Rhonda Jean Finby, CIMA® CFP® CRPC®
- Managing Director - Investments
- Private Wealth Financial Advisor
- Senior PIM Portfolio Manager
Rhonda Jean Finby, CIMA® CFP® CRPC®
- Managing Director - Investments
- Private Wealth Financial Advisor
- Senior PIM Portfolio Manager
• Managing Director – Investments
• Senior PIM Portfolio Manager
Experience and Credentials:
· CERTIFIED FINANCIAL PLANNER™ Professional, CFP®
· Certified Investment Management Analyst, CIMA®
· Chartered Retirement Planning Counselor, CRPC®
Rhonda J. Finby, Managing Director – Investments, with a CERTIFIED FINANCIAL PLANNER™ designation, a Certified Investment Management Analyst designation, and a Chartered Retirement Planning Counselor designation is a Senior PIM Portfolio Manager at Wells Fargo Advisors in Seal Beach, California. She holds Series 7, 63, and 65 registrations. Resident State CA. Rhonda earned her Bachelor of Science Degree in Finance at California State University, Long Beach. She earned her Master of Science Degree in Financial Planning, with an emphasis on Retirement Planning, and her CFP® designation, from the College of Financial Planning, Denver, Colorado. Rhonda has more than 30 years of experience in the retirement and investment planning business, and currently manages investments of more than $500 million for Wells Fargo Advisors clients as of October 1st, 2022. CA Insurance License 0A05272; CA resident.
Certified Investment Management Analyst (CIMA®)
The designation Certified Investment Management Analyst (CIMA®) is the professional hallmark in the investment field and is bestowed by The Investment Management Consultants Association (IMCA). The CIMA® designation identifies a Financial Consultant who can help the Client establish and obtain realistic financial objectives. The CIMA® professional provides objective investment advice and guidance to both individuals and institutions. The CIMA® designation indicates that the recipient has integrated a complex body of investment knowledge and applies it systematically and ethically to specific clients’ needs. The CIMA® designation indicates that the holder has mastered Legal and Regulatory Environment, Investment Policy, Appropriate Asset Allocation, Risk Management, Determining Return on a Portfolio, IMCA’s Performance Reporting Standards, Performance Measurement and Attribution, International Financial Markets, Alternate Investment Structures, and Tax Efficiency, and applies them ethically.
CERTIFIED FINANCIAL PLANNER™ (CFP®)
The CERTIFIED FINANCIAL PLANNER™ (CFP®) designation is bestowed upon a Financial Professional who has fulfilled the certification and relicensing requirements of the CFP® Board. Education requirements include the Financial Planning Process, Tax Planning, Employee Benefits, Retirement Planning, Estate Planning, Investment Management, and Insurance. Series 65 is subsumed under the CFP™ designation.
Chartered Retirement Planning Counselor (CRPC®)
This CRPC® program focuses on the pre- and post-retirement needs of Clients. These needs include the Retirement Planning Process, Identifying Sources of Retirement Income, Meeting Multiple Financial Goals, Individual Deferred Compensation, Employer-Sponsored Plans, Planning for Incapacity, Disability, and Long-Term Care, when to retire, and Investment, Cash Flow, and Distribution Strategies during retirement.
Recognitions
In 2018, 2019 & 2020, Rhonda was selected for the “Working Mother’s Top Wealth Advisor Moms” by Working Mother Magazine. The Working Mother’s Top Wealth Advisor Moms rating algorithm based on industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC, which does not receive compensation from the advisors or their firms in exchange for placement on a ranking. Investment performance is not a criterion.
2018 Working Mother’s Top Wealth Advisor Moms: Awarded October 2018; Data compiled by SHOOK Research LLC based on the time period from 3/31/17 – 3/31/18. 2019 Working Mother’s Top Wealth Advisor Moms: Awarded October 2019; Data compiled by SHOOK Research LLC based on the time period from 3/31/18 – 3/31/19. 2020 Working Mother’s Top Wealth Advisor Moms: Awarded September 2020; Data compiled by SHOOK Research LLC based on the time period from 3/31/19 – 3/31/20. (Source: Workingmother.com.) The Working Mother’s Top Wealth Advisor Moms rating algorithm based on industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion.
Additionally, Rhonda has been selected seven times for the “Top Women Wealth Advisors” by Forbes Magazine and SHOOK Research including 2017 (inaugural year), 2018, 2019, 2020, 2021, 2022 & 2023. *
2023 Forbes Top Women Wealth Advisors: Awarded February 2023; Data complied by SHOOK Research LLC based on the time period from 9/30/21- 9/30/22 (Source Forbes.com
2022 Forbes Top Women Wealth Advisors: Awarded February 2022; Data complied by SHOOK Research LLC based on the time period from 9/30/20- 9/30/21 (Source Forbes.com).
2021 Forbes Top Women Wealth Advisors: Awarded March 2021; Data compiled by SHOOK Research LLC based on the time period from 09/30/19- 09/30/20 (Source: Forbes.com)
2020 Forbes Top Women Wealth Advisors: Awarded April 2020; Data compiled by SHOOK Research LLC based on the time period from 09/30/18- 09/30/19 (Source: Forbes.com)
2019 Forbes Top Women Wealth Advisors: Awarded April 2019; Data compiled by SHOOK Research LLC based on the time period from 09/30/17- 09/30/18 (Source: Forbes.com)
2018 Forbes Top Women Wealth Advisors: Awarded May 2018; Data compiled by SHOOK Research LLC based on the time period from 09/30/16- 09/30/17 (Source: Forbes.com)
2017 Forbes Top Women Wealth Advisors: Awarded February 2017; Data compiled by SHOOK Research LLC based on the time period from 09/30/15- 09/30/16 (Source: Forbes.com)
The Forbes Top Women Wealth Advisor rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK research, LLC. Investment performance is not a criterion. Self- completed survey was used rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
Rhonda has been selected twelve times for the “Five Star Wealth Managers in Los Angeles” by Los Angeles Magazine and Five Star Professional in the years 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019, 2020, 2021, 2022 & 2023. *
*This award was issued on May 1, 2023 by Five Star Professional (FSP) for the time period July 25, 2022 through February 10, 2023. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award 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 principle of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and compliant history review (As defined by FSP, the wealth manager has not; A. been subjected to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than the 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 FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaint registered with a regulatory authority or complaints registered through FSP’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 a 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. FSP does not evaluate quality of service to clients. The 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 wealth manager by FSP or this publication. Working with Five Star Wealth Management 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 FSP in the future.
Award was issued on May 1, 2023 by Five Star Professional (FSP) for the time period July 25, 2022 through February 10, 2023. 2,576 Orange County-area wealth managers were considered for the award; 160 (6% of candidates) were named 2023 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
Award was issued on May 1, 2022 by Five Star Five Star Professional (FSP) for the time period August 30, 2021 through March 4, 2022. 2,482 Orange County-area wealth managers were considered for the award; 143 (6% of candidates) were named 2022 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
Award issued on December 01, 2021 by Five Star Professional (FSP) for the time period March 29,2021 through October 1, 2021. 3,781 Los Angeles wealth managers were considered for the award; 150 (4% of candidates) were named 2022 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 2020 by Five Star Professional (FSP) for the time period March 30. 2020 through October 9, 2020. 3,574 Los Angeles wealth managers were considered for the award; 158 (4% of the candidates) were named 2021 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 2019 by Five Star Professional (FSP) for the time period March 1, 2019 through October 25, 2019. 3,527 Los Angeles wealth managers were considered for the award; 158 (4% of the candidates) were named 2020 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 20218 by Five Star Professional (FSP) for the time period March 26, 2018 through October 16, 2018. 3,528 Los Angeles wealth managers were considered for the award; 154 (4% of the candidates) were named 2019 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 2017 by Five Star Professional (FSP) for the time period March 23, 2017 through October 13, 2017. 2,708 Los Angeles wealth managers were considered for the award; 154 (5% of the candidates) were named 2018 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on November 1, 2016 by Five Star Professional (FSP) for the time period February 25, 2016 through October 24, 2016. 2,351 Los Angeles wealth managers were considered for the award; 287 - 12% of the candidates were named 2017 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on November 1, 2015 by Five Star Professional (FSP) for the time period May 22, 2015 through October 16, 2015. 2,374 Los Angeles wealth managers were considered for the award; 298 (12% of the candidates) were named 2016 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued December 1, 2014 by Five Star Professional (FSP) for the time period March 5, 2014 through October 16, 2014. 3,105 Los Angeles wealth managers were considered for the award; 327 (10% of the candidates) were named 2015 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued December 1, 2013 by Five Star Professional (FSP) for the time period March 22, 2013 through October 16, 2013. 6,088 Los Angeles wealth managers were considered for the award; 340 (5% of the candidates) were named 2014 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued December 1, 2012 by Five Star Professional (FSP) for the time period March 22, 2012 through October 16, 2012. 3,488 Los Angeles wealth managers were considered for the award; 372 (10% of the candidates) were named 2013 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued November 1, 2011 by Five Star Professional (FS) for the time period March 22, 2011 through October 16, 2011. 1,019 Los Angeles wealth managers were considered for the award; 176 (17% of the candidates) were named 2012 Five Star Wealth Managers. www.fivestarprofessional.com.
Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
• Senior PIM Portfolio Manager
Experience and Credentials:
· CERTIFIED FINANCIAL PLANNER™ Professional, CFP®
· Certified Investment Management Analyst, CIMA®
· Chartered Retirement Planning Counselor, CRPC®
Rhonda J. Finby, Managing Director – Investments, with a CERTIFIED FINANCIAL PLANNER™ designation, a Certified Investment Management Analyst designation, and a Chartered Retirement Planning Counselor designation is a Senior PIM Portfolio Manager at Wells Fargo Advisors in Seal Beach, California. She holds Series 7, 63, and 65 registrations. Resident State CA. Rhonda earned her Bachelor of Science Degree in Finance at California State University, Long Beach. She earned her Master of Science Degree in Financial Planning, with an emphasis on Retirement Planning, and her CFP® designation, from the College of Financial Planning, Denver, Colorado. Rhonda has more than 30 years of experience in the retirement and investment planning business, and currently manages investments of more than $500 million for Wells Fargo Advisors clients as of October 1st, 2022. CA Insurance License 0A05272; CA resident.
Certified Investment Management Analyst (CIMA®)
The designation Certified Investment Management Analyst (CIMA®) is the professional hallmark in the investment field and is bestowed by The Investment Management Consultants Association (IMCA). The CIMA® designation identifies a Financial Consultant who can help the Client establish and obtain realistic financial objectives. The CIMA® professional provides objective investment advice and guidance to both individuals and institutions. The CIMA® designation indicates that the recipient has integrated a complex body of investment knowledge and applies it systematically and ethically to specific clients’ needs. The CIMA® designation indicates that the holder has mastered Legal and Regulatory Environment, Investment Policy, Appropriate Asset Allocation, Risk Management, Determining Return on a Portfolio, IMCA’s Performance Reporting Standards, Performance Measurement and Attribution, International Financial Markets, Alternate Investment Structures, and Tax Efficiency, and applies them ethically.
CERTIFIED FINANCIAL PLANNER™ (CFP®)
The CERTIFIED FINANCIAL PLANNER™ (CFP®) designation is bestowed upon a Financial Professional who has fulfilled the certification and relicensing requirements of the CFP® Board. Education requirements include the Financial Planning Process, Tax Planning, Employee Benefits, Retirement Planning, Estate Planning, Investment Management, and Insurance. Series 65 is subsumed under the CFP™ designation.
Chartered Retirement Planning Counselor (CRPC®)
This CRPC® program focuses on the pre- and post-retirement needs of Clients. These needs include the Retirement Planning Process, Identifying Sources of Retirement Income, Meeting Multiple Financial Goals, Individual Deferred Compensation, Employer-Sponsored Plans, Planning for Incapacity, Disability, and Long-Term Care, when to retire, and Investment, Cash Flow, and Distribution Strategies during retirement.
Recognitions
In 2018, 2019 & 2020, Rhonda was selected for the “Working Mother’s Top Wealth Advisor Moms” by Working Mother Magazine. The Working Mother’s Top Wealth Advisor Moms rating algorithm based on industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC, which does not receive compensation from the advisors or their firms in exchange for placement on a ranking. Investment performance is not a criterion.
2018 Working Mother’s Top Wealth Advisor Moms: Awarded October 2018; Data compiled by SHOOK Research LLC based on the time period from 3/31/17 – 3/31/18. 2019 Working Mother’s Top Wealth Advisor Moms: Awarded October 2019; Data compiled by SHOOK Research LLC based on the time period from 3/31/18 – 3/31/19. 2020 Working Mother’s Top Wealth Advisor Moms: Awarded September 2020; Data compiled by SHOOK Research LLC based on the time period from 3/31/19 – 3/31/20. (Source: Workingmother.com.) The Working Mother’s Top Wealth Advisor Moms rating algorithm based on industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion.
Additionally, Rhonda has been selected seven times for the “Top Women Wealth Advisors” by Forbes Magazine and SHOOK Research including 2017 (inaugural year), 2018, 2019, 2020, 2021, 2022 & 2023. *
2023 Forbes Top Women Wealth Advisors: Awarded February 2023; Data complied by SHOOK Research LLC based on the time period from 9/30/21- 9/30/22 (Source Forbes.com
2022 Forbes Top Women Wealth Advisors: Awarded February 2022; Data complied by SHOOK Research LLC based on the time period from 9/30/20- 9/30/21 (Source Forbes.com).
2021 Forbes Top Women Wealth Advisors: Awarded March 2021; Data compiled by SHOOK Research LLC based on the time period from 09/30/19- 09/30/20 (Source: Forbes.com)
2020 Forbes Top Women Wealth Advisors: Awarded April 2020; Data compiled by SHOOK Research LLC based on the time period from 09/30/18- 09/30/19 (Source: Forbes.com)
2019 Forbes Top Women Wealth Advisors: Awarded April 2019; Data compiled by SHOOK Research LLC based on the time period from 09/30/17- 09/30/18 (Source: Forbes.com)
2018 Forbes Top Women Wealth Advisors: Awarded May 2018; Data compiled by SHOOK Research LLC based on the time period from 09/30/16- 09/30/17 (Source: Forbes.com)
2017 Forbes Top Women Wealth Advisors: Awarded February 2017; Data compiled by SHOOK Research LLC based on the time period from 09/30/15- 09/30/16 (Source: Forbes.com)
The Forbes Top Women Wealth Advisor rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK research, LLC. Investment performance is not a criterion. Self- completed survey was used rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
Rhonda has been selected twelve times for the “Five Star Wealth Managers in Los Angeles” by Los Angeles Magazine and Five Star Professional in the years 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019, 2020, 2021, 2022 & 2023. *
*This award was issued on May 1, 2023 by Five Star Professional (FSP) for the time period July 25, 2022 through February 10, 2023. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award 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 principle of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and compliant history review (As defined by FSP, the wealth manager has not; A. been subjected to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than the 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 FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaint registered with a regulatory authority or complaints registered through FSP’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 a 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. FSP does not evaluate quality of service to clients. The 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 wealth manager by FSP or this publication. Working with Five Star Wealth Management 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 FSP in the future.
Award was issued on May 1, 2023 by Five Star Professional (FSP) for the time period July 25, 2022 through February 10, 2023. 2,576 Orange County-area wealth managers were considered for the award; 160 (6% of candidates) were named 2023 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
Award was issued on May 1, 2022 by Five Star Five Star Professional (FSP) for the time period August 30, 2021 through March 4, 2022. 2,482 Orange County-area wealth managers were considered for the award; 143 (6% of candidates) were named 2022 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
Award issued on December 01, 2021 by Five Star Professional (FSP) for the time period March 29,2021 through October 1, 2021. 3,781 Los Angeles wealth managers were considered for the award; 150 (4% of candidates) were named 2022 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 2020 by Five Star Professional (FSP) for the time period March 30. 2020 through October 9, 2020. 3,574 Los Angeles wealth managers were considered for the award; 158 (4% of the candidates) were named 2021 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 2019 by Five Star Professional (FSP) for the time period March 1, 2019 through October 25, 2019. 3,527 Los Angeles wealth managers were considered for the award; 158 (4% of the candidates) were named 2020 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 20218 by Five Star Professional (FSP) for the time period March 26, 2018 through October 16, 2018. 3,528 Los Angeles wealth managers were considered for the award; 154 (4% of the candidates) were named 2019 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 2017 by Five Star Professional (FSP) for the time period March 23, 2017 through October 13, 2017. 2,708 Los Angeles wealth managers were considered for the award; 154 (5% of the candidates) were named 2018 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on November 1, 2016 by Five Star Professional (FSP) for the time period February 25, 2016 through October 24, 2016. 2,351 Los Angeles wealth managers were considered for the award; 287 - 12% of the candidates were named 2017 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on November 1, 2015 by Five Star Professional (FSP) for the time period May 22, 2015 through October 16, 2015. 2,374 Los Angeles wealth managers were considered for the award; 298 (12% of the candidates) were named 2016 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued December 1, 2014 by Five Star Professional (FSP) for the time period March 5, 2014 through October 16, 2014. 3,105 Los Angeles wealth managers were considered for the award; 327 (10% of the candidates) were named 2015 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued December 1, 2013 by Five Star Professional (FSP) for the time period March 22, 2013 through October 16, 2013. 6,088 Los Angeles wealth managers were considered for the award; 340 (5% of the candidates) were named 2014 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued December 1, 2012 by Five Star Professional (FSP) for the time period March 22, 2012 through October 16, 2012. 3,488 Los Angeles wealth managers were considered for the award; 372 (10% of the candidates) were named 2013 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued November 1, 2011 by Five Star Professional (FS) for the time period March 22, 2011 through October 16, 2011. 1,019 Los Angeles wealth managers were considered for the award; 176 (17% of the candidates) were named 2012 Five Star Wealth Managers. www.fivestarprofessional.com.
Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
Contact
Jonathan F. Kimmes
- Senior VP - Investment Officer
- PIM Portfolio Manager
Jonathan F. Kimmes
- Senior VP - Investment Officer
- PIM Portfolio Manager
Experience and Credentials
Jonathan (Jon) has an extensive Securities and Investments background and holds Series 3, 7, 55, 63, and 65 registrations. Jon’s wide-ranging securities background, including the areas of wealth management strategies and asset allocation, complement Rhonda’s background. Jon consults with individuals and business entities on Income Generation, Risk Tolerance, and Portfolio Diversification. He is also a co-presenter with Rhonda in seminars and, with his broad background, has a high level of expertise in reviewing client portfolios. Jon has more than 20 years of experience in the retirement and investment planning business, and currently manages investments of more than $500 million for Wells Fargo Advisors clients as of October 1st, 2022. Given his tenure, Jon has experienced all types of market environments and understands how to manage risk and stay tactical even during market downturns. CA Insurance license 0D84988; CA resident.Jon and his family live in Huntington Beach, California. He is an avid golfer, and enjoys travelling to various courses and country clubs around the world. Jon is also a wine enthusiast and is fond of select craft breweries. In his free time, Jon enjoys spending time with his family, especially his son Greyson and daughter Kennedy.
Recognition
In 2021, Jon was selected as one of the “Forbes Top Next-Gen Wealth Advisors” in California, according to Forbes Magazine. Forbes Top Next-Gen Wealth Advisors list spotlights more than 1,485 advisors from Alaska to Florida with team assets amounting to more than $1 trillion. This award has Jon listed at #95.
2021 Forbes Top Next-Gen Wealth Advisors: Awarded September 2021; Data compiled by SHOOK Research LLC based on the time period from 3/31/20 - 3/31/21 (Source: Forbes.com). The Forbes Top Next-Gen Wealth Advisors rating algorithm is based on the previous year’s industry experience, interviews, compliance records, assets under management, revenue and other criteria by SHOOK Research, LLC. Investment performance is not a criterion. Self-completed survey was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria.
Jon has been selected nine times for the “Five Star Wealth Managers in Los Angeles” by Los Angeles Magazine and Five Star Professional in the years 2014, 2015, 2016, 2017, 2018, 2019, 2020, 2021, 2022 & 2023.*
*This award was issued on May 1, 2023 by Five Star Professional (FSP) for the time period July 25, 2022 through February 10, 2023. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective 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 principle of a registered investment adviser or principle of a registered investment adviser frim for a minimum of 5 years; 3. Favorable regulatory and compliant history review (As defined by FSP, the wealth manager has not; A. Been subjected 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 settling or pending complaints filed against them and/or a total of five settled, pending, dismissed, or denied complaints with any regulatory authority or FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaint registered through FSP’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 a 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. FSP does not evaluate quality of service to clients. The 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 wealth manager by FSP or this publication. Working with Five Star Wealth Management 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 FSP in the future.
Award was issued on December 01, 2023 by Five Star Professional (FSP) for the time period February 13, 2023 through August 31, 2023. 4,527 Los Angeles-area wealth managers were considered for the award; 158 (3% of candidates) were named 2024 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
Award was issued on May 1, 2022 by Five Star Five Star Professional (FSP) for the time period August 30, 2021 through March 4, 2022. 2,482 Orange County-area wealth managers were considered for the award; 143 (6% of candidates) were named 2022 Five Star Wealth Managers. Visit www.fivestarprofessional.com.
Award issued on December 01, 2021 by Five Star Professional (FSP) for the time period March 29,2021 through October 1, 2021. 3,781 Los Angeles wealth managers were considered for the award; 150 (4% of candidates) were named 2022 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 2020 by Five Star Professional (FSP) for the time period March 30. 2020 through October 9, 2020. 3,574 Los Angeles wealth managers were considered for the award; 158 (4% of the candidates) were named 2021 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 2019 by Five Star Professional (FSP) for the time period March 1, 2019 through October 25, 2019. 3,527 Los Angeles wealth managers were considered for the award; 158 (4% of the candidates) were named 2020 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 20218 by Five Star Professional (FSP) for the time period March 26, 2018 through October 16, 2018. 3,528 Los Angeles wealth managers were considered for the award; 154 (4% of the candidates) were named 2019 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on December 1, 2017 by Five Star Professional (FSP) for the time period March 23, 2017 through October 13, 2017. 2,708 Los Angeles wealth managers were considered for the award; 154 (5% of the candidates) were named 2018 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on November 1, 2016 by Five Star Professional (FSP) for the time period February 25, 2016 through October 24, 2016. 2,351 Los Angeles wealth managers were considered for the award; 287 - 12% of the candidates were named 2017 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued on November 1, 2015 by Five Star Professional (FSP) for the time period May 22, 2015 through October 16, 2015. 2,374 Los Angeles wealth managers were considered for the award; 298 (12% of the candidates) were named 2016 Five Star Wealth Managers. www.fivestarprofessional.com.
Award issued December 1, 2014 by Five Star Professional (FSP) for the time period March 5, 2014 through October 16, 2014. 3,105 Los Angeles wealth managers were considered for the award; 327 (10% of the candidates) were named 2015 Five Star Wealth Managers. www.fivestarprofessional.com.
Fee paid for use of marketing materials.
Visit fivestarprofessional.com. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria
Contact
Shari C. Knox
- Senior Registered Client Associate
- Officer
Shari C. Knox
- Senior Registered Client Associate
- Officer
Shari C. Knox is a Senior Registered Client Associate with more than 30 years of experience in the financial services industry and has been an assistant to Rhonda since 1997. She is registered, and holds Series 7 and 66 registrations. Shari functions as lead support to Rhonda and Jon. She manages opening new accounts, wire transfers, account transfers, order placements, and trading.
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