November 2016 | Read Online



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President's Message

I’ve been honored to serve this year, and the FPAOC Board team has been an outstanding group to be surrounded with. Our chapter has a tremendous amount of passion for our industry and our community, and it’s been a true pleasure to work alongside such tremendous professionals.

We’ve counted a lot of victories this year, and I’d like to quantify some of them:

Our chapter is the largest it’s been since before the market downturn. We currently have 546 members, which is a net increase of 20 over last year and continues a three-year year-over-year increase trend.

As I write this, we have just completed the 2016 OC Financial Planning Day, which set recent records for attendance. We had great dignitaries greeting our crowd, including Mayor Jim Katapodis of Huntington Beach, Orange County Board of Supervisors Chairwoman Lisa Bartlett, and Thomas Wong from CA Controller Betty Yee’s office.

Our Allied Professionals Summit continued to improve on its tremendous track record as an outstanding event. Scott Baugh and State Senator Bob Hertzberg highlighted the event, which was moderated by Tom Campbell. Bonner Paddock gave a great inspirational presentation which left the crowd excited for next year.

Our volunteer development activities have fostered great teambuilding through our annual picnic in May, the volunteer cruise in July, and the upcoming holiday party.

Our Communications Committee has continued its outstanding work on our website and newsletter, and, as we speak, is embarking on a terrific overhaul of our chapter’s website which will streamline operations and bring a more pleasing visual face to our chapter.

We’ve had numerous chapter members quoted in the media, and we’ve continued to build our social media presence, thanks to the hard work by our Public Relations Committee. Also, we’ve got to say “Congratulations!” to Mrs. Kelly DiGonzini on her recent nuptials!

Janet Larsen, Steve Carder, and the Advocacy Committee put in an amazing amount of coordinated work this year with our local, state, and even national politicians, promoting our profession, our availability, and our integrity. Representing FPA of Orange County and FPA of California, they attended the State and National Advocacy Days in Sacramento and Washington D.C. respectively, and they also coordinated the logistics for many of us to meet with our local State Senators and Assembly Members this fall.

Our Quarterly Education Meetings, that we’re all so fond of, have a tradition of excellence renowned amongst the other chapters in the nation. That tradition has continued behind the leadership and hard work of the Programs Committee. It is quite a logistical feat to not only put on these meetings but to excel at this level, and many kudos and thanks go to their joint efforts. Watch for great speakers to come!

Clearly, our chapter is an amazing team effort with many, many dedicated professionals lending their talents to our success. In addition to our committee chairs and spectacular volunteers, I’d like to also thank our Executive Team and Administrator, Carol Bobke, for their support and tireless dedication. Let’s welcome David MacLeod as he takes over for 2017, and thank you for allowing me such a tremendous opportunity.

Wil Smith, CFP®
FPAOC President 2016

Upcoming Events

WiFi: Women in Finance Mixer

Date: Thursday, November 3, 2016
Time: 5:30 PM- 7:30 PM
Location: Island Hotel Newport Beach
690 Newport Center Dr, Newport Beach, CA 92660

Cost: $20 Online, $25 at the door. Valet parking, appetizers, and first drink are included


Join us as we bring together women from all sectors of Orange County's financial world. Come enjoy a glass of wine poolside with live music as we celebrate the unique contributions of women in financial planning! (Inside at the Aqua Lounge if the weather doesn't cooperate.)


November Quarterly Education Meeting

Date: Wednesday, November 16, 2016
Time: 8:30 am - 4:30 pm
Location: UC Irvine Student Center
311 W Peltason Dr, Irvine, CA 92697

Cost: $25 Members, $150 Non-Members, and FREE for first time visitors. Lunch and parking are included.

Join us for two sessions
with Michael Kitces!

Join us for the last Quarterly Meeting of 2016! We will be offering 5 CFP CE, 5 CPA CPE, and 1 hour CA Insurance. Also, be sure to stay for Cocktails and Conversations, our happy hour after the meeting at Eureka! across the street.

Scheduled meeting speakers include:

  • Michael E. Kitces, MSFS, MTAX, CFP, CLU, ChFC, RHU, REBC, CASL, Speaker, Writer, Advisor, Life-Long Learner, Strategies for managing Sequence of Return Risk in Retirement and Cutting Edge Tax Planning Developments and Opportunities
  • Jay Bettinger, J.D. M.B.A., LL.M., Partner, Brown & Streza, LLP, Overcoming Client Objections to Cyber Security Insurance and Related Risk Management Measures
  • David C. McKnight,Speaker, Author, The Power of Zero
  • Apollo D. Lupescu, PhD, Vice President, Dimensional Fund Advisors, Asset Allocation & Portfolio Diversification


Advisors in Transition

Date: Wednesday, November 9, 2016
Time: 5:30 pm - 7:30 pm
Location: Brown & Streza Office
40 Pacifica, Suite 1500, Irvine, CA 92618

Cost: $15.00 Online, $20 at the Door

Special Guest:
David L. Keligian, J.D., M.B.A., C.P.A., Partner, Brown & Streza, LLP

New Challenges in Succession Planning for Financial Planners

Join us as we discuss the unique characteristics of financial planning practices, including recent SEC proposals to require succession plans, making exit planning for financial planning practices especially challenging. This presentation will review these challenges and different approaches to meeting them. We will enjoy time for networking too.


View More Events


Chapter News

California Advocacy Week

Eleven FPAOC members, including many from our Advocacy Committee, joined forces this fall to visit the local offices of nine California elected officials as part of the second annual FPA of California Advocacy Week. FPAOC members are successfully building relationships with the local officials and becoming a go-to resource when issues arise having to do with financial planning.

Mark your calendars to join us for our "Day on the Hill" in Sacramento on March 7, 2017. Training is provided. For more information, contact Steve Carder, FPAOC 2017 Advocacy Chair, at

Members Clayton Behm and Kathleen Boyd join 2016 Advocacy Chair Janet Larsen to visit Assembly Member Young Kim.
Advocacy Chair Janet Larsen and Board Chair Andi Kang visit Assembly Member Don Wagner.
FPAOC President Wil Smith and 2017 Advocacy Chair Steve Carder visit State Senator John Moorlach.


9th Annual Allied Professionals Summit

FPA of Orange County presented the 9th Annual Allied Professionals Summit on Friday, September 23rd, at the Pacific Club in Newport Beach. Maria Kutscher and the Allied Professionals Committee planned a great event that included a top notch mix of speakers and educational roundtable discussions hosted by T. Rowe Price and a variety of area allied professionals. Long-time Orange County Republican Scott Baugh, Democratic State Senator Bob Herztberg, and Chapman law professor Tom Campbell insightfully debated the topic, "The Upcoming National Election & Your Clients: A Discussion on Where the Candidates Stand on Key Money Issues." Later, founder of the OM Foundation (OMF), Bonner Paddock, inspired the audience, sharing how he overcame challenges to become the first person with Cerebral Palsy to ascend Mt. Kilimanjaro and to finish the infamous Ironman World Championship unassisted. The day wrapped with a fun networking reception presented by Skyline Home Loans that included a book signing by Bonner Paddock.

The Summit gets better and better each year – and next year is the 10th anniversary! We can't wait to see what next year brings! Email Mark Silberfarb, 2017 Allied Professionals Chair, at if you'd like to be a part of the plans!



Volunteer of the Quarter

Congratulations to Fred Jin, our Volunteer of the Quarter! Fred has played a big role this year on the Community Outreach Committee, and he will be serving as the committee chair for 2017. Fred also hosts the Chapter Study Group at his office, Compak Asset Management, in Newport Beach.

Pro Bono/Community Outreach

The 6th Annual Financial Planning Day was held Saturday, October 15th, at the Huntington Beach Central Library. What a great event! The day kicked off with a proclamation by Huntington Beach Mayor Jim Katapodis and visits by Orange County Board of Supervisors Chairwoman Lisa Bartlett and Thomas Wong, External Affairs Liaison from State Controller Betty Yee’s office. We had a record turnout with a steady stream of community members taking advantage of one-on-one consultations with the many CFP® Professionals who volunteered. We also offered 10 popular educational workshops throughout the day on topics ranging from Medicare and Social Security to buying your first home and saving for college. Thank you to Aileen Danley, Community Outreach Chair, and her committee members for the hard work and dedication it took to offer this important event!

If you are interested in helping organize the 2017 OC Financial Planning Day, please contact Fred Jin, the 2017 Community Outreach Chair, at With the support of the County of Orange, next year's event will be bigger than ever. Being part of the committee is a lot of fun, and we are going to get started right away planning next year!


Member Highlights

New Members

Name Joined City Company
Jonathan Lising, CFP® July Brea  
David Bahnsen, CFP® July Newport Beach The Bahnsen Group
Mark Sosik July Irvine RBC Correspondent Services & RBC Advisor Services
Diana Yanez July Bellflower  
Dana McDonald August Ladera Ranch RBC Wealth Management
Brett Laddusaw, CFP® August Irvine Signature Resources Capital Management
Sophie Lupu August Irvine Union Banc Investment Services
Carly Shafik August Huntington Beach
Howard Rubin, CFP® August Perris Mass Mutual
Janice Ramocinski, CPA August Tustin PGI Reverse Mortgage Loans
Aaron Faiola August Irvine  
George Strickland August Tustin IKOR Central Orange County
Byron Spain August Newport Beach  
James Griffin, CFP® September El Segundo Wells Fargo Advisors LLC
Erica Levy, CFP® September Los Angeles  
James Moore, CFP® September Fullerton Eclectic Associates, Inc.


Member Anniversaries

Name Company Years
Mark Silberfarb, CFP®TEP,ChFC,CLU,AEP Global Financial Institute, LLC 40
Barbara Meyers, CFP® Meyers Financial Group 30
James Phillips, PhD, EA, CFP® Phillips Financial Services 25
Kay Byrum Commonwealth Financial Network 20
Mark Phillips, MBA, CFP®, AIF® Mark Phillips and Associates 15
Jay Weil, CFP® Weil Financial Services, Inc. 15
Cornelius Van Zutphen III, CFA, CFP®      Intrinsic Wealth Counsel, Inc. 10
Nikesh Parikh, CFP®,  J.D., LUTCF New York Life 5

Thank You To Our Partners