Tom Baumler with Asset One Wins Five Star Wealth Manager Award for 2017

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Tom Baumler accomplishes what only a small percentage of wealth managers have achieved.

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The past 22 years has been truly rewarding and I am extremely grateful to my clients for their trust and support over the years.

Five Star Professional is pleased to announce Tom Baumler, Asset One, has been chosen as a Five Star Wealth Managers for 2017.

Five Star Professional recognizes a select group of wealth managers who provide quality services to their clients. Tom Baumler is featured, along with other award winners, in a special section of the February 13 issue of the Wall Street Journal.

“The past 22 years has been truly rewarding and I am extremely grateful to my clients for their trust and support over the years. I am fortunate to work with clients who have become family, and make each day exciting and worthwhile,” said Tom Baumler of Asset One.

The Five Star Wealth Manager award program is the largest and most widely published wealth manager award program in the financial services industry. The award is based on a rigorous, multifaceted research methodology, which incorporates input from peers and firm leaders along with client retention rates, industry experience and a thorough regulatory history review.

“Prior to starting in this profession I had the privilege of meeting Mrs. Pollack, one of the first female financial advisors. After visiting her San Diego office, I was hooked and knew this was the path for me. In 1984 I started my career with Financial Architects, Inc., the founding firm for Asset One, and have loved being able to help my clients create their financial picture. Every day is unique and has allowed me to continue learning and helping others for the past 22 years,” said Tom Baumler.

“Based on our evaluation, the wealth managers we recognize are committed to pursuing professional excellence and have a deep knowledge of their industry. They strive to provide exemplary care to the people they serve,” stated Dan Zdon, CEO, Five Star Professional.

The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria.

Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not: A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority; D. Filed for personal bankruptcy; E. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations.

Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future.

For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com.1,552 Denver wealth managers were considered for the award; 509 (33 percent of candidates) were named 2016 Five Star Wealth Managers.

Securities offered through Girard Securities, Inc., member FINRA/SIPC. Investment advisory services offered through Asset One, LLC., a registered investment advisor not affiliated with Girard Securities, Inc.

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Five Star Representative

Tom Baumler
Asset One
303-804-0101 248
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