2015 houston five star wealth managers f sta pofessiona ... · five star wealth manager wealth...

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texasmonthly.com WMH-1www.fivestarprofessional.com

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 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?

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. 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. Houston award candidates were identified using internal and external research data.

AwardA Select

• 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.

• 2,289 award candidates in the Houston region were considered for the Five Star Wealth Manager award. 408 (approximately 18 percent of the award candidates)were named 2015 Five Star Wealth Managers.

DisclosuresResearch

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 orrevoked, 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 consumercomplaint process.

• Individually contributed to a financial settlement of a customer complaint filed witha 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 mustattest 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.

Five Star Wealth Managers

Evaluation Criteria - Considered

6. One-year client retention rate.

7. Five-year client retention rate.

8. Non-institutional discretionary and/or non-discretionary client assetsadministered.

9. Number of client households served.

10. Education and professional designations.

Eligibility Criteria – Required

1. Credentialed as an investment advisory representative or a registeredinvestment 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.

Award candidates who satisfied 10 objective eligibility and evaluation criteria were named 2015 Five Star Wealth Managers.

For more information on the program, go to www.fivestarprofessional.com/wm_program.

2015 Houston

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www.fivestarprofessional.comWMH-2 texasmonthly.com

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. 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; feedback may not be representative of any one client’s experience; 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. 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. 2,289 Houston wealth managers were considered for the award; 408 (18 percent of candidates) were named 2015 Five Star Wealth Managers.

Five Star Wealth Manager

Wealth Management Since 1971

Phillip P. Hamman • Ryan L. Patterson

Founded in 1971, Linscomb & Williams has delivered wealth management services for more than 40 years to families across Texas and the Southeast United States. Today, our team of 40 committed professionals serves more than 1,000 high-net-worth and aspiring families. Our team consists of experienced professionals with strong expertise and credentials including CPAs, JDs, CFA® charterholders and CFP® professionals, among others.

Clients come to us for diff erent reasons. They may be approaching retirement, selling a business, inheriting wealth, planning for the next generation or they simply want help developing a better plan for their investments or company benefi ts. Many have a good CPA and attorney but are looking for a fi rm to serve as a quarterback and sounding board for their broader fi nancial picture. Regardless of the specifi c motivation, they desire a fi rm committed to the fi duciary model, free of product-selling confl icts.

Left to right: 2015 winner Phillip Hamman, Managing Director; 2013 – 2015 winner Ryan Patterson, Managing Director; 2012 winner J. Harold Williams, President, CEO; 2012 winner Carolyn Galfi one, Director; 2012 and 2014 winner Heidi Davis, Director

Phillip P. Hamman, CFA, CFP®Managing Director, Chairman – Wealth Management [email protected]

Ryan L. Patterson, CFA, CFP®Managing Director, Chief Investment [email protected]

1400 Post Oak Boulevard, Suite 1000 | Houston, TX 77056Phone: 713-840-1000 | Toll-free: 800-960-1200

www.linscomb-williams.com | [email protected]

©2015 CFA Institute. All Rights Reserved. Linscomb & Williams is not a CPA firm. As the Wealth Management subsidiary of Cadence Bank, N.A., investment securities utilized in managing client portfolios are not FDIC-insured and may lose value.

Managing Director, CFA, CFP® • Managing Director, CFA, CFP®

THREE-YEAR WINNER

Why Do People Come to Linscomb & Williams?

Many reasons, but they boil down to this. People need to confi rm where they are now, fi nancially. They may have an idea where they are trying to reach, but may need help defi ning it more precisely. What they need most is help with the “how” — “How are we going to get there?” They want to get that help from a team of people who can listen and understand them but are not motivated to sell them something.

What Is Something People May Not Know About You?

While in college, I worked on an elk ranch — building fences, laying sprinkler pipe and tagging elk. That convinced me I did not want to be a rancher, but it was a unique experience in a diff erent line of work.

Can Families Really Grow Wealth Today as They Did in the Past?

Clearly, many things are diff erent today than in the past — super low interest rates being one. Yes, wealth can be grown sensibly. Many of our clients have successfully accumulated wealth, and their biggest concern becomes not being blind-sided by the unexpected. Naturally, they expect our team to grow their wealth, but just as important, they expect us to draw on our 40-plus years of experience to preserve and enhance their after-tax wealth position.


I met my wife, Vanessa, when I was 14 years old. Between dating and marriage, we’ve now been together for 20 years!

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Wealth Management Since 1971

Phillip P. Hamman • Ryan L. Patterson

Founded in 1971, Linscomb & Williams has delivered wealth management services for more than 40 years to families across Texas and the Southeast United States. Today, our team of 40 committed professionals serves more than 1,000 high-net-worth and aspiring families. Our team consists of experienced professionals with strong expertise and credentials including CPAs, JDs, CFA® charterholders and CFP® professionals, among others.

Clients come to us for diff erent reasons. They may be approaching retirement, selling a business, inheriting wealth, planning for the next generation or they simply want help developing a better plan for their investments or company benefi ts. Many have a good CPA and attorney but are looking for a fi rm to serve as a quarterback and sounding board for their broader fi nancial picture. Regardless of the specifi c motivation, they desire a fi rm committed to the fi duciary model, free of product-selling confl icts.

Left to right: 2015 winner Phillip Hamman, Managing Director; 2013 – 2015 winner Ryan Patterson, Managing Director; 2012 winner J. Harold Williams, President, CEO; 2012 winner Carolyn Galfi one, Director; 2012 and 2014 winner Heidi Davis, Director

Phillip P. Hamman, CFA, CFP®Managing Director, Chairman – Wealth Management [email protected]

Ryan L. Patterson, CFA, CFP®Managing Director, Chief Investment [email protected]


www.linscomb-williams.com | [email protected]

©2015 CFA Institute. All Rights Reserved. Linscomb & Williams is not a CPA firm. As the Wealth Management subsidiary of Cadence Bank, N.A., investment securities utilized in managing client portfolios are not FDIC-insured and may lose value.

Managing Director, CFA, CFP® • Managing Director, CFA, CFP®

THREE-YEAR WINNER

Why Do People Come to Linscomb & Williams?

Many reasons, but they boil down to this. People need to confi rm where they are now, fi nancially. They may have an idea where they are trying to reach, but may need help defi ning it more precisely. What they need most is help with the “how” — “How are we going to get there?” They want to get that help from a team of people who can listen and understand them but are not motivated to sell them something.


While in college, I worked on an elk ranch — building fences, laying sprinkler pipe and tagging elk. That convinced me I did not want to be a rancher, but it was a unique experience in a diff erent line of work.

Can Families Really Grow Wealth Today as They Did in the Past?

Clearly, many things are diff erent today than in the past — super low interest rates being one. Yes, wealth can be grown sensibly. Many of our clients have successfully accumulated wealth, and their biggest concern becomes not being blind-sided by the unexpected. Naturally, they expect our team to grow their wealth, but just as important, they expect us to draw on our 40-plus years of experience to preserve and enhance their after-tax wealth position.


I met my wife, Vanessa, when I was 14 years old. Between dating and marriage, we’ve now been together for 20 years!

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Four-year winner Larry Harvey, Founder and CEO

At HFG Wealth Management, our approach is to serve as your fi nancial guide, helping to align your deepest beliefs, values and goals with your fi nancial resources. Using a life planning process, we create a fi nancial plan that refl ects your values. We accomplish this by applying our expertise, experience and resources to create a personalized, comprehensive fi nancial plan to prepare for your specifi c goals. Our approach goes beyond investment advice and incorporates all facets of our clients’ fi nancial lives, from tax and estate planning, risk management, retirement funding, charitable giving and beyond.

Our commitment to provide exceptional client service has propelled Larry Harvey to be awarded as a Five Star Wealth Manager for four consecutive years.

Two Hughes Landing1790 Hughes Landing, Suite 350 | The Woodlands, TX 77380

Phone: 832-585-0110www.hfgwm.com

• Experience true wealth management

• Align your fi nancial goals with your resources

• Gain personalized guidance through life’s fi nancial stages

• Plan for the things that matter most

HFG Wealth Management

Experienced Advice — Now More Than Ever.™

FOUR-YEAR WINNER

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Left to right: 2013 – 2014 winner Ronald W. (Ron) Johnson, Financial Advisor; Thomas L. Doggett, Jr., AAMS®, CRPC®, Financial Advisor; 2012 – 2015 winner Cathy M. Buchanan, CFP®, AAMS®, CRPC®, CEP®, Financial Advisor; 2015 winner Stephen C. (Chris) Tadlock, Financial Advisor

We specialize in providing professional knowledge, strategies and fi nancial information to help you pursue a successful life through an ongoing fi nancial planning relationship. We are committed to helping you navigate your fi nancial world, track your progress, adjust to changing conditions and keep you informed. We help our clients

manage multiple goals and handle complex fi nancial situations, and we can do the same for you. It all starts with a personalized conversation, where we’ll discuss your needs — covering essentials, ensuring lifestyle, preparing for the unexpected and leaving a legacy.

Buchanan & Associates, a financial advisory practice of Ameriprise Financial Services, Inc.3050 Post Oak Boulevard, Suite 1710 | Houston, TX 77056

Office: [email protected] | ameripriseadvisors.com/team/buchanan-associates

• Customized to your life and goals

• Strategies that make sense for you

• Tracked, updated and reviewed regularly

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.

Family Finances, Investments, Tax Planning Strategies, Small Business

Cathy M. Buchanan and Chris Tadlock

A Map to Your Future

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Left to right: Two-year winner Dan Bender; Suresh Raghavan; two-year winners Trey Brady and Mary Margolis

MBR Financial provides personalized, multigenerational planning and wealth management services for entrepreneurs, executives, retirees and their families.

Our robust planning and investment processes help us deliver the results our clients strive to achieve both for today and for well into the future.

2000 West Loop South, Suite 1510 | Houston, TX 77027Office: 832-667-8787 | Fax: 281-974-2108

[email protected] | mbrfinancial.com

• We blend personalized service with institutional-quality processes and safeguards

• We serve in a fi duciary capacity — putting our clients’ interests fi rst

• We’re passionate about our clients and our work

© 2015 MBR Financial. All rights reserved. MBR Financial is a Registered Investment Advisor.

MBR Financial

Plan. Nurture. Grow. From One Generation to the Next.

We deliver a full suite of services including lifetime and estate planning, business succession, wealth management and insurance to meet all your fi nancial needs.

TWO-YEAR WINNER

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Left to right: Kit Cothern, Personal Assistant; 2015 winner Christopher Moore; Laura Heath, Registered Personal Assistant

It is the goal of CNM Financial Group to understand what is important to every one of our clients and to provide them with a road map to a secure fi nancial future. Whether working with corporate executives, healthcare professionals or university professors, our focus is to provide objective, sound fi nancial guidance based on each client’s goals, objectives and personal needs. By getting to know you and developing a lasting relationship, we are able to provide a highly personalized level of service and enable you to achieve your fi nancial goals. Whether already retired or fast approaching retirement, we can create a customized plan to help ensure that your assets last throughout your lifetime. For many of our clients, this relationship

extends from generation to generation, advising not only you, but your family as well.

A tradition and standard of excellence, Mr. Moore is a sixth-generation Texan. He has more than 25 years of experience providing fi nancial advice to individuals and families throughout Texas. While Mr. Moore calls Texas home, he is FINRA-licensed in 11 states. He has built a team dedicated to providing you with the highest quality of service, helping you construct a plan and prepare for a successful retirement and legacy.

An Office of MetLife 3700 West Sam Houston Parkway South, Suite 400 | Houston, TX 77042

Phone: 713-963-4114 | [email protected]

• Strategic investment management• Personalized fi nancial analysis• Objective and independent advice

Metropolitan Life Insurance Company [MLIC], New York, NY 10166. Securities and investment advisory services offered by MetLife Securities, Inc. [MSI] [Member FINRA/SIPC], a registered investment adviser. MLIC and MSI are MetLife Companies. L0515424541[exp0516][TX].

CNM Financial Group

Christopher MooreFinancial Services Representative/Investment Advisor Representative

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2015 winner Tim Legamaro

Founded in 1997, we at Legamaro Financial Services Inc. seek to provide superior investment management expertise while maintaining top client service for all of our clients’ fi nancial needs. Tim Legamaro, who has over 30 years of fi nancial experience, along with his staff adhere to a policy of always doing what is right for the client above all else. Focusing on investment management, retirement planning and insurance, our goals are simple: Strive to build wealth

for our clients with their risk tolerance in mind while guiding them through the myriad of structures and markets in a manner that is simplistic and easy to understand. We deem to take away the worry for our clients so that they may pursue their life dreams without the constant concern of fi nancial decisions and further enabling them to live happier lives. Let us be your advisor today!

717 Everhart Road | Corpus Christi, TX 78411

Phone: 361-883-9333 | Fax: 888-882-1494

[email protected] | www.legamarofinancialservices.com

Registered Representative of INVEST Financial Corporation, member FINRA/SIPC. INVEST and its affiliated insurance agencies offer securities, advisory services, and certain insurance products and are not affiliated with Legamaro Financial Services, Inc.

Tim LegamaroCFS®, AIF®

Investments, Insurance and Retirement Planning

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Wehring Wealth Management was founded by Charlene E. Wehring, CPA more than 30 years ago with the goal of assisting individuals, families and business owners to pursue their fi nancial goals and feel confi dent in their future. While the fi rm has evolved over these past decades, our client commitment hasn’t changed. We always put the client fi rst, off ering personal care, trusted guidance and objective advice.We believe it is our personal involvement and concern for our clients’ well-being that sets us apart. We invite you to contact us today to learn more about how we can help you with your fi nancial or tax concerns.

105 South Mathews | Bellville, TX 77418 Fax: 979-865-5955 | Phone: 979-865-5959

[email protected] | www.wehringwealthmanagement.com

• Customized fi nancial planning*• Family risk management• Tax preparation and accounting

Three-year winner Charlene E. Wehring *Charlene E. Wehring, CPA. Securities offered through HD Vest Investment ServicesSM, Member SIPC. Advisory services offered through HD Vest Advisory ServicesSM. Wehring Wealth Management is not

a registered broker/dealer or independent investment advisory firm.

Going the Extra Mile With You

Charlene E. WehringCPA, Financial Advisor

THREE-YEAR WINNER

Houston, TX 77027Shelley: 713-599-1226 | Beth: 713-599-1220

[email protected]@equitablesolutions.com

www.fi nancialplanning4.com | www.equitablesolutions.com

Four Seasons Financial Planning, Inc.

Two Women Making a Difference for Their Clients

• Professional, personal, individual fi nancial planning and asset management for yourunique life

• Security, income, growth — plus our specialty, communication!

• When life changes, take a deep breath,then call us

Left to right: Four-year winner Shelley Hawkins, CFP® and President; 2015 winner Beth Dickson, CFP®, Certifi ed Divorce Financial Analyst®, Professional Mediator

Shelley Hawkins is president of Four Seasons Financial Planning. The fi rm’s clients are primarily divorced or widowed women who frequently need a balanced investment approach utilizing growth and income strategies — a challenge she meets with professionalism, skill, coaching and caring.Beth Dickson is president of Equitable Solutions, a fi rm that is redesigning divorce across Texas by helping clients and attorneys create divisions of marital assets that work for both parties. Ms. Dickson is an artful mediator with creative fi nancial skills, but it is her ability to defuse fear and anger and replace it with solutions and trust from both parties that set her and the fi rm apart.

Shelley HawkinsCFP®, President

FOUR-YEAR WINNER

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3355 West Alabama, Suite 180 Houston, TX 77098

Phone : 713-355-9833 Toll-free: 855-464-3869

[email protected]

Midtown Financial Group, LLC

Making a Positive Impact on as Many Lives as We Can

• Retirement income strategies• Asset protection planning• Estate and multigenerational planning• Long-term care planning• Special needs planning• Tax-effi cient strategies• Comprehensive fi nancial planning

Left to right: Rhonda Barclay, CRPC®; four-year winner Grace S. Yung, CFP®; Mary Cardenas;Liz Irvin, M.A., Client Service Specialist

With over 75 years of combined industry experience, our team of fi nancial advisors invests in lifelong relationships. Our objective is to help build and preserve a secure future for you and your loved ones by providing guidance throughout the diff erent stages of life. Open discussions and a good understanding of your goals, dreams and challenges will ensure your plan is continually working toward your aspirations.

Grace S. YungCFP®, Managing Director

Securities offered through LPL Financial, Member FINRA/SIPC.

FOUR-YEAR WINNER

1177 West Loop South, Suite 1310 Houston, TX 77027

Direct: 713-650-1995

[email protected] www.chiltoncapital.com

Tradition. Innovation. Results.

Investment services:• U.S. equity — growth and growth and income• REIT (Real Estate Investment Trusts)• U.S. tax-exempt and taxable fi xed income• Balanced accounts• Active asset allocation• Impact/ESG equity and fi xed income• Personalized trust• Portfolio evaluation/analysis and fi nancial

planningLeft to right: Three-year winner Christopher L. Knapp, Chief Executive Offi cer; 2015 winner Timothy J. Lootens, CFP®, Wealth Management Trust Offi cer

Chilton Capital Management LLC is a registered investment advisor (RIA) based in Houston, Texas founded in 1996. We are an equity and fi xed-income manager providing investment services to fi nancial institutions, corporate retirement plans and benefi t trusts, foundations, endowments, family offi ces and high-net-worth individuals. We are an independent, employee-owned organization of seasoned professionals with a shared passion for traditional methods of security analysis, transparency and accountability to our clients.

Chilton Capital Management

THREE-YEAR WINNER

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With more than 50 years of combined experience, Susan and Anne-Joëlle leverage resources to build strategies that meet the complex fi nancial needs and goals of their clients.

2200 Post Oak Boulevard | Houston, TX 77056Phone: 713-831-5525

www.bbvacompass.com

• Goal-based investment management• Customized solutions that align with your objectives• Trust services personalized for your legacy

Left to right: Four-year winner Susan Green, BBVA Compass Director of Portfolio Management; three-year winner Anne-Joëlle Viguier-Galley, M.S., CFA, Director of Portfolio Management – BBVA Wealth Solutions, Inc.

BBVA Compass is a trade name of Compass Bank, a member of the BBVA Group. Compass Bank, Member FDIC. Advisory services offered through BBVA Wealth Solutions Inc. a registered investment adviser and an affiliate of Compass Bank. Securities and Investments available through BBVA Compass Investment Solutions, a division of BBVA Securities Inc., an affiliate of Compass Bank and member of FINRA and SIPC. Securities and Investment Products: are NOT deposits, are NOT FDIC-insured, are NOT bank guaranteed, are NOT insured by any other Federal Government Agency and may LOSE value.

Susan Green and Anne-Joëlle Viguier-Galley

FOUR-YEAR WINNER

Arthur focuses on the needs of executives, business owners and physicians. He works to help clients fi nd eff ective investment, lending and insurance strategies.Arthur and his administrative assistant, Casey Calder, pride themselves on their professional service to their clients. This is the fourth consecutive year Arthur has received the Five Star Wealth Manager award, which recognizes outstanding professionals.Arthur is a native Houstonian. He and his wife Nancy of 35 years spend their free time in their philanthropic works in the community. Arthur enjoys golf in his spare time and occasional travel to exotic destinations.


[email protected]

Left to right: Casey Calder; 2012 – 2015 winner Arthur Brand

Raymond James Financial Services, Inc., member FINRA/SIPC. This award is bestowed by an independent third-party organization not affiliated with Raymond James.

LIFE WELL PLANNED.

Arthur William BrandSenior Financial Advisor, CRD 4909374

FOUR-YEAR WINNER

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5718 Westheimer Road, Suite 950 Houston, TX 77057

Phone: 713-735-9200F ax: 713-735-9229

[email protected] www.tristaradvisor.com

Investments and Planning for the Future

• Investment guidance• Financial planning• Personal service

Left to right: Two-year winner Thomas Payne and 2015 winner Jon Swanburg JD, CFP®

As investment advisor representatives, Thomas Payne and Jon Swanburg off er disciplined, objective and uniquely personal guidance for investors seeking long-term investment strategies tailored to their goals and fi nancial plan.

At Tri-Star Advisors, the focus has always been on taking a conservative approach to wealth management and building long-lasting client relationships.

Thomas Payne and Jon Swanburg

Thomas Payne, 4508298; Jon Swanburg, 5713713. Thomas Payne and Jon Swanburg are Registered Representatives offering securities through Calton & Associates, Inc. Member FINRA/SIPC, and Investment Advisor Representatives offering advisory services through Tri-Star Advisors, an SEC-registered investment adviser. Calton & Associates, Inc. and Tri-Star Advisors are separate entities.

TWO-YEAR WINNER

17450 El Camino RealHouston, TX 77058

Phone: 281-461-6200

[email protected]

Be Wise With Money and Live Generously

Together, we are making a positive diff erence in Texas by helping others:• 346,220 volunteer hours• $6,230,681 raised from action teams• $2,089,261 raised for 1,183 nonprofi ts• Five new and 27 repaired Thrivent-built homes

Three-year winner Jerry Roth

Congratulations and thanks to all the Texas Thrivent members for all your great achievements in 2015.

Jerry RothCFP®, MBA, FIC, Wealth Advisor

For more information, please go to https://www.thrivent.com/making-a-difference/living-generously/thrivent-action-teams/. Insurance products issued or offered by Thrivent Financial, the marketing name for Thrivent Financial for Lutherans, Appleton, WI.

Not all products are available in all states. Securities and investment advisory services are offered through Thrivent Investment Management Inc., 625 Fourth Ave. S., Minneapolis, MN 55415, a FINRA and SIPC member and a wholly owned subsidiary of Thrivent. Thrivent Financial representatives are registered representatives of Thrivent Investment Management Inc. They are

also licensed insurance agents/producers of Thrivent. Fee-based investment advisory services are available through qualified investment advisor representatives only. For additional important information, visit Thrivent.com/disclosures.

THREE-YEAR WINNER

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1770 Saint James Place, Suite 360Houston, TX 77056

Phone: 713-880-5337Toll-free: 866-880-5337

[email protected]@nealfinancial.comwww.NealFinancial.com

Neal Financial Group

Retirement Planning Specialists

Your plan for retirement is as unique as a beautiful sculpture. We can help you design your unique plan.

Left to right: Four-year winners Wynette Stuntz, CERTIFIED FINANCIAL PLANNER™ professional and Jason McGarraugh, CERTIFIED FINANCIAL PLANNER™ professional

Five Star Wealth Managers Wynette Stuntz, CFP® and her partner Jason McGarraugh, CFP®, M.S. personal fi nancial planning, are retirement specialists providing education and guidance to help you plan your future. Their experience as educators helps them explain complex subjects eff ectively, empowering you with the knowledge to make wise choices. They have no proprietary products; therefore, they can search all types of solutions to best fi t your needs and your situation.

Wynette Stuntz and Jason McGarraugh

Securities o� ered through LPL Financial, Member FINRA/SIPC. Investment Advice o� ered through NEAL FINANCIAL GROUP, L.P., a registered investment advisor and separate entity from LPL Financial.

FOUR-YEAR WINNER

The Clarity Group at Morgan Stanley

2800 Post Oak Boulevard, Suite 1800Houston, TX 77056

Direct: 713-965-8014 | Asst. Phone: 713-993-2844monica.r.woodward@morganstanley.commorganstanleyfa.com/monica_woodward

Exceptional Planning for Extraordinary Living

• Financial planning that goes beyond the numbers

• Tailored investment management services for each life event

• Educational, fi nancial and health resources for every stage of life

• Limited number of clients• Mentor and fi nancial supporter at “Dress for

Success Houston”

Left to right: Catherine Rocque, Registered Assoc.; 2015 winner Monica Woodward, First Vice President, Financial Advisor, CIMA®, CPWA®; Shala Walker, Financial Advisor, CFP®; Lynn Hernandez, Registered Assoc.

Most of my clients are primarily women and couples who see their money as a tool to live an extraordinary life, not a measurement of social status. They prefer to spend their time living fully engaged with family, friends and pursuing activities that resonate with their values. They want an advisor who they can confi de in to understand their unique perspective and family dynamics. My clients aspire not only maintain their standard of living, but also to share their wealth intelligently with their family and create a framework for purposeful spending, investing and giving to make a diff erence in their lives and causes they care about most, which is something I want all my clients to experience and achieve.

Monica R. WoodwardFirst Vice President, Financial Advisor

Investment Management Consultants Association, Inc. owns the marks CIMA®, Certi� ed Investment Management AnalystSM (with graph element)®, and Certi� ed Private Wealth

AdvisorSM. ©2015 Morgan Stanley Smith Barney LLC. Member SIPC.

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• Custom portfolios• Financial planning• Professional service you deserve, not an 800 number

Wallstreet Advisors, L.L.C. provides guidance to our clients in all market cycles and conditions. Volatile markets demand professional advice and frequent review. With more than 29 years of experience, our focus is education as it pertains to risk and reward. The goal is to raise our clients’ understanding of their portfolios and the risk they take with their capital. Each client has unique needs and goals; our belief is that your investments should match that uniqueness. We provide tactical, actively managed portfolios with a focus on risk management.

3200 SW Fwy., Ste. 3300Houston, TX 77027Office: 713-402-6121epero@wallstreetadvisors.netwww.wallstreetadvisors.net

Wallstreet Advisors, L.L.C.

Professional Advice, Personal Service

Securities and Investment Advisory Services offered through H. Beck, Inc. MemberFINRA, SIPC. H. Beck, Inc. and Wallstreet Advisors, L.L.C. are not affiliated.

Edward PeroPresident

FOUR-YEAR WINNER

• Customized fi nancial plans• Investment advice targeted to your goals• Lifetime income strategies

I am honored once again to be selected as a Five Star Wealth Manager. The trust I share with my clients is integral to our successful partnership. As a Chartered Retirement Planning CounselorSM, my expertise in retirement planning provides my clients with a customized and comprehensive financial plan. This plan guides them through their careers and into retirement with the goal of providing lifetime income.

4400 Post Oak Pkwy., Ste. 1400Houston, TX 77027Office: 713-403-3978Toll-free: [email protected]

Financial Plans for Lifetime Income

Leslea Stock-LopezVice President, Financial Advisor, CRPC®

THREE-YEAR WINNER

Focused on your goals and future• Retirement strategies• Personalized investment portfolios• Life and long-term care insurance

Phyllis is dedicated to the creation and preservation of fi nancial wealth for her clients. She will help you make decisions by fi rst understanding your unique fi nancial situation. She works with individuals, families and businesses to put strategies together that help turn dreams into realities.

3 Greenway Plz., Ste. 1800Houston, TX 77046 Phone : [email protected]/Phyllis-Martin

MassMutualGreater Houston

Let My Experience and Resources Work for You

Phyllis Martin is a Registered Representative of and offers securities and investments advisory services through MML Investors Services, LLC. Supervisory Office: 3 Greenway Plaza, Suite 1800,

Houston, TX 77046. Phone: 713-402-3800. MassMutual refers to Massachusetts Mutual Life Insurance Company. *Licensed but not practicing on behalf of MassMutual Greater Houston or MML

Investors Services, LLC or its affiliated companies.

Phyllis MartinCPA, Financial Advisor

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.

• Financial planning• Investments and portfolio management services• 17 years with Ameriprise Financial

As no two investors are alike, I work with clients to ascertain their special goals. Retirement, helping children or grandchildren with their education, caregiving, improving a home or enjoying travel and leisure pursuits: most of us have multiple financial goals. I help the children of clients who have just graduated from school and are getting their first jobs through people about to retire. 2013, 2014 and 2015 Five Star Wealth Manager.

4022 Crystal Lake Cir. N Pearland, TX 77584Office: 281-485-6793 Cell: [email protected]

Personal, Professional, Caring Advice

Jeanne PellisJD, Financial Advisor

THREE-YEAR WINNER

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• Strategy focused to help clients navigate life changes• Dedicated to an integrated, holistic wealth management process• Client relationships built on trust, integrity and responsiveness

Laura Rahlfs is the president of Wealth & Wisdom Financial. For the past 22 years, she has been helping her clients with their financial and retirement plans. She is dedicated to her clients and has applied her education, discipline and attentiveness to be an asset to her clients. Laura specializes in creating wealth management and management strategies for her clients. Her extensive research and knowledge allows her to offer services from investment management strategies and IRA rollovers to risk management and estate planning.

4545 Bissonnet, Ste. 270Bellaire, TX 77401Office: 713-338-2081Fax: [email protected] nancial.com

Your Partner in Pursuing Financial Well-Being

Securities and Advisory Services offered through LPL Financial. A registered investment advisor, member FINRA/SIPC.

Laura RahlfsMBA, CFP®, CA Insurance Lic. 0B82216

FOUR-YEAR WINNER

• Holistic wealth management• Retirement, legacy and tax planning• Individually managed custom portfolios*

1300 Rollingbrook, Suite 603Baytown, TX 77521Baytown: 281-427-7517Dallas: [email protected]

Wealth Creation and Preservation

Matthew White** • Stacey White* • Anita Pinkerton** • Donna Lyons*

*Securities offered through H.D. Vest Financial ServicesSM Member: SIPC. **Advisory services offered through H.D. Vest Advisory ServicesSM.

M. White Financial Services is not a registered broker/dealer or an independent investment advisory firm.

Matthew B. WhiteCPA/PFS

FOUR-YEAR WINNER

• Trustworthy, client-centered, experienced• Customized solutions congruent with client needs• Yo hablo Español• Full disclosure, discretion, confi dentiality

With my hallmark of unsurpassed client service, my experience in financial services and the backing of RBC, one of the most stable institutions in the industry, I am uniquely positioned to provide for the sophisticated financial needs of the successful people with whom I work.

1980 Post Oak Blvd., Ste. 1980Houston, TX 77056Phone: 713-888-8700Toll-free: [email protected]/matt.krohn

Standing With Clients for 30 Years

©2015 RBC Wealth Management, a division of RBC Capital Markets, LLC, Member NYSE/FINRA/SIPC.

Albert Mathias Krohn (Matt)First Vice President, Financial Advisor

TWO-YEAR WINNER

• Comprehensive review of entire portfolio*• Consolidated tax and investment* planning• Customized to each client’s needs

My goal is to take the disciplined approach when managing your account and help you pursue your financial life goals. In doing so, I address the critical wealth management issues that families encounter. Our role together is to proactively analyze these issues and take positive steps toward the financial future you envision for yourself.

717 Cedar Bayou Rd.Baytown, TX 77520Office: 281-422-3087Toll-free: [email protected]

The Three C’s of Wealth Management

*Securities offered through H.D. Vest Investment ServicesSM, Member SIPC, Advisory services offered through H.D. Vest Advisory ServicesSM. Davis & Associates CPA Firm is not a registered broker/dealer

or independent investment advisory firm.

Brian StephensCPA/PFS, CFP®

THREE-YEAR WINNER

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• Personalized fi nancial advice• Powerful client portal and account aggregation tool• Investment advice tailored for each client• Customized retirement distribution strategies

Our focus is providing a unique financial planning experience while helping our clients simplify the complexities of their financial lives.

We would like to take this time to thank our clients for their trust over the years.

7500 San Felipe, Ste. 150Houston, TX 77063Phone: 713-781-1475 Toll-free: [email protected]

Invest With Logic™

Toby WhitbyPresident, CFP®

THREE-YEAR WINNER

• Explains things in everyday language• Assists everyday working people• Helps provide fi nancial security

Steve helps working people in greater Houston get the professional investment advice they need for financial security. He opens your eyes to the opportunities available to you and the best ways to take advantage of them. He understands your concerns and speaks your language — and he can help get the job done.

1560 W Bay Area Blvd., Ste. 105Friendswood, TX 77546Phone: 713-751-3163www.stevenshirley.com

Getting the Job Done

Registered Representative of IMS Securities, Inc. Member FINRA/SIPC.Advisory services through IMS Financial Advisors.

10205 Westheimer, Ste. 500, Houston, TX 77042, 713-266-2993.

Steven ShirleySeries 7, 63 and 65 Licenses

FOUR-YEAR WINNER

With more than 20 years of industry experience, Duane advises his clients in all areas of wealth management. Duane has extensive experience in working with preretirees and retirees, customizing a plan for each client and managing their portfolios on a fee basis.

818 Town and Country Blvd.Houston, TX 77024 Phone : 713-623-9271 [email protected]

Duane DollarSr. Vice President, Financial Advisor, CFP®, ChFC®

RBC Wealth Management, a division of RBC Capital Markets, LLC,Member NYSE/FINRA/SIPC.

THREE-YEAR WINNER

• Independent registered investment advisor• Fiduciary standard of care• Over 23 years of fi nancial industry experience

We are an independent, fee-only investment advisory firm specializing in retirement planning and investment management for successful professionals and retirees. We give our clients the attention and respect they deserve for the enormous trust placed in us to manage their financial future.

8300 FM 1960 W, Ste. 450Houston, TX 77070Phone: 281-469-7284jspeight@speightassetmanagement.comspeightassetmanagement.com

Personalized Financial Advice

Jon M. SpeightPresident, CFP®

THREE-YEAR WINNER

Financial planning is a holistic approach to financial well-being.

— Five Star award winner

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Jim has more than 30 years of experience in the financial services industry and is the founder and president of PartnerslnWealth. He is also a recognized speaker, author and business leader. See his full biography on: partnersinwealth.com.

3400 Bissonnet, Ste. 145Houston, TX 77005Office: [email protected]

James R. WatersMBA, CFP®, Founder and President

FOUR-YEAR WINNER

Ann has a passion for helping meet the needs of business owners through her ability to educate on and plan for the life cycle of a business. Ann works with individuals as well, helping them with their estate and retirement planning needs.

MassMutualGreater Houston3 Greenway Plz., Ste. 1800Houston, TX 77046Phone: 713-993-0687Toll-free: [email protected]

Ann Hauser LaufmanCert. Family Bus. Spec., CFP®, LUTCF, CLTC, CFS®

Ann Hauser Laufman is a Registered Representative of, and o� ers securities, investment advisory and � nancial planning services through MML Investors Services, LLC. Supervisory o� ce: 3 Greenway Plaza, Suite 1800, Houston, TX 77046, 713-402-3800. MassMutual Greater Houston is not a subsidiary or

a� liate of MML Investors Services, LLC. [CRN201604-181827].

FOUR-YEAR WINNER

Our mission is to listen to our clients and provide them with support to help them feel confident and secure about their financial future. Whether you are saving for retirement or education funding, we will work with you to get organized so you can take charge of your goals for your financial well-being. 2013 – 2015 Five Star Wealth Manager.

711 W Bay Area Blvd., Ste. 500Webster, TX 77598Office: [email protected] ameripriseadvisors.com/david.g.wilson

David G. WilsonMBA, CFP®, CEP®, Financial Advisor

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.

THREE-YEAR WINNER

We are a comprehensive wealth management team with over 35 years of industry experience specializing in providing customized investment solutions to our clients focusing on wealth accumulation and preservation.

10205 Westheimer Rd., Ste. 500Houston, TX 77042Phone: [email protected]

Stacey L. RognonFounding Partner, Financial Planner

Registered Representative of IMS Securities, Inc. Member FINRA/SIPC. Advisory services o� ered through IMS Financial Advisors Inc.

• CFP®, AWM, CFS®• Focus on long-term relationships• Personalized solutions for 13 critical retirement

challenges• Our clients expect and deserve exceptional

service at all times

818 Town and Country Blvd., Ste. 300 Houston, TX 77024Phone: 713-623-9220Toll-free: 888-423-4547 [email protected]

Richard S. FriedmanSenior Vice President, Financial Advisor

FOUR-YEAR WINNER

For more than 20 years, Ted has provided high-net-worth individuals, small-business owners and senior corporate executives with unbiased advice and strategies to meet their goals and dreams. We have built a successful, fee-only business with advisors who understand that our clients’ interests come first.

Helios Wealth Advisors

8703 Broadway St., Ste. 127Pearland, TX 77584Office: [email protected]

Theodore X. KoinisCFP®, AIF®

FOUR-YEAR WINNER

Cindy, with the Tice Canterbury Group at Morgan Stanley, has over 26 years of experience. “Our goal is to provide you with a financially sound retirement and offer a road map designed to enrich your retirement by including purpose, fulfillment and fun.”

24 Waterway Ave., Ste. 600The Woodlands, TX 77380 Phone : 281-362-4705 [email protected] www.morganstanleyfa.com/cindy.tice

Cindy S. TiceFirst Vice President, Wealth Advisor

Series 7, 66 and 63.©2015 Morgan Stanley Smith Barney LLC. Member SIPC.

“The future is not a gift. It is an achievement.” — Robert Kennedy Whatever you want your journey to look like, I want to help make it a reality.

718 Trademark Pl.Houston, TX 77079Phone: [email protected]

Patrick DevineCERTIFIED FINANCIAL PLANNER™ practitioner

Securities O� ered Through LPL Financial, Member FINRA/SIPC .

THREE-YEAR WINNER

Scott is committed to the highest level of personal service to address the needs and goals of his valued clients. Actively managed investments pursuing a global perspective coupled with ongoing communications is the cornerstone to working towards client goals.

Sovereign Investment Group LLC

3120 SW Fwy., Ste. 500Houston, TX 77098Office: 713-527-3400Cell: [email protected]

Scott Cameron DonerSenior Vice President/Wealth Consultant, RFC®

Securities and advisory services o� ered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC.

TWO-YEAR WINNER

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Award winners listed by primary services and listed alphabetically by last name.

Business PlanningDebbie Hilton · LPL Financial

Lindsay Lambert · Morgan Stanley

Estate PlanningPaul Comstock · Paul Comstock

Partners

Alison Moss · Paul Comstock Partners

Financial PlanningStephen “Moe” Allain · Robert W.

Baird & Company

Emily Allen · Posey Capital Management

Dwight Arnold · Raymond James Financial Services

Berkely Arrants · Horizon Advisory Group

Thomas A. Baird · Veritas Wealth Management

Stephen Bauer · United Capital

Audree Begay · Ameriprise Financial Services, Inc.

Jonathan Blakelock · Ameriprise Financial Services, Inc.

Keith Borgfeldt · Spartan Wealth Management

Jonathan Born · Thrivent Investment Management

James Boston · Ameriprise Financial Services, Inc.

Cathy McGhee Buchanan · Ameriprise Financial Services, Inc. Page 5

Stephen Burchett · Ameriprise Financial Services, Inc.

Scott Campbell · Ameriprise Financial Services, Inc.

Jean Casagrande · Stability Partners Advisory Group/Stability Partners

Janet Cash · Morgan Stanley

Jennifer Chachere · Ameriprise Financial Services, Inc.

Jeffrey Chen · Ameriprise Financial Services, Inc.

William Christian · Capital Financial Planning Group

Norman Chu · Ameriprise Financial Services, Inc.

Robyn Cochran · LPL Financial

Mark Connely · Wealth Design Group

Joshua Coughran · Titan Retirement Advisors

Ben Cravens · Morgan Stanley

Cheryl D. Creuzot · Wealth Development Strategies

Wendell De Grange · Ameriprise Financial Services, Inc.

Pat Devine · Fleetwood Financial Solutions Page 17

Beth Dickson · Four Seasons Financial Planning Page 9

Richard Dickson · Galene Financial/LPL Financial

Duane Dollar · RBC Wealth Management Page 16

Koy Domann · Klein Wealth Management

Gloria Dowiak · Synergy Wealth Management

Stephen Drake · RBC Wealth Management

Sharon Duncan · Selah Financial Services

Robert Dwyer · Waterway Wealth Management

Kamran Ellini · White Rhino Financial

Dean Elliott · Global Wealth Advisors

Byron Ellis · Ellis & Ellis/United Capital Advisers

Craig Evans · Church Street Financial

David Farrell · Cozart Farrell Financial Group

Jeffery Farris · Dearborn & Creggs

Kevin Fink · Wealth Design Group

Robert Flores · AXA Advisors

Jeannine Fox · The Planning Team

David Frank · Wealth Development Strategies

James Frankowski · Ameriprise Financial Services, Inc.

Tamra Gann-Curry · LPL Financial

Andrew Gardener · Tanglewood Legacy Advisors

Christina Garland · LPL Financial

Michael Garofalo · Voya Financial Advisors

John Walter Going · Going Financial

Leonard Golub · New Capital Management

John Goott · Investec Advisory Group

William Gouldin · Morgan Stanley

Bruce Gray · MetLife

Harold Green · Raymond James & Associates

Jeffrey Green · Green Financial Group

Mark Groesbeck · SCF Investment Advisors

Kenneth Joe Hajdik · Raymond James Financial Services

Grant Hall · Ameriprise Financial Services, Inc.

Diane Halloway · Davis and Associates

David Hanson · LPL Financial

Aaron Hansz · Doulos Wealth Management

Larry Harvey · HFG Wealth Management Page 4

Robert Head · Community Resource Credit Union

Dale Hearn · Strategic Financial Advisors

John Heath · RBC Wealth Management

Franz Hildebrand · LPL Financial

David Hill · Aventura Retirement Income Partners

Michael Hurdle · LPL Financial

Candace Hurt · Morgan Stanley

James Huston · Outlook Financial Group

Lance Hutchins · Morgan Stanley

Derek Irish · Ronald Blue & Company

Thomas Jackson · T. Jackson & Company

Mark Joffrion · Morgan Stanley

Blake Jones · Morgan Stanley

Russell Judah · Ameriprise Financial Services, Inc.

Arturo Karakowsky · Morgan Stanley

Matthew Kardesch · Kardesch & Associates Wealth Management/Ameriprise Financial Services, Inc.

James Keys, Jr. · LPL Financial

Lori Klein · Klein Wealth Management

Sally Kline · Morgan Stanley

Paul Koerner · Ameriprise Financial Services, Inc.

Theodore Koinis · Helios Wealth Advisors Page 17

Dale Konicek · Capital Financial

Brittany Kornmann · Ameriprise Financial Services, Inc.

Michael C. Kuznicki · Ridgeback Capital Management

Adam Lampe · Lampe & Son Wealth Management

Ann Laufman · MML Investors Services Page 17

Barbara Leonard · HD Vest Investment Services

Michael Levy · TLC Wealth Management

Nathan Levy · TLC Wealth Management

Stephen Lewis · Bernstein Global Wealth Management

Rashonner Lillie · Ameriprise Financial Services, Inc.

Anthony Lopez · LPL Financial

Peggy Wickman Lyon · Ameriprise Financial Services, Inc.

Pat Mandola · Money Matters with Ken Moraif

Christopher Manske · Manske Wealth Management

Marc Marquez · Ameriprise Financial Services, Inc.

Patrick Masterson · Money Matters with Ken Moraif

Jeremy Matranga · Tax Advisors Unlimited

Jason McGarraugh · LPL Financial Page 13

Crawford McGill · Ameriprise Financial Services, Inc.

Scott McMillan · White Wing Wealth Management

Louis Merkle III · Merkle Financial

Brian Messier · Lincoln Financial Advisors

Dan Michalk · Waterway Wealth Management

Donald Miller · Miller Wealth Partners/SCF Securities

Donald Mitcham · Strategic Financial Advisors

Christopher N. Moore · CNM Financial Group/MetLife Page 7

Chris Nardiello · IMG Financial Group

Craig Narum · Trisperity Advisors

Salim Nathani · Ameriprise Financial Services, Inc.

Toni Navarre · Neal Financial Group

Douglas Neal · Neal Financial Group

Jeremy Newton · Morgan Stanley

Emery Nyilas · Morgan Stanley

David Odonnell · RBC Capital

Larry Olivarez, Jr. · Ameriprise Financial Services, Inc.

Paul Palmer · Cypress Advisory Services

Michael Pascarella · Ameriprise Financial Services, Inc.

Wes Peirce · Peirce Capital Management

Jeanne H. Pellis · Ameriprise Financial Services, Inc. Page 14

Dale Pieper · Wealth Design Group

Randy Price · RBC Wealth Management

William Probe · Ameriprise Financial Services, Inc.

Neil Rahimi · Ameriprise Financial Services, Inc.

Laura Rahlfs · LPL Financial Page 15

Christopher Shawn Ramsey · Outlook Financial Group

James Reddish · Sunbelt Securities

Jeffrey Glynn Rhame · Miller Green Financial Group

Rex Warren Richards · Commonwealth Financial Network

David Riggs · Ameriprise Financial Services, Inc.

Jason Roberts · Ameriprise Financial Services, Inc.

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Stacey Rognon · Rognon & Patterson Page 17

Georgina Rosal · Lincoln Financial Advisors/Sagemark Private Wealth Services

Peter Roth · Roth Financial Partners

Chris Rowley · Ameriprise Financial Services, Inc.

Michael Rudelson · Michael G. Rudelson & Company

Steven Ruderman · Ruderman Financial Group

David Sabonghy · Morgan Stanley

Kalyani Sanghavi · Ameriprise Financial Services, Inc.

Nancy Savoie · Paul Comstock Partners

Richard Saxon · Raymond James Financial Services

Carl Scarbrough · MetLife

Ralph Schroeder · Schroeder and Associates/Ameriprise Financial Services, Inc.

Trevor Shakiba · The Shakiba Group/Ameriprise Financial Services, Inc.

Steven Sheldon · SMS Capital Management

Steven Shirley · IMS Securities Page 16

Lee Skipper · Raymond James Financial Services

Jim E. Sloan · Jim Sloan & Associates

Michael Smith · STA Wealth Management

Brian Sosebee · E*Trade Financial

Elizabeth Soto · EVS Financial

Greg Sparrow · Ameriprise Financial Services, Inc.

Andrew Spector · Morgan Stanley

Jeff Speight · Tanglewood Wealth Management

Arthur Spiller · Ameriprise Financial Services, Inc.

Theodore Stanley · LPL Financial

Brian Stephens · HD Vest Investment Services Page 15

Leslea Stock-Lopez · Wunderlich Securities Page 14

Wynette Stuntz · LPL Financial Page 13

Cory Summers · Corpus Christi Financial Group

Scott Swanson · Raymond James & Associates

Stephen Tadlock · Ameriprise Financial Services, Inc. Page 5

Everette Talbot · LPL Financial

Alex Tapia · Aviation Retirement Strategies

Andy Thornton · Raymond James Financial Services

Cindy Tice · Morgan Stanley Page 17

Bryon Townsend · Cetera Advisors

James Triolo · LPL Financial

Karin Lynn Tyson · 20/20 Financial Advisers

Jeffrey Vanover · Kurka, Vanover, & Associates/Ameriprise Financial Services, Inc.

Les Vicain · Primerica Advisors

Minh Vo · MML Investors Services

Maica D. Walker · Ameriprise Financial Services, Inc.

Sharon Ward · Ameriprise Financial Services, Inc.

James Waters · PartnersInWealth Page 17

Charlene Wehring · HD Vest Investment Services Page 9

Ray Weiss · Thrivent Financial

Hulon Whatley · Ameriprise Financial Services, Inc.

Martin Wheeler · Ameriprise Financial Services, Inc.

Daniel Wheless · Allied Wealth

Matthew White · M. White Financial Services Page 15

Donald Whitehead · Morgan Stanley

Thomas Williams · LPL Financial

David Wilson · Ameriprise Financial Services, Inc. Page 17

Paul Wobbe · LPL Financial

James Woldert · Morgan Stanley

Monica Woodward · Morgan Stanley Page 13

Alan Wright · Pinnacle Financial Group

Grace Yung · Midtown Financial Group Page 10

Leigh Zachary · West Wealth Advisors

InsuranceJeff Applebaum · IMG Financial

Group

Tom Archer · Voya Financial Advisors

Teresa O’Connor · Voya Financial Advisors

InvestmentsKaren Abramski · LPL Financial

Richard J. Alphonso · The Financial Advisory

David Arlott · Wells Fargo Advisors, LLC

Jonathan Aulbert · Wells Fargo Advisors, LLC

Christene Barratt · Wells Fargo Advisors, LLC

Robert Barrett · Provident Wealth Strategies

Patrick Beale · TDECU Wealth Advisors

Daniel Bender · MBR Financial Page 6

Joseph Birkofer · Legacy Asset Management

Clark Blackman · Alpha Wealth Strategies

James Blake · Wunderlich Securities

Dean Boebinger · Strategic Financial Advisors

Patricia Bonnot · Wells Fargo Advisors, LLC

Michael Booker · Financial Synergies Asset Management

Anita Bowman-McCormick · Edward Jones

Terry Bradford · Ameriprise Financial Services, Inc.

Trey Brady III · MBR Financial Page 6

Arthur William Brand · Raymond James Financial Services Page 11

Robert Brann · Robert W. Baird & Company

Gregory Buchai · LPL Financial

Anthony Burgard · Wells Fargo Advisors, LLC

Wallace Carr Burgoyne · Symphony Planning

Sarah Lu Burrowes · Wells Fargo Advisors, LLC

Michael Busier · Wells Fargo Advisors, LLC

Amy Cagle · Morgan Stanley

Benjamin Callahan · Wells Fargo Advisors, LLC

Elizabeth Calvert-Hickman · South Texas Money Management

Jim Carlton · Carlton, Hofferkamp & Jenks Wealth Management

Sandra Carrion · Wells Fargo Advisors, LLC

Teresa Castillo · RBC Wealth Management

William Cathriner · Salient Partners

Dominic Cellitti · Morgan Stanley

David Chatham · Wells Fargo Advisors, LLC

John Chirichigno · Wells Fargo Advisors, LLC

Robert Clark · Ameriprise Financial Services, Inc.

Kris Cobb · Wells Fargo Advisors, LLC

Rick Corbell · Morgan Stanley

Jason Croix · LPL Financial

Joseph Cunneff · Raymond James & Associates

Gary Danna · Wells Fargo Advisors, LLC

Craig Chambers Dawson · Salient Partners

Alejandro De Leon · Wells Fargo Advisors, LLC

Rajesh Desai · Wells Fargo Advisors, LLC

Paul Dickens · Edward Jones

John Dickerson · Edward Jones

Morris Ben Dickey · BSG&L Financial Services

Scott Doner · Sovereign Investment Group Page 17

Daniel Doughty · New Heights Wealth Management

Richard Early · Early McClintic & McMillan

Mark Easley · E & G Advisors

Fred Easter · Securities America Advisors

James Edwards · Raymond James & Associates

Beth A. Eldridge · American Portfolios Financial Services/Financial One

Darrell Ellisor · LPL Financial

Jeff Eschman · Posey Capital Management

Gregory Evans · Robert W. Baird & Company

Charles Fahy · Soverieng Investment Group/LPL Financial

Derek Finley · WJ Interests

Thomas B. Ford · Morgan Stanley

Danielle Frazier · Capstone Asset Planning Company

Richard Friedman · RBC Wealth Management Page 17

William Frisco · Morgan Stanley

Mark Frugoni · FOCUS Wealth Advisors

John Fry · Oppenheimer & Company

Janet Garner · MetLife

John Gauthier · Wells Fargo Advisors, LLC

Ted Geoca · Max Out Savings Advisors

Randy Gillespie · LPL Financial

Matthew Goff · The Goff Financial Group

Daniel Goott · Investec Advisory Group

Marshall Graham · Wells Fargo Advisors, LLC

Susan Green · BBVA Compass Page 11

Jim Grimsrud · Morgan Stanley

Emilio Guajardo, Jr. · Wells Fargo Advisors, LLC

Philip Gundy · Wells Fargo Advisors, LLC

Joseph Gutkowski · Morgan Stanley

Jack Haire · Edward Jones

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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.

Marcel Hamburger · Wells Fargo Advisors, LLC

Phillip Hamman · Linscomb & Williams Page 2 & 3

Ollie Harris · Wells Fargo Advisors, LLC

Shelley Hawkins · Four Seasons Financial Planning Page 9

Adam Heghinian · Edward Jones

Scott Hofferkamp · Carlton, Hofferkamp & Jenks Wealth Management

Craig Hoffman · Ameriprise Financial Services, Inc.

Andrea Holle · Edward Jones

Case Hollub · LPL Financial

Walterl Hood · Raymond James & Associates

John Hugele · Wells Fargo Advisors, LLC

Latafath Hussain · MetLife

Jared Jameson · WJ Interests

Tyler Johns · Edward Jones

Brent Johnson · Cetera Advisors

Richard Johnson · Edward Jones

John Joyce · J.D. Joyce Investment Management Group

Michael Kaplan · Morgan Stanley

Andrew Keller · LPL Financial

James Kelley · Wells Fargo Advisors, LLC

Shehzad Khan · Ameriprise Financial Services, Inc.

Charley Kitzman · Morgan Stanley

Christopher L. Knapp · Chilton Capital Management Page 10

Charles Knox · Ameriprise Financial Services, Inc.

Albert Krohn · RBC Wealth Management Page 15

John Langston · Robertson Wealth Management

James Latimer · Stockcross Financial Services

Mark Edward Lawrence · Sterling Portfolio Managers

Timothy Charles Legamaro · Legamaro Financial Services Page 8

Matthew Leyden · Morgan Stanley

Timothy Lootens · Chilton Capital Management Page 10

Howard Lorch · Wells Fargo Advisors, LLC

Paul Love · Raymond James Financial Services

James Mahdak · Wells Fargo Advisors, LLC

J. Scott Malloch · Malloch Wealth Management

Mary Margolis · MBR Financial Page 6

Phyllis Martin · MassMutual Greater Houston Page 14

Robert Maxwell · RBC Wealth Management

Francisco Xavier Maza · Actinver Securities

James McClellan · James G. McClellan, CPA

Frank McKinney III · McKinney Capital Management

Laurie McRay · McRay Money Management

Lewis Metzger · Morgan Stanley

Gary Miller · Wunderlich Securities

David Mills · Wells Fargo Advisors, LLC

Michael Misner · Ameriprise Financial Services, Inc.

Eli Mitcham · Sustain Wealth Advisors

Janine Moore · Peak Financial Group

Philip B. Moran · Portfolio Advisory Council

Donald Raymond Mouton · Mouton Wealth Management

Nelson Muhoberac · Wells Fargo Advisors, LLC

Spencer Murchison · Synergy Wealth Management

Sam Murray · Murray Investment Management

Norman Nabhan · Morgan Stanley

Michael Neuenschwander · Outlook Wealth Advisors

Susan Neun · Wells Fargo Advisors, LLC

J. Matthew Newtown · Salient Partners

David Novelli · Morgan Stanley

David Obenberger · Rockwell Wealth Management

Francis O’Neill · RBC Wealth Management

Pat Patterson · Edward Jones

Ryan Patterson · Linscomb & Williams Page 2 & 3

Matt Paul · Wells Fargo Advisors, LLC

Thomas Payne · Tri-Star Advisors Page 12

Ward Pendleton · Morgan Stanley

Darrell Pennington · Pennington Wealth Management/Ameriprise Financial Services, Inc.

Christopher Perego · LPL Financial

Edward Pero · Wallstreet Advisors Page 14

Thomas Posey · Posey Capital Management

Richea Powell · Haven Wealth Management

Bruce Quick · Ameriprise Financial Services, Inc.

R. Randall Rainey · Capital Management Advisors

John Ramirez · Woodlands Portfolio Management

Jerry Rasmussen · Morgan Stanley

Roylene Ray · Wells Fargo Advisors, LLC

Eric Reed · Edward Jones

Mark Reisbord · Ellis Reisbord Financial

Kevin Roberts · Morgan Stanley

John Rogers · Wells Fargo Advisors, LLC

Michael Rosman · Rosman Asset Management

Richard Rosso · Clarity Financial Group

Gerald Roth · Thrivent Investment Management Page 12

Barrett Rouse · Pin Oak Investment Advisors

Lester Saathoff · Wells Fargo Advisors, LLC

Robert Samples · Morgan Stanley

Eric Sandrock · Performance Investment Group

Jeffrey Savois · MetLife Securities

Joseph Schildhauer · H. Beck/Wealth Benefit Advisors

Marc Schindler · Pivot Point Advisors

Kevin Scott · Wells Fargo Advisors, LLC

Lucas Sealy · Edward Jones

Clint Sepolio · RBC Wealth Management

Kirby Shanks · Kanos Capital Management

June Shaw · Wells Fargo Advisors, LLC

Patrick Shinn · Heritage Asset Advisors

Jerome Simon · Northern Trust

Mark Simpson · Next Financial Group

Robert Sitton · Edward Jones

Jon Speight · Speight Asset Management Page 16

Matthew S. Spencer · Money Matters with Ken Moraif

Gail Stalarow · Morgan Stanley

Daniel Stell · Edward Jones

William D. Stigall · Wells Fargo Advisors, LLC

Stephen Strake · Salient Partners

Brian Strawn · Ameriprise Financial Services, Inc.

James Stubbs · Edward Jones

Matthew Summers · Salient Partners

Randall Sutton · Morgan Stanley

Jonathan Swanburg · Tri-Star Advisors Page 12

Barry Tate · The Barry W. Tate Group/Ameriprise Financial Services, Inc.

D. Bryan Teel · Sweetwater Financial Advisors

Shannon Thacker · Wells Fargo Advisors, LLC

Jeff Thibault · Morgan Stanley

Jeffrey Thomas · Morgan Stanley

Paul Thompson · Ascension Capital Advisors

Bill Throckmorton · Ameriprise Financial Services, Inc.

Theron Tindall · Ameriprise Financial Services, Inc.

Kyle Todd · Wallstreet Texas

Karen Trekell · Cetera Advisors

Claudia Vasquez · LPL Financial

David Vaughan · Woodlands Securities

Anne-Joelle Viguier-Galley · BBVA Compass Page 11

Cole Walton · Kanos Capital Management

Toby Whitby · Logic Capital Management Page 16

William Wilfong · Ameriprise Financial Services, Inc.

Darwin Wisener · Wells Fargo Advisors, LLC

Levi Woodroof · Wells Fargo Advisors, LLC

Barbara Woolhandler · Morgan Stanley

Elam Bill Wright · Wells Fargo Advisors, LLC

TaxationMary Jane Dixon · HD Vest

Investment Services

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2015 houston five star wealth managers f sta pofessiona ... · five star wealth manager wealth...

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