August 2015 | Read Online



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President's Message

The Financial Planning Association of Orange County (FPAOC) was very busy last quarter growing and reaching new heights by Putting FPAOC on the Map for its 524 members, a number we have not reached since February of 2009. Our FPAOC board members along with our diverse and talented volunteers put in a lot of sweat and tremendous work to accomplish this growth in membership. I am so grateful to be surrounded by the leadership on the board who oversee the many activities of the chapter.

Last month, our board had our Mid-Year Strategic Planning Meeting run by our President-Elect, Wil Smith, who did a great job. We reviewed our accomplishments during the first 6 months and discussed how we, as a board, can elevate us as a chapter and Engage!

We are connecting and benefiting our fellow planners, partners, and our allied professionals, and we are committed to advancing the profession.

Our Allied Professionals Committee, chaired by Balaji Rao, has confirmed Glenn Stearns, Founder and Chairman of Stearns Lending, as one of the keynote speakers for the AP Summit. Please come and listen to his amazing story. Scott West, Head of Invesco Consulting, is our second keynote speaker. This year’s Summit is the largest joint collaboration for this event with CFA Society of Orange County, NAIFA, Cal CPA and CSEA working together. Register now for the AP Summit on September 29th at the Pacific Club.

We had a very successful Allied Professionals CE Breakfast on June 16th with 27 attendees, and we had the AP Mixer on July 15th at JT Schmidt’s where 20 members and guests networked over great food and drinks.

The Volunteer Development Committee, chaired by Dan Sands, has been hard at work on our first ever Chapter Picnic at Irvine Regional Park on Saturday, August 29th. The event is open to all members and partners. We highly encourage you to bring your spouses, children and significant others. Plan on a day filled with food, fun and activities which will be the talk of many Quarterly Education Meetings to come. Please visit our event page for more details. Only $10 per person for the first 150 registrants, then $20 thereafter, so sign up today!

Public Relations Chair Kelly MacRae and I had a wonderful meeting with the Orange County Register’s Neil Passey, National Director of Direct Response Advertising, and Eric Morgan, Public Relations Manager of Marketing and Communications. We are in the final steps of having an agreement to have the Register as a media partner for our chapter. We are very much excited about this joint venture. Our PR committee is putting the final touches on a fabulous media kit that is representative of the excellence of our chapter.

Our community outreach is very impactful, too. We reached out to 90 Simon Foundation college scholars, served the women in transition at Mercy House, and this month the FPAOC chapter is planning to reach out to 28 Junior High school students with Kidworks. Also, we would like to mention the Orange County Financial Planning Day scheduled on October 17th at the Huntington Beach Library. It is in full swing lining up dignitaries, sponsors, and workshops.

Nominations are being accepted for board positions for next year. Please contact Wil Smith, President-Elect, if you are interested in making an impact and participating in the leadership of the chapter.

On the national level, the FPA Board has voted and decided to make membership dues changes for the CFP® Professional and Allied Professionals categories, and we will update you further on this.

Please reach out to me with your questions, suggestions or comments on how we can grow our community and our profession by Putting FPAOC on the Map!

Andi Y. H. Kang, CFP®
FPAOC President 2015

Upcoming Events

August Quarterly Education Meeting

Date: Wednesday, August 12
Time: 8:30 am to 4:30 pm
Location: UCI Student Center Pacific Ballroom

Cost: FPA Members $25, Non-Members $150, First-Time Visitors are Free
Lunch is included, and parking is free in the lot across from the Student Center.

Join us! Our August meeting is going to have great speakers and topics and includes a special technical focus. We anticipate that 4 CFP CE, 4 CPA CPE, and 1 CA Insurance CE will be offered.

Speakers include:

  • Craig Israelsen, Ph.D., Developer of the 7Twelve Portfolio, 7Twelve: A Diversified Core for Every Portfolio
  • Alan Moore, MS, CFP®, CDFA,Co-founder of the XY Planning Network and president of Serenity Financial Consulting, The Changing Landscape for Financial Planning: What You Can Do To Stay Ahead
  • Todd Macaluso, Sales Director, United Healthcare, Congratulations! Your Client is 65. Now What? Helping Clients Navigate the Medicare Maze
  • Russell James, J.D., Ph.D., CFP®,Professor in the Department of Personal Financial Planning at Texas Tech University, Top 10 Charitable Planning Strategies for Financial Advisors
  • Allen Hamm, Founder and President of Superior LTC, How to Plan for Long Term Care


1st Annual FPAOC Chapter Picnic

Date: Saturday, August 29
Time: 11:00 am to 4:00 pm
Location: Irvine Regional Park, Group Site #2

Cost: For the first 150 registrants (members, spouses/guests, children), cost is $10 per person. After 150, the cost is $20 per person. Children 3 and under are free. Parking is $5/car.

Presented By

You are invited to FPA of Orange County’s first Chapter Picnic! We’ve added even more fun to this new event, and members, you’ll want to register early! We welcome our 2015 Partners to join us too!

Activity Partners

UCI Extension is sponsoring two hours of classic picnic games for the whole family, and the kids (and kids at heart?) will not want to miss Lord Abbett’s Castle, a huge 3-in-1 bounce house. When it’s time to cool off, AllianceBernstein will be providing refreshing snow cones!

For lunch, we’ll enjoy BBQ chicken, cheeseburgers, hamburgers, hot dogs and veggie burgers, oven-baked beans, potato salad, fresh fruit salad, pasta salad, corn-on-the-cob, sliced watermelon, assorted chips and snacks, ice cream bars, soft drinks and water. You are also welcome to enjoy all the activities at Irvine Regional Park, including train rides, bike and paddleboat rentals, Orange County Zoo, pony rides, horse rentals and hiking. (Additional fees may apply.)

Bring your sunscreen and stay for the afternoon! We hope you will join us!


Allied Professionals Summit

Date: Tuesday, September 29
Time: 11:30 AM - 5:00 PM
Location: The Pacific Club, Newport Beach

Cost: Early Bird Registration: $60.00
After September 1, cost is $75.00; at the door is $100.00
Includes lunch, wine reception and parking

Join us for the 8th annual Allied Professionals Summit. Collaborate with financial professionals from all over Southern California, and grow your practice through top speakers, valuable networking, breakout sessions, and more!

Keynote Speakers:

Glenn B. Stearns
Founder & CEO Stearns Lending

Scott West
Head of Invesco Consulting


Orange County Financial Planning Day

Date: Saturday, October 17
Time: 9:30 AM – 3:00 PM
Location: Huntington Beach Central Library, 7111 Talbert Avenue

FREE One-On-One Personalized Financial Advice
FREE Financial Workshops
FREE Financial Planning Educational Materials

Help us make this year’s Orange County Financial Planning Day a resounding success

  1. Spread the word about Financial Planning Day! If you are involved in a community-based organization in Orange County, please invite them! We can provide you with flyers and other materials
  2. Volunteer! We are looking for CFP® Professionals to provide one-on-one consultations at the event and others who can help greet and help with the flow of the day. Sign up now to be a part of the fun!


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Chapter News

Volunteer of the Quarter

Congratulations to Janet Larsen, our Volunteer of the Quarter! Janet has jumped into Advocacy with both feet and is making a huge difference. She has been meeting with elected officials from Sacramento to Washington, D.C. Thank you, Janet, for your commitment to FPA and to the financial planning profession!

Janet Larsen



Your Orange County chapter has been quite active in the Advocacy scene. Earlier we reported going to Sacramento (March 3) to visit and develop relationships with our state legislators. On June 24, three of our members (Janet Larsen, Evelyn Zohlen, and Mark Prendergast) participated in FPA Advocacy Day in Washington, DC. We visited staff in Senator Feinstein’s office, Congressman Dana Rohrabacher, Congresswoman Lucille Roybal-Allard (see picture), and two other congressmen from California. Our discussions focused on two issues. First, we are in favor of the Department of Labor’s rulemaking authority to hold investment professionals to a fiduciary standard of care when dealing with retirement accounts. Second, we told them about FPA’s pro bono activities throughout California and were able to specifically brag about our efforts in Orange County with hosting Financial Planning Day, activities at a women’s shelter, and teaching for the Simon Foundation. We want our legislators to consider FPA and its members to be a resource for any questions they have related to the financial services proposed legislation. We found our representatives and their staff to be very attentive and believe that we are building credibility and name recognition for FPA.

With a local angle, September 14-18 is FPA of California Advocacy Week. Here in Orange County, we will have teams of 2 to 4 members visiting our Assemblymembers and State Senators here in their district offices throughout that week. If you are interested in helping, please e-mail or call Mark Prendergast at 714-971-0663. You can also speak with him at the August Quarterly Education Meeting. These visits are easy: we provide training (light stuff!), talking points, and “leave behind” materials. It should take an hour out of your day as they usually allot a maximum of 30 minutes for the appointment. We invite you to join us!


Member Highlights

New Members

Name Joined City Company
Joshua Turley, CFP® April Irvine Monarch Point
Daryl Serizawa April Newport Beach DTS Financial Group
Alec Abbott April Newport Beach Squar Milner Financial services, LLC
Jeffrey Konopka April Lake Forest Envision Investment Advisors, Inc.
Yuhsin Wang April Irvine Silversage Advisors
Javaid Ansari April Newport Beach Compak Asset Management
David Arvidson, CFP® April Tustin Arbor Financial Group
Susan M. Munson, CFP® April Irvine Charles Fish Investments, Inc.
Matthew Stout, CLU May Newport Beach BGA Insurance
Christen Kang May Costa Mesa Crown Wealth Management
Peter Dorsey May San Clemente TD Ameritrade Institutional
Urban Adams May Irvine Dynamic Wealth Advisors
Kara Noone, CFP® May Irvine Morgan Stanley
Vincent Learned June Aliso Viejo NFP Retirement
Doug Frazier June Newport Beach Pence Wealth
Brent Schneider, MBA June Irvine PrimeLending
Timothy Higgins, CFP® June Fullerton NCH Tax & Wealth Advisors
Lorie Schnebelie June Los Alamitos Asterix Inc


Member Anniversaries

Name Company Years
Karl Romero Karl H Romero & Associates, Inc 35
Joel Gritten J.G. Financial 30
D. Michael Olson 30
Robert Hintz Thrivent Financial 25
Linda Wilson ZUK Financial Group 25
Ahmad Husami Husami & Associates 20
Delia Fernandez Fernandez Financial Advisory 15
John Harms Physicians' Financial Advisors 15
Michael Wittick Law Offices Of Michael J. Wittick 15
Rick MacBarron Sagemark Consulting 10
Phong Nguyen Cornerstone Financial Partners 10
Steven Okamura City National Bank 10
Cindy Havenhill LPL Financial 5
Timothy Neuville 5
Ed Runyon Sagevest Financial Advisors 5

Pro Bono/Community Outreach

Members of our chapter were pleased to work again with the Simon Foundation to provide financial education to 90 college students. Many of the students have been in the program since high school and have shared how much they appreciate FPAOC being a part of their activities every year.

Our chapter’s Pro Bono Committee shares their expertise with various community-based organizations throughout the year. If you are interested in sharing your financial planning knowledge with others too, contact David Sweet, Pro Bono Chair. 


Thank You To Our Partners

Our Platinum, Gold and Silver Partners will have representatives, our guests, at each quarterly meeting and other FPA of Orange County events. Please take a few minutes to introduce yourself and thank them for making possible the many services they are providing to our membership and the community in which we live and work. Always perform your own due diligence before engaging any professional.