Five Star 2012 Kansas city Wealth Managers
Special Advertising Section
2012 Five Star Wealth Managers
ar Ptaror fPerofFW2e0i1sver2esaoKailnfStosheatsasMCrsityaionangsaeilrosnal Inaconsumerstudyaboutdynamicsbetweenwealthmanags ers and their clients, Five Star Professional recently polled S P fe n wealth managers and consumers about communications. Both
groups said that connecting three to four times a year is the right communications strategy, but expectations are not
e r o io alignedinallareas: ? 29 percent of consumers want to be contacted by their
v ta r s wealth manager whenever events require an update; only 7 percent of wealth managers say they contact clients based s on the impact of events. ? 63 percent of consumers say they receive the right amount S P fe of communication from their wealth manager. From research conducted by Five Star Professional, April 2011.
advisors, tax advisors and estate planning attorneys.
How do you find a wealth manager with experience, who has a good base of clients with high retention rates, and who has undergone a regulatory and complaint review? And when you find them, are they accepting new clients?
KC Magazine, KC Business and Five Star Professional partnered to find wealth managers who satisfy 10 objective eligibility and evaluation criteria that are associated with wealth managers who provide quality services to their clients. Among many distinguishing attributes the average one-year client retention rate for this year's award winners is more than 93 percent.
Wealth managers, broadly defined, are those indi-
e r o viduals who help you manage your financial world
and/or implement aspects of your financial strate-
iv ta r s gies. Common examples of wealth managers are fiF S P fe nancial advisors, financial planners, investment
Don't listen to other people. Investigate for yourself. Be wary of advisers who say they never had a down year."
-- Five Star Wealth Manager
A Select e r o The resulting list of 2012 Five Star Wealth Managers is a select group, representing less than 3 percent of the wealth managers in the Kansas City area.(1)
? Award iv ta r 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 F S P wealth managers who, for one reason or another, are not on this year's list.
?PNormocineastison ive tar r To be considered for the Five Star Wealth Manager award, a wealth manager must have been identified through research conducted with peers and firms. Five Star Professional relied on internal and external research data, including a survey to more than 2,800 registered financial serF S P vices professionals and all identified financial service companies in the area that are registered with FINRA or the SEC. Recipients of the survey were asked to nominate wealth managers they felt were worthy of consideration for the Five Star Wealth Manager award (self-nominations are not accepted).
? ive tar FS1--FiveStarawardinformation:
Special Advertising Section
ODfertAeworamrfidneWatiinonners ssio al Nominated wealth managers who satisfied 10 objective eligibility and evaluation criteria that are P fe n associated with wealth managers who provide quality services were named 2012 Five Star Wealth
Managers.(2)
2012 Five Star Wealth Managers
r o io EligibilityCriteria?Required(3)
l 1. Credentialed as an investment advisory representative (IAR), a FINRA-registered representa-
2012
tive, a CPA or a licensed attorney.
a r s a 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years.
s 3. Favorable regulatory and complaint history review.(4)
P fe n 4. Fulfilled their firm review based on internal firm standards.
5. Accepting new clients.
r o io Evaluation Criteria ? Considered(3)
6. One-year client retention rate (the average one-year client retention rate of this year's award winners is more than 93 percent).
The Five Star award goes to less than 7 percent of wealth managers in the area.
ta r s 7.Five-yearclientretentionrate.
s 8. Non-institutional discretionary and/or non-discretionary client assets administered (this year's S P fe n award winners administer an average of $85 million in client assets).
9. Number of client households served (on average, this year's award winners serve 226 households).
Insights from Five Star Wealth Managers
e Research r o io 10.Educationandprofessionaldesignations.
Wishful thinking is not
planning. If you plan
v Disclosurteas r s ? Wealth Managers do not pay a fee to be considered or s placed on the final list of Five Star Wealth Managers.
? The Five Star award is not indicative of the wealth manager's future performance.
for the worst, you will never be unpleasantly surprised."
S P fe ? 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 con-
e r strued as an endorsement of the wealth manager by Five Star Professional, KC Magazine or o KC Business.
? Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future
iv ta r s investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future.
Clients don't care how much you know until they know how much you care."
F S P fe ? 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: .
? (1) 676 wealth managers in the Kansas City area were nominated for the Five Star Wealth Man-
e r o ager award. 200 (approximately 30 percent of those nominated) were named 2012 Five Star
Wealth Managers. The 200 award winners represent less than 3 percent of the total wealth man-
? iv ta r agersinthearea.
Only invest in something that you understand."
(2) Wealth managers were required to certify that any information they provided was accurate. (3) Criteria 4, 8 and 9 do not apply to attorneys or CPAs. (4) As defined by Five Star Professional, the wealth manager has not:
F S P ? 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.
e r ? Filed for personal bankruptcy within the past 10 years.
? Been convicted of a felony.
What matters most is how you recover from setbacks."
Five Star Professional conducts a regulatory review of each nominated wealth manager using the Investment Adviser Public Disclosure
? iv ta r (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.
F S P ? 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. 18,000 households in the Kansas City area were contacted.
The Five Star Wealth Manager selection criteria was updated for the 2012 award year. 2005 ? 2011 Five Star Wealth Managers scored highest in overall satisfaction based on feedback from
e r clients, peers and industry experts. No more than 7 percent of wealth managers receive the award each year. The selection process for the 2005 ? 2011 award winners can be found at
2011/wealth_managers_research_overview.php.
? iv ta FS 2-- Five Star award information:
Special Advertising Section
rofe ssio al ListcompiledbyFiveStarProfessional.Awardwinnerslistedbyprimaryservices.
2012 Five Star Wealth Managers
P fe n Business Planning r o io RickAustinAustin&Associates l Allen W. Blair Stinson Morrison Hecker a r s a EstatePlanning
James Berger Berger Law Firm
P fes n JamesBettermanLathrop&Gage
Larry Bingham Seigfreid Bingham Levy Selzer
r o io &Gee
Scott Blakesley Spencer Fane Britt & Browne Richard English Stinson Morrison Hecker
ta r s JenniferFinchKrigelandKrigel s Debra Hallauer Hallauer Law Office S P fe n WilliamHammondTheElder&Disability
Law Firm
e r o io J.MichaelHaskinJ.MichaelHaskin Paul Himmelstein Van Osdol & Magruder H. Elvin Knight Spencer Fane Britt & Browne
v ta r s WilliamLoweUMBGlobalAsset s Management
Cindy McClannahan Seigfreid Bingham Levy
S P fe Selzer&Gee
Mark McKinzie Wallace Saunders Austin Brown & Enochs
Stephanie Newkirk Lathrop & Gage
e r o Carl Radom Ferree Bunn O'Grady & Rundberg
iv ta r s StephanieSmithStephanieM.Smith Chartered
F S P fe NathanSuttonSuttonLawOffice Richard Woods Kirkland Woods & Martinsen Kimberly Zellmer Zellmer Law Firm e r o Financial Planning
? iv ta r VestanaAhlenHerwigMcCaw&Associates/ Ameriprise Financial Services, Inc. F S P Mark Albright Ameriprise Financial Services, Inc. Gregory Allison Ameriprise Financial Services, Inc. e r Joseph Bartkoski, Jr. Bankers & Investors ? iv ta r TimothyBlakeCommunityAmericaCredit Union J. Caleb Bradley Ameriprise Financial F S P Services,Inc. S. Wesley Brock Merrill Lynch Max Bruce DM Bruce Associates e r Michael Brun Ameriprise Financial Services, Inc.
Heath Burch The Special Needs Planning Center
Robert Burks RBC Wealth Management
John Carey AXA Advisors
Thomas Cavaliere Ameriprise Financial Services, Inc.
James Claiborne Financial Partners Group
Adam Crews Ameriprise Financial Services, Inc.
Jacob Cummings Ameriprise Financial Services, Inc.
Bruce Derks Berthel Fisher & Company
Andrew Dibble Ameriprise Financial Services, Inc.
Timothy DiSette Trinity Planning Group
James Dussold Financial Advisory Service
Kenneth Eaton Stepp & Rothwell
Richard Enna R. J. Enna & Associates Financial Group
Gregory Finke Stewardship Capital
Jeffrey Gaeth Securities America
Paul Gershon Oppenheimer
Joseph Gravino Financial Solutions
Janice Greer Ameriprise Financial Services, Inc.
Amber Griffis Merrill Lynch
Stephanie Guerin The Planned Approach
Jim Guyot Lighthouse Financial Strategies Page 10
Greg Harvey Integrated Wealth Solutions Page 11
Christopher Heckadon Summit Pointe Financial Group Page 11
Kevin Hennessy Country Club Financial Services
Aaron Herwig Herwig McCaw & Associates/ Ameriprise Financial Services, Inc.
Scott Hipp Lifetime Financial Solutions
Richard Jenkins Midwestern Financial Group Page 8
Paul Kalicki John Hancock
Gary Krings Ameriprise Financial Services, Inc.
Christopher Kulesa RBC Wealth Management
Cory Lagerstrom Frontier Wealth Management Page 12
Thad Lincoln Retirement Concepts Group
Sharon Lockhart Raymond James Financial Services
Robert McCarthy Creative Planning Page 7 Jason McElwee Mariner Wealth Advisors Jon McGraw Buttonwood Financial Group Robert Meyer Ameriprise Financial Services,
Inc. Doug Nelson Doug Nelson Money Coach
Page 11 Jeffrey Nelson Sagemark Consulting Kathleen O'Dowd The Planned Approach David Pacer Trinity Planning Group Vincent Pastorino Buttonwood Financial
Group Jerry Perfect Gateway Wealth Management Alex Petrovic Petrovic Finanical Services James Powers Lincoln Financial Advisors Alan Rickert Centerpoint Advisory Services Howard Rothwell Stepp & Rothwell Mike Russell Ameriprise Financial Services,
Inc. Troy Rust AXA Advisors Page 12 Michael Searcy Searcy Financial Services Todd Shepherd Creative Planning Page 7 Timothy Shmidl Prism Financial Group Matthew Starkey KHC Wealth Management Kathy Stepp Stepp & Rothwell Brenna Stewart Creative Planning Page 7 Mitzi Swaffar MS Financial Resources Matthew Thompson Ameriprise Financial
Services, Inc. Darrell Tierney Windward Private Wealth
Management Jeffrey Tudas Summit Wealth Advisors Kelly Voitenko The Planned Approach Eli Ward Ameriprise Financial Services,
Inc. Page 10 Catherine Wear Ameriprise Financial
Services, Inc. Richard Witherspoon Lincoln Investment Richard Woody The Woody Financial Group Michael Wren Ameriprise Financial Services,
Inc.
Investments
Claude Aldridge Aldridge Cherra & Aldridge Financial Group
Dennis Bacon Wells Fargo Advisors, LLC
? iv ta FS 3-- Five Star award information:
Special Advertising Section
rofe ssio al ListcompiledbyFiveStarProfessional.Awardwinnerslistedbyprimaryservices.
2012 Five Star Wealth Managers
P fe n Pierre Badertscher Security Financial Advisors Page 10
James Horlacher First Affirmative Financial Network
Randall Rhyner Smith Moore & Company Page 9
r o io l JonBakalarSmithMoore&Company Page 9
a r s a Stuart Berkley Financial Counselors Michael Bonomo Merrill Lynch P fes n JahnnieBrakeEdwardJones Gary Bussing The Mutual Fund Store Page 12 r o io TimCarlinEdwardJones Judith Case WealthSprings Page 12 ta r s DanielCherraVWealthManagement s Scott Connors V Wealth Management S P fe n MarkCookAmeripriseFinancialServices, Inc. e r o io CharlesCooperWellsFargoAdvisors,LLC Ethel Davis Paragon Capital Management
Brook Deaver Gateway Wealth Management
v ta r s DavidEnenbachEnenbach&Associates s Financial Consultants
Dwight Ensminger Wells Fargo Advisors, LLC
S P fe MarkEveansMeritagePortfolio Management Page 12
Michael Farris BMF Investments
e r Scott D. Ferguson Morgan Stanley Smith o Barney iv ta r s RobertFischgrundCBIZRetirementPlan
Services
F S P fe BrettFloodBlueValleyInvestmentServices Roy Fortner The Retirement Planning Group
Erica Gabrick Edward Jones
e r J.C. Ganote Bank of Lee's Summit o David Garrison Capital Investment Management ? iv ta r LynnGarrisonLegacyWealthPartners
Matt Gazaway VALIC Financial Advisors
F S P Matthew Gelsheimer Morgan Stanley Smith Barney
David Imhoff Cornerstone Wealth Advisors
Randall Johnson HighPointe Financial Group
Daniel Jurgensen Edward Jones
Brian Kaufman Prairie Capital Management
Michael Kijowski Peoples Bank
Thomas King King Financial Group Page 12
George Koepp Edward Jones
John Kornitzer Kornitzer Capital Management
Jeff Lashley Lashley Wealth Management
Steven Lofquist RBC Wealth Management
John Ludwig Morgan Stanley Smith Barney
Michael Lutz Legacy Financial Strategies
Paul Lutz HSMC Wealth Management
Frank Mall Equity Services
Peter Mallouk Creative Planning Page 7
Kelley Martin Martin Financial Group Page 8
Pete Martinez Insight Financial Services Page 5
Erica Massman Index Portfolio Solutions
Ray Matz Bankers & Investors
Michael McCaw Herwig McCaw & Associates/ Ameriprise Financial Services, Inc.
Ryan McQueary Morgan Stanley Smith Barney
Mike Miner Wells Fargo Advisors Financial Network, LLC
Tony Moeller Integrity Investment Advisors
Timothy Murphy Edward Jones
Andrew Muther Financial Counselors
Richard Myers Ameriprise Financial Services, Inc.
Jennifer Nicholson Nicholson Capital Management
Richard Romey ETF Portfolio Partners Molly Rothove Creative Planning Page 7 Jonathan Sarver RBC Wealth Management David Scott Sunrise Advisors Steven Seiler Wells Fargo Advisors, LLC Margo Shepard Wells Fargo Advisors, LLC
Page 9 Matthew Sibbing Edward Jones John Skinner Edward Jones Dianna L. Smith Morgan Stanley Smith
Barney Satu Stechschulte Financial Counselors Gerald Steffes Steffes Financial Frank Sterneck Sterneck Capital Management Frank Swyden Swyden Asset Management David Teasley Edward Jones Robert Thompson Morgan Stanley Smith
Barney Arthur Tichenor Tallgrass Advisors Michelle Trouve Danda Trouve Investment
Management Rocky Valentine Edward Jones David Vaughn The Mutual Fund Store Mark Vlasic McGladrey Page 12 Peter Vrooman RBC Wealth Management Chris Walden Heartland Capital Advisors Timothy Walla Walla Street Wealth
Management Carol Watts Edward Jones Ken Wells Walla Street Wealth Management Tom Wheeler Wells Fargo Advisors, LLC James Williams Creative Planning Page 7 Tom Wood Metcalf Bank Kurt Zlomke Edward Jones
Jared Gudenkauf Merrill Lynch
e r Randall Hallier Creative Planning
Ross Halsey Edward Jones
? iv ta r StephenHarrisonEdwardJones
George Harsh Cornerstone Financial Advisors
F S P Joe Hildebrand Lawing Financial
Craig Novorr Paragon Capital Management Brian Perott Financial Counselors Randal Pierson CommunityAmerica
Credit Union Page 12 Matthew Pomianek Edward Jones Mark Rabin Personal Financial Group
Taxation
Matthew Bellomo Davis & Bellomo
T. Teal Dakan BKD
John Taylor Taylor Accountancy Chartered Page 12
Bud Vick Cochran Head Vick & Company
Steve Hoover Wealth Partners
e r Certified Financial Planner Board of Standards Inc. owns the certification marks CFP?, CERTIFIED FINANCIAL PLANNERTM 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.
? iv ta FS 4-- Five Star award information:
2012 Five Star Wealth Managers
Special Advertising Section
vaerSiPtvareorSfPetaror fPetsarsorifoPesrsoifoensrsoailfoenssailons Lefttoright:Frontrow:JuliaMartinez,KellyStephenson,LisaMeyer F S P fe Back row: Three-year winner Greg Keal, two-year winner Pete Martinez, Larry Broxterman, Lorinda Gregg
You have our attention.
e r At Insight Financial Services, our investment strategy starts with you. o That's right. Before we talk about investment strategies, we sit down and talk about you and what you want your money to become. A second ? iv ta r home. An education for your children or grandchildren. A trip around the world. A comfortable retirement.
We then place your dreams beside the realities of your assets and expenses, your risk tolerance and tax situation, and evaluate them on a practical timeline.
F S P Only then, once we know who you are, where you are and where you want to go, do we create and implement your investment strategies.
Because investing is a process not a product. Your investments deserve another look.
e r You don't invest or live in a vacuum. Your investments inhabit a universe of shifting markets, short-term goals and long-term dreams. At
Insight Financial, we look at the big picture.
? Fiv e Sta r Pr Advisory services offered through IFS Advisors, LLC (IFSA), a Registered Investment Advisor. IFSA and Insight Financial Services are separate and unrelated companies. ? iv ta FS 5-- Five Star award information:
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