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FPA Orange County



August 2013


What a year 2013 is showing itself to be! As of June 30th, the markets are up over 13% year to date, the chapter is looking to a great third Quarterly Education meeting, and it's time to register for this year's, not-to-miss, Allied Professionals Summit set for October 23rd.

We would not be experiencing this success without our active members. If time flies when you’re having fun, and "no man is an island," then this year is a good one when you're happily engaged as a chapter board member or committee volunteer!

FPA of Orange County is consistently thought of within the FPA community as among the best chapters in the nation. This didn't happen overnight, and it didn't happen because of the work of any single individual - quite the opposite in fact.

This Chapter succeeds because of the work of the many who serve, and therefore have the opportunity to reap the benefits of being involved in something larger than themselves. This applies not only to members of our Board of Directors, but even more importantly, it includes the many members who choose to participate on committees and the many other avenues of involvement available to each and every one of us.

However, it would be unjust to stop there. Our success is also directly related to each of our Chapter Partners. These fine individuals entered into partnership with our Chapter because of their commitment to helping grow the financial planning profession, and to help us better serve our clients. Additionally, their financial commitments make a large part of what we do actually possible. For example, the cost of running our Quarterly Education Program each year consumes approximately 45% of our resources. Absent the financial assistance our partners provide, this program alone would easily cost each attendee over $300 per year!

Clearly, we should be thankful for our Partners! Accordingly, I ask each and every member to take a little time at each of our upcoming meetings and events to seek out and thank at least one Partner for all they do! Not only are you likely to find another way to enhance your ability to better serve your clients, I've no doubt you'll meet someone quite likable as well!

Additionally, please keep your attention directed toward this newsletter, our regular bulletins, and chapter website. We are trimming down our email messaging in favor of these formats, and want to make sure you don't miss out on all that is happening.

We on the Board thank you for your membership and continued support!

Best regards,

Bill Cuthbertson



Quarterly Education Meeting

Our next meeting will be on August 28, 2013, from 8:30 am to 4:30 pm, at UCI Student Center. This meeting will include 6 CEs for CFP® Professionals (pending), 6 CPA CPEs, and 1 Insurance CE.

Scheduled Speakers:

  • Holly Thomas, CFP®, Behavioral Scientist and Owner of Holly P. Thomas, LLC
    Fast and Slow Thinking in Client Conversations

  • Nicholos Venditti, MA, Associate Portfolio Manager of the Thornburg Municipal Bond Portfolios
    Municipal Market and Tax-Sensitive Investment Strategies.

  • Dr. M. Elisabeth Paté-Cornell, Professor, Management Science and Engineering, Stanford University
    A Risk Analysis Perspective on "Black Swans" and "Perfect Storms" and Engineering Systems Experience

  • Stephanie Kelton, Ph.D., Associate Professor of Economics at the University of Missouri-Kansas City
    Understanding Modern Money, Deficits and Debt: The Pathway to Prosperity
  • Thomas W. Orr
    Long-Term Care Insurance Opportunity: The Three Modules of Understanding and Selling Long-Term Care Insurance

    For more information and to register please visit : http://fpaocc.org/invitations/2013.07/..

2013 Allied Professionals Summit

School of Law FPA OCC

"We're passionate about the idea of financial planning as a profession and the positive impact it has on the lives of others; we're leading its creation, adoption and recognition, RIGHT NOW."

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Early Bird Registration is Open!  Register now for the 6th annual Allied Professionals Summit on October 23 at The Pacific Club in Newport Beach.  Our keynote speakers are Erwin Chemerinsky, founding Dean and Distinguished Professor of Law from the UCI School of Law, and Ben Emons, Senior Vice President and Portfolio Manager at PIMCO.

Erwin Chemerinsky Ben Emons, PIMCO
Dean Erwin Chemerinsky
UCI Law School
Ben Emons, PIMCO

We are also pleased to announce expert-led discussions by: Matt Brown of Brown & Streza, Darren Capeloto of Payden & Rygel, Keith Baumgarn of Signature Resources, and Jonathan Mintz of Wealth Counsel, with more to be announced.

There will be several breakout sessions and opportunities to network with financial advisors, enrolled agents, CPA’s, attorneys, insurance professionals, and other allied financial professionals. Breakfast and lunch will be served, and a closing networking reception will follow the final program session.

When:                  October 23, 2013 – 8:30am to 3:30pm
Where:                 The Pacific Club, 4110 MacArthur Blvd, Newport Beach, CA 92660

Register now and receive a discounted price of $60 for this great event. Click here for more details and to register.

Join us for Special Study Groups in September and October

Our September study groups are focusing on what is important to YOU. Collaborate with others on how they deal with issues currently impacting you and your practice. No question/discussion topic is too big or small! Meetings will be held from 12:00 – 1:30 PM in Fullerton on September 10th, Irvine on September 11th, and San Juan Capistrano on September 12th. For more information and to register, visit : www.fpaocc.org/studygroups/.

October: Combined Study Group with Sierra Mutual Funds

We are combining forces this October for one special chapter Study Group! Join FPA of California and Sierra Mutual Funds in welcoming presenter Frank Barbera, Executive Vice President, Sierra Mutual Funds, and Co-Portfolio Manager, the Sierra Mutual Funds. Our topic will be:

Global Trends and Outlook: The view ahead for the Global Economy and Major Capital Markets

Date: Thursday, October 10, 2013
Time: 11:30 AM to 1:00 PM
Location: The Ritz Restaurant, Adjacent to Fashion Island Mall
880 Newport Center Drive
Newport Beach, CA 92660

For more information and to register, visit : www.fpaocc.org/studygroups/

8/28/2013 8:30 am - 4:30 pm Quarterly Education Meeting

12:00 pm - 1:30 pm
Fullerton Study Group
Irvine Study Group
San Juan Capistrano Study Group
9/18/2013 5:30 pm - 7:30 pm Advisors in Transition Meeting
5:30 pm - 7:30 pm NexGen Panel Discussion
10/10/2013 11:30 am - 1:00 pm Special combined study group in Newport Beach with Sierra Mutual Funds
10/23/2013 8:30 am - 3:30 pm Allied Professionals Summit
11/13/2013 5:30 pm - 7:30 pm Advisors in Transition Meeting
11/20/2013 8:30 am - 4:30 pm

Quarterly Education Meeting

12/5/2013 5:30 pm - 7:30 pm NexGen Holiday Happy Hour
12/12/2013 TBA Volunteer Appreciation Holiday Event

Mark your calendars for all our upcoming Educational Meetings


Volunteer of the Quarter
Aileen Danley Volunteer of the Quarter

Aileen Danley, Volunteer of the Quarter

Congratulations to Aileen Danley, our Volunteer of the Quarter! Aileen is a huge asset to FPAOC. When a project or event needs help, she is always one of the first to step up.

Aileen is active on the Allied Professionals Committee and the Volunteer Development Committee.

Thank you for all you do!

Volunteer Appreciation Night at 300 Lanes Anaheim

We celebrated FPA of Orange County’s AMAZING volunteers on July 11th at 300 Lanes in Anaheim. Everyone enjoyed food, drinks, a lot of laughs, and, of course, a lot of strikes! Congratulation to Fred Giron, Daniel Sands, Mark Prendergast and all our other great bowlers.

Bowling Bowling


FPA of California was formed in 2012 to be an advocate on behalf of our members and their clients regarding issues that impact our clients’ financial success and the financial planning profession. In addition, FPA of CA seeks to be a resource for California’s elected and appointed officials, offering an informed, professional perspective on legislative and regulatory issues. Our own Evelyn Zohlen is the 2013 President of FPA of California.

Click Here to view Talking Points of FPA of California.

FPAOC in Orange County Business Journal


Big News! FPAOC was featured twice in Orange County Business Journal’s Family Wealth Strategies issue on May 27th and again on June 24th. Our PlannerSearch® was spotlighted in a full-page ad. (If you have signed up to be part of PlannerSearch®, OCBJ readers may be contacting you!) FPAOC members also contributed to a 2-page article, “Wealth Strategies for the Affluent Investor,” which shared about the FPA and the work we do.

If you are an FPA Member and a CFP® Professional who would like to join PlannerSearch®, you can find out more here.

Partner Update

Thanks to the diligent efforts of Partner Chair Scot Shier, we've just about filled all our Partner slots for 2013.

If you have any suggestions we could use to finish the job of building out 2013, or any future partners for 2014, please contact Scot at 949-770-7555 or [email protected] with any contact information you can provide.

Simon Family Foundation

Simon Family Foundatnoi

On June 27th, board members Wil Smith and Andi Kang represented FPAOC at Soka University in Aliso Viejo and taught 3 workshops on financial literacy for 80 college students. The students were gathered from across the country as part of an ongoing commitment by the Simon Family Foundation. The feedback was terrific, and students asked if FPAOC could do a follow-up workshop in the future to teach investment fundamentals.

Chapter Annual Meeting and Board Nominations

This year’s annual meeting will be held on October 16th at the Pacific Club in Newport Beach beginning at 11:30. Top of the agenda will be nominations and elections for membership of our 2014 Board of Directors. If you as a member would like to address the Board during the meeting, please notify the Board Secretary, Michael Weber, no later than October 9th at [email protected] Also, If you would like to nominate someone for a board position, please email our Chapter President, Bill Cuthbertson, at [email protected] as soon as possible.




Name Joined City Company
William Pugh, CFP® May Newport Beach Northern Trust
Carol Madley May Fullerton  
Judy Copenbarger May Irvine Comprehensive Financial Services
Tammy Lee May Irvine F500 Advisory Services, Inc.
Hampton Adams, III, MBA June Irvine Signature Estate & Investment Advisors, LLC
Amy Cattelino June Placentia
Sherry Taylor July Orange FusionPoint Financial, Inc.


Name Years Company  
Michael Tiberg 30 Liberty Capital Management  
Thomas Wolf 25  
Dwight Nakata 20 Cetera Financial Specialists, Inc.  
Duglas Wright 15 West Coast Financial Strategies, Inc.
Mike Nozzarella 15 The Tarbot Group, Inc.  
John Parsons 15  
Sandra Field 15 Asset Planning, Inc.  
Ricardo Ulivi 10
Zelda Benson 10 Ameriprise Financial Services, Inc.  
Robert Klein 10 Retirement Income Center
Jill O'Hara 10  
Linda Lewis 5 Proficio Mortgage

Current Membership

FPA of Orange County currently has 462 members. Our goal is 500 members by the end of the year! Do you have a colleague who might be interested in all that FPA has to offer? Bring them to the August Quarterly Education Meeting – first time visitors are free!

FPA Orange County One Thing Leads to Another... Get involved and make a difference! If we all just did ONE THING, imagine the impact we can have on our Chapter and on shaping our profession! 

Do 1 Thing, For Mercy House

FPA of Orange County is looking for volunteers who are passionate about educating the underserved about Financial Planning! 

On Tuesday, September 3rd; Tuesday, September 10th; Tuesday, September 17th; and Tuesday September 24th from 7:00-8:00PM, we will be conducting a 4-part financial education series for the residents at Mercy House in Santa Ana.

Mercy House provides housing and comprehensive supportive services for a variety of homeless populations which includes families, adult men and women, mothers and their children, persons living with HIV/AIDS, individuals overcoming substance addictions, and some who are physically and mentally disabled. They strive to assist their residents in the areas of economic, emotional, and spiritual well-being in order to enhance self-esteem and a sense of personal pride. They value accountability, integrity, and self-sufficiency. 

If you are able to assist in teaching one or more of these classes, please contact Wil Smith, Pro Bono and Community Outreach Chair or Andrew Scammon, FPAOC Volunteer Development Chair. .


UC Irvine

FPA Residency Program

Receive CE Units or work experience from the CFP Board and learn best practices from national FPA leaders.

This six-day program, taking place at the scenic UCLA Lake Arrowhead Conference Facility in Southern California, October 13-18, provides you with the hands-on training and resources needed to build the professional skill sets necessary for creating and maintaining lasting client relationships. With the program taking place at this serene location, you are relieved of the distractions that may come with other professional development programs – ensuring the best return on a valuable investment, and providing an environment in which you can engage and grow confident in your ability to create meaningful relationships while also using your knowledge of the financial planning process.

Early-bird rate extended. Enrollment registration deadline is September 3. Space is limited!

Click Here to learn more or contact us:

Francine Berg, program representative [email protected]
UC Irvine Extension www.extension.uci.edu/fpa



Looking for an intern? Would you like to be an intern?

FPA Orange County sponsors a very active internship program for both interns and employers. Individuals who would like to experience working in a financial planning office or those who are just “kicking the tires” can sign up to be an intern. Planners who seek occasional extra help or who might be looking to see how a potential new employee might work out can utilize the services of the intern.

Internships last for approximately ten weeks. Interns need to be able to work at least 10 hours per week to be able to get a good understanding of how a firm functions.

The FPAOC Internship Program has been an ongoing success in our chapter for many years. Both interns and employers have great results. Contact Linda Barlow for more information.

Registering for FPA Experience 2013?


If you register here with the promo code CHEXP13, you will receive $25 off and our chapter will get $25.

Don't forget to register with the code!

Also, Apply Now for FPA Diversity Scholarship to attend FPA Experience 2013

Submit your application now for an FPA Diversity Scholarship to attend FPA Experience 2013. Scholarship awards include 1-year FPA membership, admission to the conference (October 19-22), and some travel expenses.

Criteria for applicants include:

  • Raising awareness of the profession in diverse communities;
  • Serving diverse communities with financial planning;
  • Increasing professional opportunities for diverse communities within the profession.
Apply now! Go to www.fpanet.org/professionals/Connect/diversity/. Applications are due September 13, 2013

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Brown Streza LLP Attorneys at Law
Payden Mutual Funds
Thornburg Investment Management
Pioneer Investments



American Funds


Cole Real Estate Investments

Fidelity Investments

Wells Fargo Home Mortgage

Sierra Investment Management

Liberty Home Equity Solutions

Wasatch Funds

Alliance Bernstein

TD Ameritrade Institutional

Alliance Bernstein


Millenium Trust Company


Edward Jones

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Edward Jones





Weitz Funds Logo


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UCI Extension Logo


FPA Orange County