In 2022 Rick was selected as an “East Bay Five Star Wealth Manager” for the eleventh consecutive year in an independent survey conducted through Diablo Magazine and published in their November 2022 issue. 


The Five Star Wealth Manager award was issued on June 22nd, 2022 by Five Star Professional (FSP) for the time period November 1, 2022 through October 31, 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 a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, 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 FSP’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints 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 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 services provided 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 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 FSP 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 FSP in the future. 3,626 East Bay wealth managers were considered for the award; 90 (3 percent of candidates) were named 2022 Five Star Wealth Managers. Visit www.fivestarprofessional.com.

Award issued on 7/22/2022 Five Star Professional (FSP) for the time period 11/1/2022 through 10/31/2023.  3,326 East Bay wealth managers were considered for the award; 90 (3% of candidates) were named Five Star Wealth Managers.

Award issued on 7/7/2021 Five Star Professional (FSP) for the time period 11/1/2021 through 10/31/2022.  1,413 East Bay wealth managers were considered for the award; 89 (6% of candidates) were named Five Star Wealth Managers.

Award issued on 7/16/20 by Five Star Professional (FSP) for the time period 11/1/2020 through 10/31/21.  1,260 East Bay wealth managers were considered for the award; 88 (6% of candidates) were named Five Star Wealth Managers.

Award issued on 7/12/2019 Five Star Professional (FSP) for the time period 11/1/19 through 10/31/2020.  1,340 East Bay wealth managers were considered for the award; 104 (8% of candidates) were named Five Star Wealth Managers.

Award issued on 7/10/2018 by Five Star Professional (FSP) for the time period 11/1/2018 through 10/31/2019.  1,397 East Bay wealth managers were considered for the award; 113 (8% of candidates) were named Five Star Wealth Managers.

Award issued on 7/21/2017 by Five Star Professional (FSP) for the time period 11/1/2017 through 10/31/2018.  1,049 East Bay wealth managers were considered for the award; 95 (9% of candidates) were named Five Star Wealth Managers.

Award issued on 7/18/2016 by Five Star Professional (FSP) for the time period 11/1/2016 through 10/31/2017.  948 East Bay wealth managers were considered for the award; 102 (20% of candidates) were named Five Star Wealth Managers.

Award issued on 7/14/2015 by Five Star Professional (FSP) for the time period 11/1/2015 through 10/31/2016.  2,261 East Bay wealth managers were considered for the award; 183 (9% of candidates) were named Five Star Wealth Managers.

Award issued on 7/21/2014 by Five Star Professional (FSP) for the time period 11/20/2014 through 10/31/2015.  4,527 East Bay wealth managers were considered for the award; 205 (5% of candidates) were named Five Star Wealth Managers.

Award issued on 7/24/2013 by Five Star Professional (FSP) for the time period 11/1/2013 through 10/31/2014.  858 East Bay wealth managers were considered for the award; 195 (23% of candidates) were named Five Star Wealth Managers.

Award issued on 7/19/2012 by Five Star Professional (FSP) for the time period 11/1/2012 through 10/31/2013.  1,145 East Bay wealth managers were considered for the award; 233 (21% of candidates) were named Five Star Wealth Managers.