five star wealth managers

2012 Five Star Wealth

Man

agers

Five Star award information: fivestarprofessional.com — FS 1

Special advertiSing Section

In a consumer study about dynamics between wealth managers and their clients, Five Star Professional polled 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 aligned in all areas:

• 29 percent of consumers want to be contacted by their wealth manager whenever events require an update; only 7 percent of wealth managers say they contact clients based on the impact of events.

• 63 percent of consumers say they receive the right amount of communication from their wealth manager.

From research conducted by Five Star Professional, April 2011.

Wealth managers, broadly defined, are those individuals who help you manage your financial world and/or implement aspects of your financial strategies. Common examples of wealth managers

are financial advisors, financial planners, investment 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?

HONOLULU Magazine, Hawaii 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 92 percent.

Five Star Wealth Managers2012 Hawaii

don’t listen to other people. investi-gate for yourself. Be wary of advisers who say they never had a down year.”

— Five Star Wealth Manager

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. Hawaii award candidates were identified using internal and external research data, including a survey to more than

1,300 registered financial services professionals and all identified financial service companies in the area that are registered with FINRA or the SEC.

CandidateSaward

The 2012 Five Star Wealth Managers are select group, representing less than 2 percent of the wealth managers in the state of Hawaii.(1)

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.

aWarda Select

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

What matters most is how you recover from setbacks.”

only invest in some-thing that you under-stand.”

Insights from Five Star Wealth Managers

Clients don’t care how much you know until they know how much you care.”

• Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers.

• The Five Star award is not indicative of the wealth manager’s future performance. • Wealth managers may or may not use discretion in their practice and therefore may not manage

their clients’ assets. • The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed

as an endorsement of the wealth manager by Five Star Professional, HONOLULU Magazine or Hawaii Business.

• 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.

• (1) 835 award candidates in the state of Hawaii were considered for the Five Star Wealth Manager award. 125 (approximately 15 percent of the award candidates) were named 2012 Five Star Wealth Managers. The 125 award winners represent less than 2 percent of the total wealth managers in the state.

diSCloSureSresearch

2012

The Five Star award goes to less than 7 percent of wealth managers.

Award candidates who satisfied 10 objective eligibility and evaluation criteria that are associated with wealth managers who provide quality services were named 2012 Five Star Wealth Managers.(2)

Eligibility Criteria – Required(3)

1. Credentialed as an investment advisory representative (IAR), a FINRA-registered representative, a CPA or a licensed attorney.

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) 4. Fulfilled their firm review based on internal firm standards. 5. Accepting new clients.

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 92 percent).

7. Five-year client retention rate. 8. Non-institutional discretionary and/or non-discretionary client assets administered (this

year’s award winners administer an average of $61 million in client assets).9. Number of client households served (on average, this year’s award winners serve 265

households).10. Education and professional designations.

oF aWard WinnerSdetermination

(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:

• Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine. • Had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or

Five Star Professional’s consumer complaint process.• Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority. • Filed for personal bankruptcy.• Been convicted of a felony.

Five Star Professional conducts a regulatory review of each nominated wealth manager using the Investment Adviser Public Disclosure (IAPD) website. Five Star Professional also uses multiple supporting processes to help ensure that a favorable regulatory and complaint history exists. Data submitted through these processes was applied per the above criteria:

• Each wealth manager who passes the Five Star Professional regulatory review must attest that they meet the definition of favorable regulatory history, based upon the criteria listed above.

• Five Star Professional promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager.• Five Star Professional contacted approximately 1 in 12 households identified as having a high propensity to use the services of wealth managers in order to provide consumers the

opportunity to submit complaints regarding a wealth manager. More than 6,500 households in the state of Hawaii 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 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 www.fivestarprofessional.com/2011/wealth_managers_research_overview.php.

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Five Star Wealth Managers. Award winners listed by primary services and listed alphabetically by last name.

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and the federally registered CFP (with flame logo) in the U.S., which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements. The Chartered Financial Consultant credential [ChFC®] is a financial planning designation awarded by The American College.

Estate PlanningRhonda Griswold ∙ Cades Schutte

Kristie Lee ∙ Attorney at Law

John Matsumoto ∙ Rulon & Matsumoto

Joe Moss ∙ Attorney

Dwight Muraoka ∙ Dwight K. Muraoka, Attorney at Law

Michelle Ogata ∙ Estate Planning Group Page 11

Stephen Reese ∙ Law Office of Stephen H. Reese

Curtis Saiki ∙ First Hawaiian Bank

James Starshak ∙ Carlsmith Ball

Scott Suzuki ∙ Scott C. Suzuki, Attorney at Law

Gregg Takara ∙ Morgan Stanley Smith Barney Page 7

Karen Temple ∙ Karen Temple, Attorney at Law

Curtis Yuen ∙ Law Offices of Curtis B. K. Yuen

Financial PlanningAric Ahlgren ∙ Thrivent Financial

Kamemoto Allen ∙ Kamemoto Financial Group

Joanna Amberger ∙ 3 Financial Group

Marcia Anton ∙ Anton Financial

John Araki ∙ Ameriprise Financial Services, Inc.

Kevin Asano ∙ Pacific Rim Legacy Group

Saxton Barrett ∙ Barrett Wealth Management

Jimmy Bennett ∙ Morgan Stanley Smith Barney

Lesley Brey ∙ L.J. Brey

Douglas Brown ∙ First Command Financial Planning

Sean Calles ∙ Ameriprise Financial Services, Inc.

David Chang ∙ Wealthbridge

Brian Ching ∙ Wedbush Securities

Jonathan Countess ∙ Merrill Lynch

Heidi Cregor ∙ Financial Architects of Hawaii Page 12

Jennifer Du-Yung ∙ Ameriprise Financial Services, Inc. Page 12

Matthew Haley ∙ McKeague & Haley

Gail Hamada ∙ Ameriprise Financial Services, Inc. Page 8

Michael Hecker ∙ Principal Financial Group

Mel Hertz ∙ Derand Capital Mangement Group

Leslie Hidaka ∙ Morgan Stanley Smith Barney

Eric Higashihara ∙ Ameriprise Financial Services, Inc. Page 10

David Hirokane ∙ Ameriprise Financial Services, Inc. Page 9

Christina Hom ∙ Morgan Stanley Smith Barney Page 7

Arnold Honda ∙ Arnold K. Honda JD & Associates Page 4

Charles Horsman ∙ Ameriprise Financial Services, Inc.

Kenneth Ikeda ∙ Morgan Stanley Smith Barney

Shirley Ikehara ∙ Ameriprise Financial Services, Inc. Page 11

Bradley Itagaki ∙ AXA Advisors

Jerri Jessop ∙ Ameriprise Financial Services, Inc.

Ronald Kam ∙ First Allied Securities

Grant K.T. Kubota ∙ Morgan Stanley Smith Barney Page 6

Gaylien Larita ∙ Ameriprise Financial Services, Inc.

Roberta Lee-Driscoll ∙ Roberta Lee-Driscoll

Chieh Fu Lu ∙ First Hawaiian Bank Page 5

Elliot Luke ∙ Commonwealth Financial Network

Thomas Mark ∙ Ameriprise Financial Services, Inc.

Mark Matsumura ∙ New England Financial

Richard May ∙ First Hawaiian Bank Page 5

Kanani Miyahira ∙ American Savings Bank

Bryce Miyamoto ∙ Securities America

George Murakami ∙ Ameriprise Financial Services, Inc.

Bryan Nakamoto ∙ Spectrum Wealth Management

William Oliver ∙ First Command Financial Planning

Sheila Pang ∙ Ameriprise Financial Services, Inc.

Loretta Poe ∙ Ameriprise Financial Services, Inc.

Daniel Robertson ∙ Ameriprise Financial Services, Inc.

Joseph Rothstein ∙ Ameriprise Financial Services, Inc. Page 9

Valerie Schmidt ∙ Ameriprise Financial Services, Inc. Page 12

Joanne Shimada ∙ LPL Financial

Ross Shimokawa ∙ Ameriprise Financial Services, Inc. Page 13

Marvin Silva ∙ Ameriprise Financial Services, Inc. Page 12

Kathryn Skillington ∙ First Command Financial Services

Gabe Stepanic ∙ Coda Financial Group

Bradford Tom ∙ Securities America

Teresa Tyler ∙ First Command Financial Planning

Vaughn Victorino ∙ Ameriprise Financial Services, Inc. Page 12

Joanne Watanabe ∙ Ameriprise Financial Services, Inc.

Jeff White ∙ Retirement-Coach/Jeff White, CFP Page 13

Janet Williams-Reyes ∙ WR Financial Page 13

Gordon Yee ∙ YeeCorp Financial

Susan Young ∙ American Savings Bank

InsuranceAdelia Chung ∙ Spectrum Wealth Management

Gordon Hammond ∙ Carlson Hammond

Jeffrey Ling ∙ MassMutual

InvestmentsDeborah Ayala ∙ Edward Jones

Peter Backus ∙ Morgan Stanley Smith Barney Page 8

George Buck ∙ Raymond James Financial Services

Harlan Cadinha ∙ Cadinha & Company

Kaleialoha Cadinha-Pua’a ∙ Cadinha & Company

Ramona Ching ∙ Wells Fargo Advisors, LLC

Dann Derrick ∙ First Honolulu Securities

Jodie Duvall ∙ First Hawaiian Bank Page 5

Barbara Fukushima ∙ Merrill Lynch

Len Fukushima ∙ Merrill Lynch

Glenn Goya ∙ Morgan Stanley Smith Barney Page 10

Scott Hampton ∙ Edward Jones

C. Ryan Holt ∙ Edward Jones

Barry Hyman ∙ FIM Group

Ronald Ikeda ∙ Morgan Stanley Smith Barney

Mark Imada ∙ First Hawaiian Bank Page 5

Daniel Kim ∙ Merrill Lynch

Jensen Kono ∙ Morgan Stanley Smith Barney

Rob Lansdell ∙ Edward Jones

Cynthia Schnack Lee ∙ Wells Fargo Advisors, LLC Page 11

Mei Li Lee ∙ New England Financial

Wang Kar Lee ∙ Morgan Stanley Smith Barney

Preston Lentz ∙ Cadinha & Company

Keith Marrack ∙ Edward Jones

Cory Nakamura ∙ Lee Financial Group

Lane Nakashima ∙ Commonwealth Financial Network

Neil Rose ∙ Cadinha & Company

Inga Seifert ∙ Edward Jones

David Shimana ∙ First Allied Securities

Shane Shimatsu ∙ Edward Jones

David Shores ∙ Morgan Stanley Smith Barney

Paul Soriano ∙ Coda Financial Group

Mike Strada ∙ Morgan Stanley Smith Barney Page 7

Seitoku Takahashi ∙ American Savings Bank

Sandra Tokuuke ∙ Merrill Lynch

Rodney Tong ∙ CFS/HawaiiUSA Investment and Insurance Services

Bradley Totherow ∙ Cadinha & Company

Michael Tottori ∙ First Hawaiian Bank Page 5

Julie Ushio ∙ Wells Fargo Advisors, LLC Page 10

Dondi Vinca ∙ Wells Fargo Advisors, LLC

Colin Watanabe ∙ National Securities Corporation

Derek Wickes ∙ Morgan Stanley Smith Barney Page 7

Vernon Wong ∙ First Hawaiian Bank Page 5

Douglas Yee ∙ Morgan Stanley Smith Barney

Bernard Yip ∙ First Hawaiian Bank Page 5

Trust ServicesPeter Tsukazaki ∙ Tsukazaki & Associates

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Arnold K. Honda, JD& Associates

trust, Service and Sustainability

• Wealth management

• Estate preservation

• Retirement planning

Designation: JD

Wealth Creation and Preservation withInvestments and Insurance

What diff erentiates our team is that we are deeply passionate in providing the best individualized service as possible. arnold K. Honda, Jd & associates, works in partnership with occidental Underwriters of Hawaii, which has serviced the people of Hawaii for more than 78 years.

1163 South Beretania Street • Honolulu, HI 96814Office: (808) 527-8809

[email protected] • www.ArnoldHonda.comArnold Honda is an Investment Advisor Representative with and securities and investment advisory services offered through Transamerica Financial Advisors, Inc. (TFA) Member FINRA, SIPC and

Registered Investment Advisor. Nonsecurities products and services are not offered through TFA. Arnold Honda JD & Associates is not affiliated with TFA. Arnold K. Honda, JD & Associates and Occidental Underwritwes of Hawaii are not affiliated with TFA. LD42380-12/11.

Client Approach:Service clients like family

Education:Ba (Ucla), Jd Hastings college of the law

Accomplishments:Mdrt top of the table, circle of Honor Society

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First Hawaiian Bank Wealth Advisorsour team provides tailored Solutions to Meet Your needs

Service. Solutions. Security.

Left to right: 2012 winners Bernard Yip and Mark Imada; two-year winners Chieh Fu Lu, Curtis Saiki and Jodie Duvall; 2012 winner Michael Tottori, two-year winners Richard May and Vernon Wong

• Service: An integrated team of professionals serving as your trusted advisors• Solutions: A full range of personal and business wealth management services• Security: A 153-year history of serving the fi nancial needs of Hawai’i as the state’s oldest and largest bankOur team of highly qualified and experienced personal wealth advisors includes:Investment, Tax and Insurance Professionals, Attorneys, and Trust officers

We off er a full range of individualized client services to support your specifi c fi nancial needs and family values.

our comprehensive suite of services include investment, insurance and estate planning, as well as trust administration.

these services are tailored to meet your objectives for asset growth, protection, distribution and administration. to get started today, simply contact your banker or stop by any conveniently located branch.

Honolulu, HI 96813Toll-free: (888) 844-4444

www.fhb.com

Investments are not FDIC Insured nor guaranteed by the bank and may lose value.

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Grant K.T. Kubota

vice president – Wealth Management

CERTIFIED FINANCIAL PLANNER™

• Providing personalized services that refl ect your individual goals and family values

• Designing solutions that help preserve wealth and minimize taxes

• Planning for the transfer of assets to loved ones

Areas of Focus: IRAs, Roth IRAs, IRA Rollovers, 401(k)s, Tax-Free Income, Lifetime Income

grant Kubota provides comprehensive wealth management services to meet your individual fi nancial goals and family values. His services include estate, philanthropic and retirement planning; investment analysis and portfolio management; and evaluation of life and long-term care insurance.

He is a CERTIFIED FINANCIAL PLANNER™ professional and chartered retirement plans SpecialistSM. a former cpa, he has a diverse professional and educational background. prior to joining

Morgan Stanley Smith Barney, he practiced as a cpa with the global accounting fi rm KPMG. He holds an MBA degree and is a graduate of punahou School.

in 2011, he was also recognized as being one of Hawaii’s top Wealth Managers by Pacifi c Business News, in partnership with the National Association of Board Certifi ed Advisory Practices.

to learn more about his wealth management services, please contact him at (808) 525-7921 or visit www.fa.smithbarney.com/kubota.

733 Bishop Street, Suite 2800 • Honolulu, HI 96813Office: (808) 525-7921 • Fax: (808) 525-6901

[email protected] • www.fa.smithbarney.com/kubota© 2012 Morgan Stanley Smith Barney LLC. Member SIPC. Source: NABCAP: “Premier Wealth Advisors”, Paci� c Business News July 29, 2011, Over 5,000 direct contacts and over 40,000 indirect contacts were made to seek participation and/or nomination of participants in the Premier Wealth Advisor Program. The number of individuals contacted varies based on the size of the local market. NABCAP uses a methodology that it has created that includes both quantitative and qualitative criteria including, but not limited to � nancial planning, education, experience and compliance record. NABCAP contracts with Rank Premier Advisors to administer its evaluation process. NABCAP’s evaluation and ranking program (including the evaluation and validation process and the list of NABCAP Premier Advisors) is an independent third-party assessment based on objective, unbiased questions (“Program”). The Program is structured to ensure a comprehensive and objective evaluation of � nancial advisory practices. NABCAP’s methodology includes, but is not limited to (i) average assets per client, (ii) average number of clients per advisor, (iii) � nancial advisor to support sta� ratio, and (iv) � nancial advisor and support sta� credentials/designations. For more information on NABCAP’s methodology go to nabcap.org. Neither Premier Wealth Advisors nor Morgan Stanley Smith Barney pay a fee to be included in the � nal list of NABCAP Premier Wealth Advisors. The overall evaluation score of a wealth manager may not be representative of any one client’s evaluation. The inclusion of a wealth manager on the list should not be construed as an endorsement of the wealth manager by NABCAP. The rating is not indicative of the Financial Advisor’s future performance. The investments listed may not be suitable for all investors. Life Insurance, disability income insurance and long-term insurance are o� ered through Morgan Stanley Smith

Barney’s licensed insurance agency a� liates. Morgan Stanley Smith Barney LLC, its a� liates and Morgan Stanley Smith Barney Financial Advisor do not provide tax or legal advice.

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The Strada/McRoberts Team at Morgan Stanley Smith Barney

Ranked No. 1 Financial Advisor in Hawaii in 2009, 2010 and 2011 by Barron’s Magazine

Left to right: 2011 winner Jonathan McRoberts, two-year winner Christina Hom, Mark Haley, Donn Ariyoshi,two-year winners Mike Strada and Gregg Takara; Terry Flynn, two-year winner Derek Wickes

• Comprehensive wealth management and advanced fi nancial strategies• Customized portfolio management: fi xed income, equity, commodity, currency, alternative investments• Clients include: individuals, small businesses, retirement plans, trusts, foundations and estatesAreas of Focus: Comprehensive Wealth Management, Retirement Planning, Business Planning and Estate Planning

Designations: Senior Institutional Consultant, Certifi ed Investment Management AnalystSM, Corporate Retirement Plan SpecialistSM

The single focus of the Strada/McRoberts Team at Morgan Stanley Smith Barney is providing our clients with advice that they can rely on, and investment solutions designed for their unique fi nancial needs.

With extensive fi nancial industry and investment experience, we provide our clients with sophisticated, tailored investment strategies that refl ect their individual objectives, lifestyle expectations, cash-fl ow needs and legacy planning.

We want to thank our clients for their loyalty and commitment over the years, and we look forward to continuing to meet and exceed their expectations for many years to come. if you are interested in learning more about our services, feel free to contact us any time.

Five Star 2011 winner Jonathan McRoberts; Five Star 2011, 2012 winners christina Hom, Mike Strada, gregg takara and derek Wickes.

733 Bishop Street 2800 • Honolulu, HI 96813Phone: (808) 525-7979

[email protected] • www.morganstanley.com/fa/themcrobertsstradateam© 2012 Morgan Stanley Smith Barney LLC. Member SIPC. Source: Barron’s “Top 1,000 Advisors,” February 21, 2011, as identi� ed by Barron’s magazine, using quantitative and qualitative criteria, and selected from a pool of over 4,000 nominations. Advisors in the Top 1,000 Financial Advisors have a minimum of seven years of � nancial services experience. Qualitative factors include, but are not limited to, compliance records, interviews with senior management and philanthropic work. Investment performance is not a criterion. The rating may not be representative of any one client’s experience and is not indicative of the � nancial advisor’s future performance.

Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors pay a fee to Barron’s in exchange for the rating. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.

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Backus, Kubo & Cooke

Humble thanks to our clients

• Graystone Institutional Consulting

• Family Wealth Director

Peter Backus, CFA® – Sr. Vice President, Wealth AdvisorDavin Kubo, CIMA® – Sr. Vice President, Wealth AdvisorCatherine Cooke – Vice President, Wealth Advisor

Left to right: Two-year winner Peter Backus, Catherine Cooke, Davin Kubo

We wish to profoundly thank our clients who have been so gracious in their ratings of our services. Both our institutional and individual clients feel like extended family in our lives.

We continue to strive to provide extensive institutional consulting services for pensions, taft-Hartley and foundations, as well as innovative income strategies for individuals.

733 Bishop Street, Suite 2800 Honolulu, HI 96813

offi ce: (808) 525-6030

www.morganstanley.com/fa/backuskubocooke

© 2012 Morgan Stanley Smith Barney LLC. Member SIPC. Graystone Consulting is a business of Morgan Stanley Smith Barney LLC.

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Gail M. Hamada

Lifetime Financial Planning Builton loyalty and Support

• Customized and comprehensive approach

• Provide simple, but eff ective solutions

• More than 20 years of experience

Title: Financial AdvisorDesignations: CFP®, CRPC®

as an Ameriprise Platinum Financial Services® practice advisor, i believe in putting the needs of clients fi rst and foremost. I will get to know you and your dreams, and because our relationship is not just a one-time meeting but ongoing, i can help make all the diff erence in your plan, your life and your ability to plan to achieve your dreams. You may feel more confi dent knowing that you have a plan in place as your life changes.

1585 Kapiolani Boulevard, Suite 1100Honolulu, HI 96814

Offi ce: (808) 952-1246

[email protected]/gail.m.hamada

Investors should conduct their own evaluation of a financial professional as working with a financial advisor is not a guarantee of future financial success. Brokerage, investment and financial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA and SIPC. Some products and services may not be available in all jurisdictions or to all clients.

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David Hirokane

Better Informed Financial Decisions

• Retirement strategies, wealth management and tax-planning strategies

• Estate planning strategies and risk-management

• Comprehensive fi nancial planning approach

Designations: CFP®, CLU®, CRPC®Left to right: David Matsushita, two-year winner David Hirokane,Funling Tang and Clark Dorman

You haven’t taken a bailout; neither have we. Retire on your terms. The fi rst step in reaching your goals is reaching the person who can help you achieve them. i help generations achieve their dreams.

1585 Kapiolani Boulevard, Suite 1775Honolulu, HI 96814

Phone: (808) 792-7468

[email protected]/david.a.hirokane


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Joseph Rothstein

An Ameriprise PlatinumFinancial Services® practice

• Dynamic retirement income strategies

• Customized investment management

• Comprehensive fi nancial planning

Financial Advisor, CERTIFIED FINANCIAL PLANNER™

CFS®, Certified Fund Specialist ®Left to right: Cami Kamano and two-year winner Joseph Rothstein

We believe that the true measure of fi nancial security is peace of mind about your future, grounded in a solid fi nancial blueprint. Our process of analyzing your unique situation and goals leads to specifi c plans for wealth management, retirement income, tax and estate planning strategies. We pride ourselves on exceptional service to help you reach the goals that are closest to your heart, through a relationship based on personalized, knowledgeable advice.

1585 Kapiolani Boulevard, Suite 1100 Honolulu, HI 96814

Offi ce: (808) 952-1222, Ext. 1239 [email protected]

ameripriseadvisors.com/joseph.b.rothstein


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Eric M. Higashihara

1585 Kapiolani Blvd., Ste. 1630 Honolulu, HI 96814 Phone: (808) 792-5945 [email protected]

• Financial Advisor • 15 years of experience

As an Ameriprise fi nancial advisor, I believe success should be measured not just by your fi nancial well-being, but by how confi dent you feel about your future. My mission is to help you reach your fi nancial goals through a personal relationship based on personalized, knowledgeable advice. this focus is designed to help you reach your goals, giving you greater confi dence. Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial success. Brokerage, investment and � nancial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA and SIPC. Some

products and services may not be available in all jurisdictions or to all clients.

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Glenn E. Goya

33 lono ave., Ste. 330Kahului, HI 96732offi ce: (808) [email protected]

• Concern for clients well-being and fi nancial security• Informed and capable• Integrity and trust are paramount

Financial Advisor, CRPC®, Senior Vice President

Five Star Award Winner in 2011 and 2012

caring, competence and character

as a chartered retirement planning counselorSM with more than 30 years of experience, i focus on a comprehensive, holistic approach to retirement planning and portfolio management. investing in a global economy off ers great opportunities as well as dangerous pitfalls. We manage risk by staying defensive, diversifi ed and disciplined. Morgan Stanley Smith Barney has the knowledge and the resources to help you make sense of this very complex world.

© 2012 Morgan Stanley Smith Barney LLC. Member SIPC.

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Julie Ushio

trusted investment advice

• Customized investment strategies

• Advising families and businesses

• Simple fi nancial solutions

Title: First Vice President — Investments

communication, clarity and trust are the foundations of my business. over the past 25 years, I have worked with clients to clarify their fi nancial goals and create investment strategies to fi t their needs. Whether it is retirement plans for individuals or businesses, college savings, estate investment planning, life or long-term care insurance, my goal is to help my clients develop and monitor their investment plans.

1001 Bishop Street, Suite 1900 Honolulu, HI 96813

Phone: (808) 547-5270 Toll-free: (800) 637-2470

[email protected]

Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star selection process. Wells Fargo Advisors, LLC, Member SIPC. [1211-2712 12/11].

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Cynthia Schnack Lee

1001 Bishop St., Ste. 1900Honolulu, HI 96813Phone: (808) 547-5278Toll-free: (800) [email protected]

• First Vice President – Investments• CERTIFIED FINANCIAL PLANNER™ professional• Certifi ed Investment Management AnalystSM

With 25 years of fi nancial, investment, trust and philanthropic experience, Cynthia is highly qualifi ed to assist high-net-worth clients with their wealth management and estate investment planning needs.

Advisor selection is not reflective of individual client satisfaction or future performance. Please see the introduction section for important information on the scope of the award and the Five Star

selection process. Wells Fargo Advisors, LLC, Member SIPC. [CAR 1211-2551 12/11].

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Top five questions that wealth managers want clients to answer:

1. What are your goals and objectives with your finances?

2. What is your most pressing need right now?

3. Where do you see yourself in 5, 10, 15 years?

4. Where are all of your assets invested now?

5. What is important about money to you?

From research conducted by Five Star Professional, April 2011

Shirley Ikehara

1585 Kapiolani Blvd., Ste. 1775 Honolulu, HI 96814 Direct: (808) 792-7408 Offi ce: (808) 792-2640 [email protected] ameripriseadvisors.com/shirley.m.ikehara

• Disciplined approach to fi nancial planning • Personalized and ongoing client service • Strategic and comprehensive solutions

Title: Financial Advisor

Designations: CFP®, CFS ®

Financial Planning for the Future

I believe success should be measured not just by your fi nancial well-being, but by how confi dent you feel about your future. My mission is to help you reach your fi nancial goals through a personal relationship based on knowledgeable advice tailored to your individual needs. My eff orts are designed to support you achieving your goals and to help give you confi dence regarding your fi nancial future. Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial success. Brokerage, investment and � nancial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA

and SIPC. Some products and services may not be available in all jurisdictions or to all clients.

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Michelle M. M. Ogata

1585 Kapiolani Blvd., Ste. 1111 Honolulu, HI 96814 Direct: (808) 384-7785 [email protected] www.epgHawaii.com

• Goal-driven estate planning • Thoughtful and comprehensive legal service • Serving clients with integrity and compassi on

Principal, Attorney at Law

Juris Doctor

thank You to My valued clients

Michelle Ogata believes that each client is unique and deserves personalized service, customized planning and a professional relationship built on trust. Her vast knowledge of the law and her ability to connect with clients on a personal level has been the foundation of her success. as a proud mother and wife, Michelle brings compassion to her work with an understanding of family values and the importance of caring for loved ones. Focus: Estate Planning, Trust and Estate Administration, Probate, Elder Law, Medicaid Planning and Special Needs Planning.

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Vaughn A. Victorino

1585 Kapiolani Blvd., Ste. 1100 Honolulu, HI 96814 Offi ce: (808) 952-1222 [email protected]

• Retirement income planning • Multi-generational planning • Wealth preservation and legacy strategies

Financial Advisor

CERTIFIED FINANCIAL PLANNER ™

Building Futures.

Are you looking for ways to reach your fi nancial goals in today’s volatile market? That’s where I can help. I’ll take the time to listen to you and understand your goals; i’ll help you build a plan to get back on track toward reaching them. together, we can bring your dreams more within reach.Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial success. Brokerage, investment and � nancial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA


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1221 Kapiolani Blvd., Ste. 310Honolulu, HI 96814Office: (808) 591-4888Direct: (808) 591-4850Areas of Focus: Financial Planning, Investments, Taxation

Heidi A. Cregor

Both a licensed Financial Advisor and an IRS enrolled agent, Heidi a. cregor, ea, offers a unique, integrated approach combining personalized investment advisory and financial planning expertise with “side by side” tax planning and tax preparation service.

Securities & Investment Advisory Services are o� ered through Financial Advisers of America, LLC. Member FINRA/SIPC.

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1585 Kapiolani Blvd., Ste. 1616Honolulu, HI 96814Phone: (808) [email protected]®, CFS®Financial Advisor

Jennifer Du-Yung

As an Ameriprise Platinum Financial Services® advisor, i believe in putting the needs of my clients first and foremost.

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.

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1585 Kapiolani Blvd., Ste. 1616Honolulu, HI 96814Phone: (808) 380-8629 [email protected] CFP®, ChFC®, CFS®Financial Advisor

Valerie Schmidt

As an Ameriprise Platinum Financial Services® advisor, i believe in putting the needs of my clients first and foremost.



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“Don’t listen to other people.

Investigate for yourself. Be wary

of wealth managers who say they

never had a down year.”

— Five Star award winner

Marvin V. Silva

1585 Kapiolani Blvd., Ste. 1630 Honolulu, HI 96814 Phone: (808) 792-5935 [email protected]

• Retirement strategies/tax planning strategies, wealth mgmt.• Estate planning strategies and risk management

Dedicated to the service and support of clients

Financial Advisor, CFP®

Providing Financial Planning for a Lifetime

Marvin is a fi nancial advisor with an Ameriprise Platinum Financial Services® practice and has been committed to providing customized fi nancial advice for more than 25 years with Ameriprise. He takes the time to listen to your dreams and goals for you and your family, then builds a plan for you to get on track towards reaching them.Investors should conduct their own evaluation of a � nancial professional as working with a � nancial advisor is not a guarantee of future � nancial success. Brokerage, investment and � nancial advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA


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7192 Kalanianaole Hwy.,Ste. G 205 Hawaii Kai, HI 96825 Phone: (808) 395-0200 [email protected] www.jeffwhite.ws Financial Advisor, CFP® CRPC®

Jeff White

Mahalo nui loa to my clients.thank you, for this recognition.Your ret irement is the point in your l i f e w h e n y o u h a v e t h e l u x u r y o f deciding how you are going to spend each day.

Securities o� ered through LPL Financial MEMBER SIPC/FINRA.

1585 Kapiolani Blvd., Ste. 1616 Honolulu, HI 96814 Phone: (808) 380-8627 [email protected] CRPC®, AWMA®Financial Advisor

Ross Shimokawa

the first step in reaching your goals is reaching the person who can help you achieve them.



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

— Five Star award winner

615 Piikoi St., Ste.1509 Honolulu, HI 96814Phone: (808) 591-9959 Fax: (808) [email protected] JanetReyesCPA.comDesignations: CPA/PFS

Janet Williams-Reyes

With relationships built on trust, integrity and service, we provide individuals and businesses with tax and comprehensive financial planning.

Securities o� ered through Lincoln Investment Planning, Inc. Broker-Dealer, Member FINRA/SIPC.

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five star wealth managers

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