Our Partnership with LPL Financial—An Industry Leader

Since 2004, our firm has been locally owned and partnered with LPL Financial.

By offering securities through LPL (member FINRA/SIPC), we’re independent wealth consultants. In other words, we’re free to make recommendations based on what we believe will do the best to achieve your individual financial objectives. We don’t make our recommendations based on what a parent company thinks “everyone” should have in their portfolios.

A Fortune 500 company, LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader ⁵ in the markets it serves, supporting more than 19,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide.

With headquarters on both coasts, LPL Financial supports our firm in helping our clients by offering a robust mix of services and tools such as:

• Enabling technology
• Comprehensive clearing and compliance services
• Practice management programs and training
• Independent research

LPL Financial was formed in 1989 through the merger of two small brokerage firms, Linsco & Private Ledger (founded in 1968 and 1973, respectively).

By merging these two companies, the founders of LPL sought to create a trusted alternative to Wall Street firms, one in which financial advisors could build highly competitive businesses while always doing what is right for their clients.

In 2005, LPL sold a 60% ownership stake to two private equity partners, Hellman & Friedman LLC and Texas Pacific Group, both strongly committed to maintaining the independence of the firm. In November 2010, the parent company of LPL, LPL Financial Holdings Inc., first became publicly traded on NASDAQ under symbol LPLA.

As we continue to grow and look to the future, LPL is committed to remaining a trusted resource to our firm. The financial services industry, markets, and world are changing fast, while people are living longer and facing more complex financial needs. At the same time, investors are increasingly seeking to partner with financial advisors who offer guidance to help them face today’s financial planning challenges. These factors mean that providing Americans with independent investment advice has never been more important than it is today.

Financial advisors need a partner that can help them meet the evolving needs of their clients. As a market leader, LPL is well positioned to enable our firm to help our clients do just that. For more information about LPL Financial, visit www.lpl.com.