Newport Beach Wealth Management

Industry Start Date: 1998 KAR Start Date: 2014 Education: B.S. in Economics from Santa Clara University Credentials: Series 7, Series 66 Recognition: Randy was named a Five Star Wealth Manager in Orange Coast Magazine for the last four years since 2020, a designation awarded to wealth managers who scored highest in overall satisfaction. Prior to Joining KAR: Randy worked as a Vice President-Senior Financial Consultant for Charles Schwab & Co. During his 12 years at Charles Schwab, Randy provided private-client investment-management services to high-net-worth families. Randy was consistently recognized as an elite performer by way of 10 consecutive invitations to the Chairman’s Club from 2004-2013. Before that position, he was a First Vice President-Financial Advisor with Morgan Stanley, where Randy spent the first four years of his career. While at Morgan Stanley, Randy was presented with the National Sales Director Award, an honor and distinction awarded to the top one percent of Advisors with the firm. What Do You Enjoy Most About Your Job? Competing and winning are the two most rewarding aspects of my job. This industry is extremely competitive and I love competing for an investor’s business and I love winning their trust over time. How Does KARWA Approach Wealth Management Differently? Periods of market volatility can really test an investor’s patience and commitment to their long-term strategy. At Kayne Anderson Rudnick, we intentionally structure portfolios to be defensive during difficult markets. One technique that has been particularly effective for us over the years involves blending alternative investment strategies together with traditional stock and bond portfolios to truly benefit from diversification. What Do You Hope to Achieve For Your Clients? When a client says “Randy, I trust you,” it is the ultimate compliment and it represents the very stage in a relationship that I hope to achieve with all of my clients. Trust is something that is earned over time and to hear those words form the clients you represent is a special thing. When Not in the Office: I live in Newport Beach with my wife Erica. We have two dogs, Charlie and Sky, who bring a daily dose of energy, joy and entertainment to their lives. As a former NCAA Division I College Soccer Player, I enjoy all aspects of sports and fitness. I also enjoy traveling abroad and have a great appreciation for a variety of performing arts.

Industry Start Date: 2009 KAR Start Date: 2021 Education: B.S., Business Administration, University of California, Berkeley Credentials: CFA (Chartered Financial Analyst designation), CFP® (Certified Financial Planner) Recognition: Brian has been recognized as a 40 under 40 honoree by the Irvine Chamber of Commerce (2023) and InvestmentNews (2022). Selected by a team of reporters and editors out of hundreds of online nominations, these individuals consist of financial advisors and wealth managers and young professionals from the asset management and academic industries who have assembled an impressive list of achievements and goals before turning 40. He has also been featured multiple publications including in Financial Advisor, Wealthmanagement.com, and Citywire. Prior to Joining KAR: Brian worked as a Private Wealth Manager at Creative Planning and prior to that he served as a Wealth Advisor at Halbert Hargrove. What Do You Enjoy Most About Your Job? Becoming a Wealth Manager has been a life-long goal for me and I am very fortunate to be able to work with my clients. I enjoy learning about everyone’s unique situation and developing strategies to help them accomplish their goals. It means the most to me when clients say that they trust me and feel confident in their future. In fact, one of the best compliments that stuck with me over the years is that I bring a calm presence to wealth management. What Do You Enjoy Most About Working at KARWA? I love the team-oriented environment! We are extremely proud of our honest, cooperative, and transparent culture and everyone has a significant role in shaping this culture. I am constantly in awe of everyone’s knowledge, expertise, friendliness, and willingness to help each other and to help our clients succeed. I'm grateful and proud to be working with everyone here. What Do You Hope to Achieve For Your Clients? I hope to help them reach their financial goals in life and give them peace of mind along the way. I believe that by combining our investment strategy with our wealth management advice, my clients will never have to worry about money again. When Not in the Office: When I'm not spending my weekends teaching CFP courses at UC Irvine, you will find me with my wife and daughter as well as our Shiba-Inu, Friday.  I enjoy spending time with family, gardening, traveling, and staying active.

Research Experience Start Date: 1986 KAR Start Date: 2011 Doug Manages: Large Cap Sustainable Growth, Mid Cap Sustainable Growth, All Cap Sustainable Growth Education: MBA, Harvard University B.S., Marine Engineering, U.S. Naval Academy Prior Work Experience: Director of Equities – HighMark Capital Management Group Managing Director and Chief Investment Officer of U.S. Equities – Trust Company of the West Portfolio Manager and Research Analyst - Putnam Investments What Do You Enjoy Most About Your Job: When I was in the Navy, investing became a hobby for me. I used to read a lot of books on investing. And I figured out that if I could make a living at a hobby that I enjoyed then it was a good profession to pursue. What Do You Enjoy Most About Working at KAR: The most enjoyable part of working at Kayne Anderson Rudnick is the people. It is really a family type of environment. Everyone is truly interested in doing what is best for our clients and, as a firm, we are focused on doing the right thing. The investment group is always interested in learning and becoming better investors. They are always striving to find the best ways to invest our clients’ money and I am truly proud of this as this is how our business should be oriented. What Are You Involved in Outside of Work: When I am not in the office I enjoy spending time with my wife and kids. I also love golfing. I spend a fair amount of time trying to improve my game (not that it has worked out that well so far!). I also enjoy boating. I spent a number of years in the Navy and I still enjoy being out in the water to this day.   Read more of the latest insights from our Investment Management experts Learn more about our investment strategies For additional information about quality investing, contact our investment team today

Industry Start Date: 1979 KAR Start Date: 1991 Education: B.S., Business and Economics, Loyola Marymount University Prior Work Experience: Vice President – Shearson Lehman Brothers What Do You Enjoy Most About Your Job: There are two aspects of my role that are very rewarding. The first aspect is working with our clients. We have the pleasure of working with a wonderful group of institutional and individual clients and, over the years, we have become very close to our clients. It’s been very rewarding to see the positive impact we have been fortunate to have on our clients and their financial well-being. The second aspect of my job that I find rewarding is strategic planning for the firm. It has been exciting and rewarding to see the firm evolve over the years as we execute on our business plans. I also enjoy getting the opportunity to watch our employees advance in their careers and the organization as the firm has continued to grow. What Do You Enjoy Most About Working at KAR: What I enjoy most about working at KAR are my colleagues. We are a close knit group. We have a number of employees that have been with the firm for 10 to 20 years and that is pretty unusual in most organizations. I think many of us have stayed with the firm for so long because we have shared common values and we work very closely together within those shared values for the benefit of our clients. What Are You Involved in Outside of Work: Outside of KAR, I enjoy cycling. I have been cycling, specifically road cycling, for over 10 years. Cycling is great for clearing the mind. I enjoy the close knit group and I tend to find that cyclists generally are people that are motivated, social and have a positive outlook on their lives. Cycling has taken me all over the world and I think the best way to travel is on a bike.

Industry Start Date: 1987 KAR Start Date: 1998 Education: University of Southern California Credentials: Member of the California Society of Municipal Analysts Prior to joining KAR: Kim was responsible for management of fixed-income trading, fundamental research and portfolio management, specializing in municipal-credit analysis for a specialty-management firm in Beverly Hills. What Do You Enjoy Most About Your Job: I love the multiple aspects of my job—analyzing taxable and municipal credits, trading in a negotiated market and helping clients understand the bond market and using it to meet their financial goals. What Do You Enjoy Most About Working at KAR: What I enjoy most about working at KAR is the varied perspectives everyone brings to the table when looking at the capital markets. I also enjoy the friendly manner in which we all share those opinions. When Not in the Office: I am currently transitioning from an involved parent to an empty nester. This means I am currently looking for the next charitable organization that could use my help.

Industry Start Date: 2018 KAR Start Date: 2022 Education: B.A., Business Economics with Accounting Emphasis, University of California, Santa Barbara Credentials: CFP (Certified Financial Planner^TM), CPA (Certified Public Accountant), Series 66 Prior to Joining KAR: Tyler worked as an Associate Wealth Advisor at a boutique wealth firm called Brown Wealth Management (BWM), where he specialized in tax saving strategies for high income earners and building customized investment portfolios to help clients achieve their financial goals. Before working at BWM, Tyler spent two years as an Associate Wealth Advisor at Merrill Lynch, after starting his career as a Tax Accountant for business owners and professional athletes at Hamilton Tharp. What Do You Enjoy Most About Your Job? The most rewarding part of my job is developing personal and trusting relationships with my clients. It’s a great privilege and responsibility to be a key decision maker in the financial affairs of so many bright, successful individuals. What Do You Enjoy Most About Working at KARWA? I love the passion and commitment to excellence that my colleagues at KAR embody everyday. Our firm takes great pride in the long-lasting relationships we’ve developed with our clients and strives to create a culture built on loyalty, honesty and trustworthiness. How Does KARWA Approach Wealth Management Differently? Our investment management team is committed to quality. We diversify our risk not by owning a bunch of average companies, but by carefully selecting top business with consistent earnings, low debt, and strong cash flow. These are the companies most likely to produce great results no matter what the market environment. What Do You Hope to Achieve For Your Clients? I love putting in the time to truly understand how my clients think and feel about money so I can ultimately create a sustainable financial plan that will help them use money as a tool to do all the things in life that are most meaningful to them. When Not in the Office: Tyler enjoys being active and outdoors, whether it's at the beach, on the slopes, or on the golf course. He's the youngest of three, and has four nieces and one nephew living nearby. He's also a loyal fan of the San Diego Padres and LA Chargers.

Industry Start Date: 2016 KAR Start Date: 2021 Education: UCLA Anderson School of Management MBA, Finance Concentration Temple University, Fox School of Business - B.B.A. Accounting, Finance Minor Credentials: Series 65, CFP^® (Certified Financial Planner) Prior to Joining KAR: Thomas worked as a Wealth Planner for Wells Fargo Private Bank, providing Tax and Estate planning advice to high net worth and ultra-high net worth clients. Prior to Wells Fargo, Thomas worked as a Tax accountant for EY and Anderson in their Private Client Services groups providing tax compliance, and consulting for individuals, trust, partnerships, S-corporations, and estates. What Do You Enjoy Most About Your Job? I really enjoy hearing our about our clients' lives, what's important to them, and values that drive their decisions. Being still early in my career, their insights provide a lot perspective into what is important to different people. I feel that I learn just as much from our clients as our clients learn from me. What Do You Enjoy Most About Working at KARWA? To work with a great group of highly motivated individuals. There is a strong sense of community and pride within the organization and that makes it very easy to come to work everyday. The collaborative nature of the group also supports that sense of community and helps better the work and advice we provide to clients. How Does KARWA Approach Wealth Management Differently? The advisor team at KAR has some of the best relationships I have seen between clients and their advisors. The attentiveness and care the advisor team approaches their clients with is second to none. I believe the clients at KAR feel very close with their advisors and appreciate that relationship. What Do You Hope to Achieve For Your Clients? At a high level, I hope to provide them financial peace of mind and be a professional they can trust to help them make complicated financial decisions. I also hope to provide the advice that allows our clients to go forward and achieve their financial goals. Many of our clients are at a point in their lives where they have achieved their career goals. Now its time to understand what their other goals are and what it takes financially to achieve them. When Not in the Office: I enjoy checking out everything Los Angeles has to offer. Whether it’s the beach, mountains, or desert, I enjoy them all. I also enjoy going to shows and concerts to see historic venues and theaters in the city. To stay active, I play squash, golf, ride my bike and I’m attempting to take up tennis.

Industry Start Date: 2015 KAR Start Date: 2020 Education: B.S., Public Health & B.S., Environmental Biology, Tulane University Prior to Joining KAR: Mae was the Reporting Analyst and Operations Manager with a focus on firm-level project management to manage the full-cycle of client service for Asset Management and Institutional clients at North Pier Fiduciary Management. When Not in the Office: A native Angeleno, I am a forever Laker and also follow the Esports scene closely. I enjoy film, comics, yoga, swimming and am an avid year-round ice cream maker.

Industry Start Date: 2016 KAR Start Date: 2021 Education: B.S. Biopsychology, University of California, Santa Barbara Licenses: Series 7 and 66 Recognition: At Morgan Stanley James was recognized as one of the top registered associates. Prior to Joining KAR: James was an associate on a Global Sports and Entertainment team at Morgan Stanley managing over $2.0 billion of client assets. He focused on working with high-net-worth families, foundations, non-profits and partnerships. He also served as a complex coach, training new hires and educating colleagues on new policies and procedures. What Do You Enjoy Most About Your Job: Developing relationships with clients and helping them achieve financial peace of mind. What Do You Enjoy Most About Working at KAR: The people and culture. KAR has an incredible collection of talented people that all support each other. How Does KARWA Approach Wealth Management Differently? We approach wealth management differently through our emphasis on planning and bespoke investment strategies. When Not in the Office: I enjoy staying active through playing basketball, surfing, tennis and hiking. I am an avid traveler and loyal fan of the Lakers and Rams.

Industry Experience Start Date: 2007 KAR Start Date: 2017 Education: B.A., Sociology from Northern Illinois University and Personal Financial Planning Certification from University of California, Los Angeles. Licenses: Series 6 and 63 Prior to Joining KAR: Erin was a Client Service Associate II for Edelman Financial. Before that position, she was an Office Manager with PlanWealth, Inc. What Do You Enjoy Most About Your Job? I enjoy building relationships and interacting with clients. I feel most fulfilled when a client is comfortable reaching out to me knowing I will find solutions to their client service needs. What Do You Enjoy Most About Working at KARWA? I love working with my team and colleagues. They are a great group and I'm fortunate to have developed strong friendships during my time at KAR and for that I am very grateful. When Not in the Office: I enjoy yoga, pilates, hiking, spending time at the beach and reading.