2014 Seattle Five Star Wealth Managers

iSPECIAL ADVERTISING SECTION

2014 Five Star Wealth Managers --

PrroPfrofeossfessiosnsionalnal 2014 Seattle

Sta tar PrFWPivereaolStfhteaMrfaensasgieorssiona Findingawealthmanagerwhosuitsyourneedscanbe a daunting task. In fact, many consumers have a hard S r o s time figuring out where to even begin.

high retention rates? One who has undergone a thorough complaint and regulatory review? One who has tenure in the industry?

e ta Pr fe io Sometimes, a few simple questions can set one off on the Seattle magazine and Five Star Professional partnered to

right path. Asking a wealth manager what makes find wealth managers who satisfy 10 objective eligibility

working with him or her a unique experience can help and evaluation criteria. Among many distinguishing

s you understand how they work and if their style meshes attributes, the average one-year client retention rate for

with your own. Further, asking a financial advisor to this year's award winners is more than 96 percent.

v S r o s talk about any specialties they

might have can help uncover

e ta Pr fe skills you might find useful.

Don't listen to other people. Investigate

Ultimately, how do you find an experienced wealth manager

for yourself. Be wary of advisers who say

iv S r o s who you feel comfortable

working with? One who has

they never had a down year."

F e ta Pr fe --FiveStarWealthManager

AAWSeAleRcDtiv S r ro Although this list is a useful tool for anyone looking for help in managing their financial world F e a or implementing aspects of their financial

t P strategies, it should not be considered exhaustive. Undoubtedly, there are ? iv S r o many excellent wealth managers who, for one reason or another, are not on

this year's list.

r In order to consider a broad population of high-quality wealth managers, F e ta P award candidates are identified by one of three sources: firm nomination,

peer nomination or pre-qualification based on industry standing. Selfnominations are not accepted. Seattle award candidates were identified

? iv S r using internal and external research data. F F e aS ? ? iv St ar1

iSPECIAL ADVERTISING SECTION

2014 Five Star Wealth Managers --

ProDOFeftAeWrAmRiDfneWatIiNsoNnsERS sion nal Award candidates who satisfied 10 objective eligibility and evaluation criteria were Pro fes io l named2014FiveStarWealthManagers.

Eligibility Criteria ? Required

a 1. Credentialed as an investment advisory representative or a registered investment advisor.

s n 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years.

r o s 3. Favorable regulatory and complaint history review. ta Pr fe io a 4. Fulfilled their firm review based on internal firm standards.

5. Accepting new clients.

s n Evaluation Criteria - Considered S r o s 6. One-year client retention rate.

ta Pr fe io 7.Five-yearclientretentionrate.

8. Non-institutional discretionary and/or non-discretionary client assets administered.

s 9. Number of client households served.

10. Education and professional designations.

e S DReISsCeaLOrtcShaURrES Pro fes io ?Wealth managers do not pay a fee to be s considered or placed on the final list of Five Star

Wealth Managers.

v S r o s ? 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 e ta Pr fe managetheirclients'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 Seattle magazine. iv S r o s ? 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 F e ta Pr fe 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 . iv S r o ? 2,649 award candidates in the Seattle area were considered for the Five Star Wealth Manager award. 424 (approximately 17 percent of the award candidates) were named r 2014 Five Star Wealth Managers.

Insights from Five Star Wealth Managers

Wishful thinking is not planning. If you plan for the worst, you will never be unpleasantly surprised."

Clients don't care how much you know until they know how much you care."

Only invest in something that you understand."

What matters most is how you recover from setbacks."

F e ta P RegulatoryReview

? iv S r o As defined by Five Star Professional, the wealth manager has not:

? Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine.

r ? 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.

F e a ? Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority.

t P ? 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

? iv S r abovecriteria:

? 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

F

criteria listed above.

F e a S

? Five Star Professional promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager.

t ?

? 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.

? iv S ar 2

For more information on the program, go to awards/cpa_epa_wm_program.php.

iSPECIAL ADVERTISING SECTION Prof fess ion l Award winners listed by primary services and listed alphabetically by last name.

2014 Five Star Wealth Managers --

a Business Planning s Perry Smith Perry L. Smith Consulting n Page 31 Pro fes io l EstatePlanning a Dan Wiersma Harbor Wealth Management s Financial Planning n Robert D. Abrams Quality Financial Services r o s Group

Peter Craig Carlo First Command Financial Services

James R. Carney Morgan Stanley Wealth Management

John Carney ICON Consulting

Todd Carter Trutina Financial

Lynn Marie Chambers Trutina Financial

Gavin Chinn Verity Credit Union

Kevin Fitzwilson Coldstream

Ryan Fleming Pacific Capital Resource Group Page 8 & 9

Steven Alan Fortescue Fortescue Financial Services

Derek Foster Sound Credit Union/CUSO Financial Services

Kyle Fukuchi Pacific Capital Resource Group Page 8 & 9

ta Pr fe io a SherrylRaeAdairThriventAssetManagement

Kevin M. Clouse Morgan Stanley

James Furrow Senior Financial Advisors

Raymond Leighton Adams Capital

s n Enhancement Group S r o s Mike Alaghemand U.S. Bancorp Investments

ta Pr fe io Page10&11

Deborah G. Clyne Oishi Ameriprise Financial Services, Inc.

Alexander Collins Pacific Capital Resource Group Page 8 & 9

Gary Furukawa Freestone Capital Management Maris Galins MG Financial Hans Gasser Morgan Stanley

Amy Allen Morgan Stanley

s Gina P. Anderson Ameriprise Financial Services, Inc.

S r o s Mark Anderson Tradewinds Capital e ta Pr fe io Management

Ira Armad U.S. Bancorp Investments

s Page 10 & 11

Andrew D. Baker MetLife

v S r o s James R. Beatty Sound Consulting Services r Page 29 e ta P fe MaryBenedictMerrillLynch

James S. Bennett Ameriprise Financial Services,

iv S r o s Inc.

Margaret Benson Morgan Stanley

F e ta Pr fe BradleyBergerCornerstoneFinancialStrategies Douglas Berger Morgan Stanley iv S r o Arthur Best LPL Financial Page 29 r Alan Blinn AGP Wealth Advisors/Ameriprise Financial Services, Inc. F e ta P James Bocinsky MassMutual Financial Group Seattle Page

Edward Anthony Conti Ameriprise Financial Services, Inc.

William Bryan Cook VALIC Financial Advisors

Donald Wayne Coplin Edgecombe & Coplin Wealth Strategies

Corey Cox Thrivent Financial

George Cox Morgan Stanley

Roberta Creim U.S. Bancorp Investments Page 10 & 11

Kathleen Cummins Morgan Stanley

David Davis MassMutual Financial Group Page 17

Heidi Davis Columbia Financial Planning

Robert G. Davis Ameriprise Financial Services, Inc. Page 27

Mark Dennie Ameriprise Financial Services, Inc.

Darrell Douglas Ameriprise Financial Services, Inc.

Thomas William Drouin Ameriprise Financial Services, Inc.

Benjaim Duenwald Merrill Lynch

Tommaso Genzale MetLife

Kristofer Gray Integrity Financial Corporation

Susan Grosshans U.S. Bancorp Investments Page 10 & 11

Laurel K. Hair Ameriprise Financial Services, Inc. Page 25

Melissa Haley TIAA-CREF

Uriah V. Halpin Ameriprise Financial Services, Inc.

Colby Hanover Morgan Stanley

Eldon R. Harsin Harsin Wealth Management

Kenneth Hasselbalch Morgan Stanley

Joseph Thomas Hebert trueNorth Financial Services

Matthew Hersch Morgan Stanley

Steven Hoglund PATH Wealth Management

Natalie Holm The CAPROCK Group

George Hook George W. Hook III, Financial Services

Aimee Huff ICON Consulting

? iv S r o JesseBondBondFinancial

Ray Eads Wealth Management NW

Albert Israel MML Investors Services

r Ryan Boone Morgan Stanley Wealth Management

Matt Englizian Laird Norton Wealth Management Page

Jacqueline Maria Jacobsen Morgan Stanley Wealth Management

F e ta P Clinton Boxman Morgan Stanley Page 30

Michael John Ernst Morgan Stanley

Daniel K. Jiyamapa Ameriprise Financial Services, Inc.

Gigi Brannan Ameriprise Financial Services, Inc. Dallas Evans Evans Capital Management

? iv S r Associates

Harry Johnson Ameriprise Financial Services,

Claudina Campbell Paracle Advisors

Inc.

Thomas Faley Ameriprise Financial Services,

F

F e a Michael Colin Campbell Pacific Capital

Inc.

Roger Johnson Morgan Stanley

S

Resource Group Page 8 & 9

? iv St ar SamuelCappsThriventFinancial

Lorelle Kaye Farber Pacific Capital Resource Lori Kaufman Kaufman Kampe Advisors

?

Group Page 8, 9 & 30

3

David Keller Morgan Stanley

iSPECIAL ADVERTISING SECTION Prof fess ion l Award winners listed by primary services and listed alphabetically by last name.

2014 Five Star Wealth Managers --

a Todd Kelly Morgan Stanley

Staci Mapes First Command Financial Services Jeffrey Pearl Ameriprise Financial Services, Inc.

Christopher Kimball Christopher Kimball

s n Financial Services Pro fes io l TimothyRossKimmelPaulR.RiedFinancial

Group

a Steven M. Knudsen Morgan Stanley s n Paul Michael Koenig Koenig Financial Group r o s Robert Kovich Ameriprise Financial Services, ta Pr fe io Inc. a Darron L. Kuehn Pacific Crest Financial

Advisors

Lee S. Martin TRUEretirement Page 31

Sam Martin Dental Wealth Advisors

Thomas Martin Morgan Stanley Wealth Management Page 31

Bryan Edward Mazza Mazza Financial Group

Timothy McFall U.S. Capital Strategies Page 18

Matt McKellar ICON Consulting

Brian McLaren Clear Point Financial

Lance E. Peters Pacific Capital Resource Group Page 8 & 9

Mark Peterson Thrivent Financial

Jack Pietra Sound Investment Services

Darlene Poch MetLife Financial Planning Division

Joshua Post Thrivent Financial

Paul R. Pradel Pradel Financial Group

Brent M. Price Albers & Company

s n Daniel Kwon Cornerstone Advisors

Shaun McMahan McMahan Asset Management Bim Prince Morgan Stanley Page 31

S r o s Tait Lane Triad Financial Strategies Page 30 ta Pr fe io MelissaLarsonPacificCapital Page8&9 s Heather Leach Leach and Associates/Ameriprise

Financial Services, Inc.

S r o s Kory Leadon Brighton Jones e ta Pr fe io GregoryLeClairMorganStanley

Jason Ledesma Ameriprise Financial

s Services, Inc. Page 27 v S r o s AlexanderLeeAuxanoAdvisors

Donald Kwong Lee Ameriprise Financial

e ta Pr fe Services,Inc.

Joshua Junghun Lee U & T Capital Management Page 28

iv S r o s Vincent Lee Coldstream Capital Management F e ta Pr fe AaronLelandEagleStrategies

Robert McMahon Sant McMahon

Sean McWilliams Ameriprise Financial Services, Inc.

Zachary Meissner Pacific Capital Resource Group Page 8 & 9

David Metz Ameriprise Financial Services, Inc.

Michael Miller Capital Planning Corporation

Patrick W. Miller First Command Financial Services

Wain Miller Ameriprise Financial Services, Inc. Page 27

Grant Monson Pacific Capital Resource Group Page 8 & 9

David M. Moretsky ICON Consulting

Howard Alexander Morin Conover Capital Management Page 14

Gregg M. Quinn Ameriprise Financial Services, Inc.

James Gregory Rambaldini Oppenheimer & Company

Seth M. Rapkin Morgan Stanley Wealth Management

Scott Rethke Ameriprise Financial Services, Inc.

Scott Rhodes Kutscher Rhodes & Benner

James Richards The Smith/Richards Group

John Frederick Ritezel MetLife Page 31

Andrew W. Rodgers Cox Financial

Marvin Romsland Thrivent Financial

Lance Rummel Morgan Stanley

Gary Russell Conover Capital Management Page 14

Wayne Lee Lew Sagemark Consulting

Patrick Muldary PFS Investments

Steven Arthur Sant Sant McMahon

Page 29

Jeffrey Michael Mushen Ameriprise Financial

Jay Schwartz Stonebridge Capital Management

iv S r o CharlesLewisLPLFinancial

Services, Inc.

Ryan Scott The Principal Financial Group

r Curtis A. Lightle NYLife Securities

Kirk Neamen Ameriprise Financial Services, Inc. Mark Sears U.S. Bancorp Investments

F e a Scott Livingston 5 Point Financial

Gregory Nelson Shelgren Financial Group

Scott Sheffield Sovereign Wealth Advisors

t P Brian Locke LPL Financial

Randy Ng Ameriprise Financial Services, Inc.

Paul Shriber Oppenheimer & Company

? iv S r o BrianJ.LockettComprehensiveWealth r Management

Wesley Niblack First Command Financial Services Page 31

Andrea L. Singleton Ameriprise Financial Services, Inc.

F e a Jane Loeb U.S. Bancorp Page 10 & 11

Donna Nichols U.S. Bancorp Page 10 & 11

Todd Smith Morgan Stanley

t P Devin Loughlin MetLife

Todd Nichols U.S. Bancorp Investments

Page 10 & 11

Joseph Paul Smith, Jr. AXA Advisors

David J. Lund Thrivent Financial

? iv S r KarinNilssonLPLFinancial

Peter Stankovich TIAA-CREF

Robert Maas Ameriprise Financial Services, Inc.

F

F e a S

Alissa Magnuson Morgan Stanley

t ?

Gary Francis Magnuson Morgan Stanley

Kathleen North Thrivent Financial Karen O'Brien trueNorth Financial Services

David E. Steele Morgan Stanley

Kevin Stokesbary MassMutual Financial Group Seattle Page 17

4

Mark K. Oliver Oliver Capital Management

? iv S ar RobertMainMorganStanley

Page 19

Vivienne Strickler KMS Financial Services

iSPECIAL ADVERTISING SECTION Prof fess ion l Award winners listed by primary services and listed alphabetically by last name.

2014 Five Star Wealth Managers --

a Gerard Suarez AMS Financial Group

Kelly Elizabeth Sweet Laird Norton Wealth

s n Management Page 28 Pro fes io l WilliamSydorTheHouseholderGroup a Peter J. Taafe Ameriprise Financial Services, Inc.

Adriel Tam Viridian Investments

s n Jennifer Theissing Ameriprise Financial Services, r o s Inc. ta Pr fe io a MarshallThomasTallusCapitalManagement

Page 24

s n Daver Tiryakioglu Merrill Lynch S r o s DwightVanVleetThrivent

ta Pr fe io PoonumVasishthMorganStanley

Rommel Ver MetLife Securities

Insurance

Bruce Brennen New York Life Shane D. Dir One Strategic Capital Rollin Radwick New York Life

Investments

Brian Richard Acarregui Morgan Stanley A. Michael Adams Adams Financial Concepts Paul Adams Sound Financial Group Ezra John Altaras Wells Fargo Advisors, LLC

Page 29 Alejandro Aquino Morgan Stanley David Aramaki Ameriprise Financial Services,

Inc.

Matthew James Bridge Morgan Stanley

Jesse Mathew Broel Jacobs | Broel Asset Management

Teresa Michele Brokaw O'Neal & Brokaw Private Retirement Group

Christopher Browning McAdams Wright Ragen

Bruce Brundige LPL Financial

Ken Butler Verity Credit Union/CUSO Financial Services

James Kevin Callaghan Badgley Phelps Investment Managers Page 13

Paul Capeloto Wells Fargo Advisors, LLC

Mitzi Carletti Badgley Phelps Investment Managers Page 13

Robert Carter Freestone Capital Management

s William B. Verrill Potomac Investments S r o s Heidi Eva Walters Ameriprise Financial Services, e ta Pr fe io Inc.

Jeffrey Cashman Cashman Consulting & Investments

Joe Cervantes Coldstream

Kurt Wanner LPL Financial

s John Warnick Ameriprise Financial Services, Inc.

v S r o s Eric Warren U.S. Bancorp Page 10 & 11 e ta Pr fe LeiWarrenU.S.BancorpInvestments

Page 10 & 11

Success requires patience, discipline

and diligence.

John B. Champion Morgan Stanley Yong Seok Chang U & T Capital Management Ralph Chiocco Elliott Cove Capital Management Terry R. Cole Senior Financial Advisors Donald Creech Investor Resources

Steve Weaver Weaver Financial

iv S r o s MatthewScottWeberThriventFinancial

-- Five Star award winner

Derek Crump Kibble & Prentice Cheryl Curran Merriman

F e ta Pr fe ShawnWhatleyTallusCapital Page24

Diane Daggatt McAdams Wright Ragen

Joshua Whelan Pacific Capital Resource

Stephanie Dallas Morgan Stanley

Group Page 8 & 9

iv S r o Brian Whitaker Laird Norton Wealth Management Page 28

Jeffrey Atkin Kunath Karren Rinne & Atkin Per Bakken Morgan Stanley Wealth

Timothy F. Devlin Wells Fargo Advisors, LLC Thomas Donaghy Wells Fargo Advisors, LLC

r Alexander Williamson Pacific Crest Financial

Management

Susan Donnan Morgan Stanley

F e a Advisors

Tyler Bartlett Merriman

Shawn Donnelly Ramsey & Associates

t P April Wilson Pacific Capital Resource Group ? iv S r o Page8&9

Daniel Becraft Morgan Stanley

Bruce Edwards LPL Financial Page 30

Deanna Wong Ameriprise Financial Services,

Dean Bennion Kimball Creek Partners

Richard Egan Cadence Wealth Management

r Inc.

Mary Black Wells Fargo Advisors, LLC

Douglas Edward Eickerman Kairos Capital

F e a David Andrew Woosley Capitol Hill Wealth

Roger Boberg Morgan Stanley

Management

t P Management/Ameriprise Financial Services, Inc. Michael Boone MWBoone & Associates

Andrew Erisman Freestone Capital Management

? iv S r JoshYeyniWealth-Builders

Tama Borriello Wells Fargo Advisors, LLC

Brian K. Evans BondStreet Wealth Management

Gus Zefkeles MassMutual Financial Group

Seattle Page 17

Deidre Lynn Bowman Bowman Investment

Steve Farley LPL Financial

F

F e a Anne Marie Zvirblis Ameriprise Financial t Services, Inc.

Group Page 29 Dean Braun Morgan Stanley Private Wealth

James Feldmann KMS Financial Services Page 30

S ?

Management

5

? iv S ar David Allan Feller Wells Fargo Advisors, LLC

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