along valuables and your values
Waller Financial Planning Group partners with clients to assist them in the pursuit of their desired lifestyle and legacy goals by serving as trustworthy advocates of their financial futures. We believe effective financial planning begins by taking a teambased, comprehensive view of each client’s financial status and combining it with a long-term vision.
C O N TA C T Wealth management: creating structure that will empower you to make informed financial decisions Investment philosophy: preserve and increase the wealth of clients through a disciplined process focusing on goals, risk aversions and cash flow needs
941 Chatham Lane, Suite 212 Columbus, OH 43221 Phone: 614-457-7026 info@waller.com www.waller.com
FOLLOW @wallerfinancial
Wealth Manager Award Winner
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal 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. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. 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 client’s 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 828 Columbus wealth managers were considered for the award; 71 (9 percent of candidates) were named 2017 Five Star Wealth Managers.
OCTOBER 2017
COLUMBUS MONTHLY
FS 5
SPECIAL ADVERTISING SECTION
W E A LT H M A N A G E R S
Lifetime Financial Growth
4
YEAR WINNER Left to right: Scott L. Grotelueschen; 2014 winner Larry F. Boord, J.D., CLU®, ChFC®; Three-year winner Christopher Rohan, CLU®, ChFC®, CFP®; Four-year winner Thomas D. Wyatt, J.D., CFP®; Robert H. Johnson, CLU®, ChFC®; Andrea Nameche, MDRT
Lifetime Financial Growth is a privately-owned wealth management firm with offices in Pennsylvania, Ohio, Kentucky, Indiana, Michigan and West Virginia. The firm has more than 35 local representatives in central Ohio, 200 across the region.
Helping individuals, families and businesses maximize and protect their wealth
The focus of LFG is to provide excellence in service and innovative product design to help our clients reach their financial objectives in the creation, maximization, protection and enjoyment of wealth.
Risk management and advanced tax strategies to minimize major exposures
We do this by advocating for them to make informed financial decisions which reflect their value system, love of family and commitment to the community.
8425 Pulsar Place, Suite 450 • Columbus, OH 43240 Phone: 614-785-5100 • Fax: 614-785-4255 www.lifetimefinancialgrowth.com Scof Grotelueschen, Larry Boord, Robert Johnson, Thomas Wyaf, Christopher Rohan, Andrea Nameche are Financial Representatives of The Guardian Life Insurance Company of America® (Guardian), New York, NY. Lifetime Financial Growth, LLC is not an affiliate or subsidiary of Guardian. Scof Grotelueschen, Larry Boord, Robert Johnson, Thomas Wyaf, Christopher Rohan, Andrea Nameche are Registered Representatives of Park Avenue Securities LLC (PAS). Securities products and advisory services offered through Park Avenue Securities LLC (PAS), member FINRA, SIPC. OSJ: 8425 Pulsar Place Suite 450, Columbus, OH 43240, Phone: 614-785-5100. PAS is an indirect, wholly-owned subsidiary of Guardian. Lifetime Financial Growth, LLC is not an affiliate or subsidiary of PAS or Guardian. Not practicing Law for Guardian or its subsidiaries or affiliates. The Five Star award is not issued or endorsed by Guardian or its subsidiaries. Guardian, its subsidiaries, agents, and employees do not provide tax, legal, or accounting advice. Consult your tax, legal, or accounting professional regarding your individual situation. 2017-44459 EXP 08/2019 The Living Balance Sheet® (LBS) and the LBS Logo are service marks of The Guardian Life Insurance Company of America (Guardian), New York, NY. © Copyright 2005-2017 Guardian. Wealth Manager Award Winner
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal 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. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. 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 client’s 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 828 Columbus wealth managers were considered for the award; 71 (9 percent of candidates) were named 2017 Five Star Wealth Managers.
FS 6
COLUMBUS MONTHLY OCTOBER 2017
SPECIAL ADVERTISING SECTION
W E A LT H M A N A G E R S
Richard L. Pierce and Javier L. Piquero Financial Advisors
4
YEAR WINNER
Left to right: 2014 – 2017 winner Richard L. Pierce, CRPC®, APMA®, Financial Advisor, Managing Partner; 2014 – 2017 winner Javier L. Piquero, APMA®, Financial Advisor, Managing Partner
Are You Confident About Your Financial Future? We Mean Business
Comprehensive financial planning approach
What is your plan? At Comprehensive Wealth Partners, we can help you explore this and other important issues facing you today. To help our current and future clients plan to achieve financial success in today’s complex world, our team understands and deeply values our seven guiding principles: integrity, objectivity, competence, fairness, confidentiality, professionalism and diligence. Our integrated approach of wealth management and financial planning, acting upon our guiding principals, enable each of our clients to be in the best position to achieve their definition of financial success. Your goals are our goals. With more than 332 years of combined experience, our team can help you gain more confidence in your financial future. Today’s financial environment is complicated. We can help.
Retirement plan strategies and tax-planning strategies
Wealth management services
Business owner planning and small business strategies
Comprehensive Wealth Partners, a private wealth advisory practice of Ameriprise Financial Services, Inc. 150 East Wilson Bridge Road, Suite 100 • Worthington, OH 43085 Office: 614-396-3800 richard.l.pierce@ampf.com • javier.l.piquero@ampf.com ameripriseadvisors.com/richard.l.pierce ameripriseadvisors.com/javier.l.piquero
*
The Compass is a trademark of Ameriprise Financial, Inc. Both discretionary and non-discretionary services offered. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Investment advisory services and products are made available through Ameriprise Financial Services, Inc., a registered investment adviser. Ameriprise Financial Services, Inc., Member FINRA and SIPC. Wealth Manager Award Winner
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal 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. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. 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 client’s 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 828 Columbus wealth managers were considered for the award; 71 (9 percent of candidates) were named 2017 Five Star Wealth Managers.
OCTOBER 2017
COLUMBUS MONTHLY
FS 7
SPECIAL ADVERTISING SECTION
W E A LT H M A N A G E R S
Susan Hays Robenalt Founding Partner
C O N TA C T 9961 Brewster Lane, Suite 200 • Powell, OH 43065 Office: 614-610-4213 • Cell: 614-208-8069 srobenalt@stratoswp.com • www.stratoswealthpartners.com
5
YEAR WINNER
Independent, partner-owned and -operated financial services
2013 – 2017 winner Susan Robenalt
After 15 years as a wealth advisor with Prudential Securities and Morgan Stanley, Susan arrived at Stratos Wealth Partners in September 2010. Her success is the result of her proactive and collaborative approach to providing comprehensive, objective advice of the highest caliber that is customized to each client’s unique objectives and personal risk tolerance. Susan generously shares her talents and expertise in her community. She was selected from hundreds of nominations for her selfless contributions and energetic passion for community spirit. She is a past president of Dublin AM Rotary, past assistant district governor for Rotary District 6690, past president for Leadership Dublin. Susan is currently on the board of trustees for The Community Foundation of Delaware County and chair for the Dublin AM Rotary Foundation. In 2016, Susan was selected to be 1 of 20 W.I.S.H. Women in central Ohio to grant a wish for a child through Make-A-Wish Foundation. Susan is very passionate about helping others. Securities offered through LPL Financial, Member FINRA/SIPC, Investment advice offered through Stratos Wealth Partners, a registered investment advisor and separate entity from LPL Financial. Wealth Manager Award Winner
“Wealth will only come as a result of living beneath your means. Saving even a small amount every month can grow into something significant.” Shaun Patterson
Margaret Elizabeth McLurg
655 Metro Place South, Suite 450 Dublin, OH 43017 Office: 614-726-3417 • Fax: 614-726-3440 spatterson@ampf.com ameripriseadvisors.com/shaun.d.patterson
John W. Schatz
CRPC®, APMA®, Financial Advisor, Business Financial Advisor
CFP®, Financial Advisor, Vice President
5
YEAR WINNER
6265 Emerald Parkway, Suite 150 Dublin, OH 43016 Office: 614-389-5017 • Fax: 614-389-5207 margaret.e.mclurg@ampf.com ameripriseadvisors.com/ margaret.e.mclurg
CRPC®, Director of Financial Planning
5
YEAR WINNER
I take the time to inform you during the planning process so that we can make informed recommendations tracking the progress over time. Shaun is a 2013 – 2017 Five Star Wealth Manager. Patterson & Associates, a financial advisory practice of Ameriprise Financial Services, Inc. Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Investment advisory services and products are made available through Ameriprise Financial Services, Inc., a registered investment adviser. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
Our process starts with a comprehensive approach to planning to gain in-depth knowledge of each client’s financial situation and personal goals. Our goal is to help preserve and build our clients’ wealth over time with integrity, clarity and personal attention. Five Star Wealth Manager award winner, 2013 – 2017.
Wealth Manager Award Winner
Wealth Manager Award Winner
Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
7650 Rivers Edge Drive Columbus, OH 43235 Toll-free: 800-832-7215 Phone: 614-854-1993 john.schatz@lfg.com
5
YEAR WINNER
John joined Lincoln Financial Advisors,(LFA), in 2000. He works with financial planners within his offices and nationally throughout LFA. John specializes in investment and estate planning for the affluent. Insurance offered through Lincoln affiliates and other fine companies. Lincoln Financial Group is the marketing name for Lincoln National Corporation and its affiliates. It is not our position to offer legal or tax advice. [CRN-1863028-080317]. Wealth Manager Award Winner
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal 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. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. 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 client’s 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 828 Columbus wealth managers were considered for the award; 71 (9 percent of candidates) were named 2017 Five Star Wealth Managers.
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COLUMBUS MONTHLY OCTOBER 2017
SPECIAL ADVERTISING SECTION
W E A LT H M A N A G E R S Russell J. Fish
CRPC®, Private Wealth Advisor
• Five Star Wealth Manager, 2013 – 2017 • Retirement planning and income strategies • Estate planning strategies
5
YEAR WINNER
Sandstone Financial Group A private wealth advisory practice of Ameriprise Financial Services, Inc. 8425 Pulsar Place, Suite 420 • Columbus, OH 43240 Office: 614-846-7193 • russell.j.fish@ampf.com ameripriseadvisors.com/team/sandstone-financial-group Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Ameriprise Financial Services, Inc., Member FINRA and SIPC.
“What matter most is how you recover from setbacks.” — Five Star award winner
Wealth Manager Award Winner
Award winners are listed by primary service and then alphabetically by last name. Business Planning Scott Armstrong ∙ Signature Financial Group
Financial Planning Aaron Armstrong ∙ Budros Ruhlin & Roe Page 3 Daniel Betzel ∙ Betzel Wealth Advisors Sean Buckley ∙ Buckley Financial Planning Joel K. Chaney II ∙ Chaney Wealth Management Daniel Due ∙ Budros Ruhlin & Roe Page 3
Jason Farris ∙ Waller Financial Planning Group Page 5
Richard Pierce ∙ Ameriprise Financial Services, Inc. Page 7
Thomas Wyatt ∙ Lifetime Financial Growth Page 6
Russell Fish ∙ Sandstone Financial Group Page 9 Rodney Friedman ∙ Wells Fargo Financial Network Milt Fullen ∙ Fullen Financial Group, Inc. Page 2
Javier Piquero ∙ Ameriprise Financial Services, Inc. Page 7
Investments
Katherine Kincaid ∙ Waller Financial Planning Group Page 5 John McHugh ∙ Budros Ruhlin & Roe Page 3
Jason Eliason ∙ Waller Financial Planning Group Page 5
Christopher Olsgard ∙ Waller Financial Planning Group Page 5
Andrea Ellis ∙ Budros Ruhlin & Roe Page 3
Shaun Patterson ∙ Ameriprise Financial Services, Inc. Page 8
David Alspach ∙ Wells Fargo Financial Network Geoffrey Biehn ∙ Trinity Financial Advisors Page 4
Susan Robenalt ∙ Stratos Wealth Partners Page 8 Chris Rohan ∙ Lifetime Financial Growth Page 6
Marilyn Carter ∙ Carter Capital Management Bruce Dye ∙ Wells Fargo Advisors Jessica Lee ∙ Budros Ruhlin & Roe Page 3
John Schatz ∙ Lincoln Financial Advisors Page 8 John Schuman ∙ Budros Ruhlin & Roe Page 3 Amy Weldele ∙ Budros Ruhlin & Roe Page 3
Margaret McLurg ∙ Ameriprise Financial Services, Inc. Page 8 Gregory Munster ∙ Wells Fargo Financial Network Daniel Roe ∙ Budros Ruhlin & Roe Page 3
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) 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.
“Have a process for managing money that
is not based on opinions, attitudes or emotions.” — Five Star award winner
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal 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. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. 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 client’s 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 this publication. 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. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 828 Columbus wealth managers were considered for the award; 71 (9 percent of candidates) were named 2017 Five Star Wealth Managers.
OCTOBER 2017
COLUMBUS MONTHLY
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