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David Waynick and Kevin Swinigan 2018 St. Louis Five Star Wealth Managers Flipbook PDF

David Waynick and Kevin Swinigan 2018 St. Louis Five Star Wealth Managers

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David Waynick and Kevin Swinigan FIVE STAR WEALTH MANAGERS

Five Star Professional employed a rigorous research process to identify the Five Star Wealth Manager award winners in the St. Louis area. Award-winning professionals were carefully selected from among thousands of wealth managers for their knowledge, service and experience. Award winners represent an exclusive group of wealth managers who have demonstrated excellence in their field by satisfying 10 objective selection criteria. Award winner seen in

+ The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 2,533 St. Louis area wealth managers were considered for the award; 179 (7 percent of candidates) were named 2018 Five Star Wealth Managers. 2017: 1,681 considered, 181 winners; 2016: 1,427 considered, 324 winners; 2015: 2,94 considered, 358 winners; 2014: 1,401 considered, 389 winners; 2013: 1,726 considered, 485 winners; 2012: 1,800 considered, 455 winners.

©2018 Five Star Professional

2018 FIVE STAR WEALTH MANAGERS ST. LOUIS A SELECT AWARD

Five Star Wealth Manager Criteria

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.

Determination of Award Winners

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. Furthermore, asking a financial adviser to talk about any specialties they may 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? Five Star Professional uses its own proprietary research methodology to name outstanding professionals, then works with publications such as St. Louis Magazine to spread word out about award winners who satisfy 10 objective eligibility and evaluation criteria. Among many distinguishing attributes, the average one-year client retention rate for this year’s award winners is more than 96 percent. Although this list is a useful tool for anyone looking for help in managing their financial world or implementing aspects of their financial strategies, it should not be considered exhaustive. Undoubtedly, there are many excellent wealth managers who, for one reason or another, are not on this year’s list. For more information on how we name outstanding wealth managers, as well as a complete list of winners and our research methodology, go to www.fivestarprofessional.com.

Award candidates who satisfied 10 objective eligibility and evaluation criteria were named 2018 Five Star Wealth Managers. Eligibility Criteria – Required 1. Credentialed as a registered investment adviser or a registered investment adviser representative. 2. Actively employed as a credentialed professional in the financial services industry for a minimum of five years. 3. Favorable regulatory and complaint history review. 4. F ulfilled their firm review based on internal firm standards. 5. Accepting new clients. Evaluation Criteria – Considered 6. One-year client retention rate. 7. Five-year client retention rate. 8. N on-institutional discretionary and/or non-discretionary client assets administered. 9. Number of client households served. 10. Education and professional designations.

RESEARCH DISCLOSURES 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. St. Louis award candidates were identified using internal and external research data. • 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. •W ealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. • T he 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 St. Louis Magazine. •W orking 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. • F ive Star Professional is not an advisery firm, and the content of this article should not be considered financial advice. For more information on the Five Star award and the research/ selection methodology, go to www.fivestarprofessional.com. • 2 ,533 award candidates in the St. Louis area were considered for the Five Star Wealth Manager award. 179 (approximately 7 percent of the award candidates) were named 2018 Five Star Wealth Managers.

©2018 Five Star Professional

Regulatory Review 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 • Individually contributed to a financial settlement of a customer complaint • Been convicted of a felony • Within the past 11 years: – Been terminated from a wealth management or financial services firm – Filed for personal bankruptcy – Had more than a total of three settled or pending complaints filed against them (and no more than five total pending, dismissed, or denied) with any regulatory authority Five Star Professional conducts a regulatory review of each nominated wealth manager using the Investment Adviser Public Disclosure (IAPD) website. Five Star Professional also uses multiple supporting processes to help ensure that a favorable regulatory and complaint history exists. Data submitted through these processes was applied per the below 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.

2018 FIVE STAR WEALTH MANAGER

David Waynick and Kevin Swinigan Waynick, Swinigan & Associates, a private wealth advisory practice of Ameriprise Financial Services, Inc. Over two decades of financial services experience We know that aﬄuence is about more than just making money. It’s a way for you to live the life you’ve always imagined and to accomplish the things you’ve dreamed about. We also know that wealth brings responsibility and complexity. Just as you’ve worked hard to reach a level of aﬄuence and comfort in your life, you now need to manage and secure all that you’ve achieved. We have extensive experience helping clients like you deal with the complexity of wealth. We work closely with you to explore the full range of opportunities your wealth can bring and advise you on the best strategies for harnessing its potential throughout your life.

7 YEAR

WINNER Left to right: 2012–2018 winner David Waynick, Private Wealth Advisor; 2012 – 2016, 2018 winner Kevin Swinigan, CRPC®, Financial Advisor

622 Emerson Road, Suite 220 • St. Louis, MO 63141 • David: 314-576-2111 • [email protected] • www.davidwaynick.com Kevin: 314-576-2111 • [email protected] www.ameripriseadvisors.com/kevin.s.swinigan Investment advisory services and products are made available through Ameriprise Financial Services, Inc., a registered investment adviser. 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. Wealth Manager Award Winner

Award winner seen in

+ The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 2,533 St. Louis area wealth managers were considered for the award; 179 (7 percent of candidates) were named 2018 Five Star Wealth Managers. 2017: 1,681 considered, 181 winners; 2016: 1,427 considered, 324 winners; 2015: 2,94 considered, 358 winners; 2014: 1,401 considered, 389 winners; 2013: 1,726 considered, 485 winners; 2012: 1,800 considered, 455 winners.

©2018 Five Star Professional

2900 Lone Oak Parkway, Suite 120 Eagan, MN 55121 Toll-free: 800-438-5782 www.fivestarprofessional.com facebook.com/FiveStarProfessional twitter.com/FiveStarPros

©2018 Five Star Professional