As seen in
Los Angeles Five Star award winner

PROFESSIONAL ACCOMPLISHMENTS

AWARDS & COMMUNITY

  • Five Star Wealth Manager award winner 2013, 2016, 2017, 2018

  • June 2017 Forbes magazine California Women’s business leaders edition. 

  • October 2017 discussed Gender Lens investment trend on Bloomberg Radio. 

  • Presented workshops on investing and salary negotiation #AAUW.  One speech, “Are you better than the machine”, I share inspirational stories to Magnet High School classes in the Los Angeles area #YBA. 

  • Advocate for women in leadership positions through 2020 Women On Boards #2020WOB.

SPECIALTIES

At Simple Impact LLC, we help Executives, Retirees, and Fiduciaries, make important decisions for reaching their financial goals.  We offer cost-efficient growth, balanced, and income portfolios.  We use financial planning processes and investment models based on best practices contemporary asset allocation guidelines.  We also offer #ESG environments, social, and governance investment styles.

HOW I WORK FOR YOU

My clients are successful people who think the world is small.  Often they are influential men and women at Senior levels, who have given everything to their career and haven’t a clue if retirement means they’ll be happy. 

In my experience, even smart reasonable people can be easily tipped into financial paralysis.  I knew from prior conversations my client had tuition payments due for the kids, tax payments for the house, and she wanted to put money away for her next vacation- Disneyworld.   One morning she called me, and was quieter than usual.  I heard stress in her voice,  CNBC had just announced her company's weak earnings report and that the share price was dropping.  To further frustration, she had been asked to prepare a presentation for the next day.

I asked how she was doing, while retrieving the analyst recommendations from our research teams.  I explained what the analyst ratings meant, then waited for her to me tell me how she was feeling. Well at that point, her statements came flying over fast, ”Help me solve this.”

Stop to listen, then shift into high gear. 

I worked with the DTC transfer agent for the company stock, and reviewed her statement for share amounts and cost basis. I identified the sale transactions which would generate minimal taxes.  Preliminary phone calls were made to find the right departments and the right people.  And finally, once she was back on the phone and conferenced in with us, all she needed to do was provide her employee number for verification and approve the stock transfer to her trust.  We sold the stock the same day, purchased a few index funds and municipal bonds, made contributions to her IRA, and transferred money to her regular checking account to cover the kids, house, and vacation. Within hours, I had her back on track.

This communication is strictly intended for individuals residing in the states of CA, CO, DC, MN, NJ, NY, OR, PA. No offers may be made or accepted from any resident outside these states due to various state regulations and registration requirements regarding investment products and services. Investments are not FDIC- or NCUA-insured, are not guaranteed by a bank/financial institution, and are subject to risks, including possible loss of the principal invested. Shannon M. Sutherland (CA Insurance Lic. #0D28620) is a Registered Representative and an Investment Adviser Representative with/and offers Securities and advisory services offered through Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Adviser.  Fixed insurance products and services offered by Simple Impact or CES Insurance Agency. Simple Impact LLC is located at 2665 Main Street Suite 240B, Santa Monica CA 90405. Phone 310-773-4411.

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. Actively licensed as a registered investment adviser 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 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 settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints 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; 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. 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. XXXX Los Angeles area wealth managers were considered for the award; XXX (X percent of candidates) were named 2019 Five Star Wealth Managers. 2018: 2708 considered, 154 winners; 2017: 2351 considered, 287 winners; 2016: 2374 considered, 298 winners; 2015: 3105 considered, 327 winners; 2014: 6088 considered, 340 winners; 2013: 3488 considered, 372 winners; 2012: 1019 considered, 176 winners.
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