Five Star award winner Sarah Kaplan, CFP®, RHU, AIF®

PROFESSIONAL PROFILE

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Sarah Kaplan, CFP^®, RHU, AIF^®

Managing Partner

Kaplan Financial Group, LLC

1101 Wootton Pkwy Ste 920

Rockville, MD 20852

Office: 301-564-0088

sarah@kaplanfinancialgroup.com
www.kaplanfinancialgroup.com

Professional Approach

Sarah has been preparing for this role her entire life.
As the daughter of two financial services professionals, she has been discussing financial matters over the dinner table since she was little. While business was always her destiny, she made it official by attending the R.H. Smith School of Business at the University of Maryland, and was the top graduate in her major.

Once out of college, Sarah decided to come up in the business the same way as the founder of the company, by studying risk first. Sarah earned her Registered Health Underwriter designation which helps her advise on group and individual health, disability income, and long-term care insurance.

Sarah is an expert in Retirement Income Planning and got her certificate in Retirement Planning from the Wharton School of Business at the University of Pennsylvania. Working with a broad range of individuals and families on their financial plans has become a passion for her as well as teaching in the community on financial planning and financial literacy.

Since financial planning is a large part of how she serves her clients, she studied for and received her Certified Financial Planner® designation.

Throughout her professional career, Sarah has taken great care in counseling her clients on the care and custody of their assets, retirement plans, and investment management, and earned her Accredited Investment Fiduciary designation.

Sarah took on the responsibilities of Managing Partner of Kaplan Financial Group, LLC and Kaplan Benefits Group, LLC in 2015 and is honored to be a member of the Leadership Montgomery Core class of 2019. Sarah also gains invaluable knowledge through her involvement with the Heritage Study Group for colleagues in her industry, and with the DC Chapter of the Women's Presidents Organization, a group for female leaders of industry.

Crafting a comprehensive and detailed plan also translates to her personal life where she manages the school and social calendars for her children, Asher and Charlotte. She leans on her keen management skills as a 20-year veteran of Fantasy Football. Sarah also explores her passion for community engagement as she regularly bakes with her husband, Nick, and their children, and shares their bakes on social media under the handle Great Grewish Baking Family.

Securities and advisory services offered through Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Advisor. Fixed Insurance products and services offered through Kaplan Financial Group, LLC, Kaplan Benefits Group, LLC, or CES Insurance Agency.

See Accomplishments

This award was issued on 10/17/23 by Five Star Professional (FSP) for the time period 1/9/23 through 7/31/23. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 2,627 Washington, D.C.-area wealth managers were considered for the award; 160 (6% of candidates) were named 2023 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2022: 2597, 159, 6%, 10/17/22, 1/10/22 - 8/26/22; 2021: 2091, 129, 6%, 10/17/21, 1/4/21 - 7/23/21; 2020: 2535, 115, 5%, 9/1/20, 1/27/20 - 8/21/20; 2019: 1956, 122, 6%, 10/1/19, 12/31/18 - 8/9/19; 2018: 1975, 100, 5%, 10/1/18, 2/1/18 - 8/24/18; 2017: 1417, 106, 13%, 10/1/17, 2/8/17 - 8/22/17; 2016: 1665, 208, 12%, 8/1/16, 3/2/16 - 8/30/16; 2015: 1837, 227, 12%, 9/1/15, 2/14/15 - 8/10/15; 2012: 449, 97, 22%, 10/4/11, 2/14/11 - 8/10/11.

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Securities and advisory services offered through Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Advisor. Fixed Insurance products and services offered through Kaplan Financial Group, LLC, Kaplan Benefits Group, LLC, or CES Insurance Agency.

Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria-required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP'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; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. 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. FSP does not evaluate quality of services provided to clients. The 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 clients' 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 FSP 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 FSP in the future. Visit www.fivestarprofessional.com.