Values
Helping our clients remain confident knowing they have an investment team behind them that is dedicated to:
Fiduciary Responsibility
As a fiduciary we are held to the highest standards of conduct and will always act in our clients’ best interests. Our recommended strategies will take an objective and holistic approach, suitable for each person’s financial situation.
Engaged Partnership
As a financial partner, we will implement agreed-upon financial strategies, perform ongoing reviews, and rebalance investment accounts to help keep our clients’ plans on track. We will meet to evaluate each plan’s progress, discuss each person’s specific needs, and make any strategic adjustments.
Complete Transparency
We provide complete transparency of each client’s investment strategy. We provide regular account updates, and clients may view investment performance, allocations, holdings, trades, dividends, and more through our secured portal.
Professional Execution
Our planning, operations, and investment specialists work in concert with an investment committee and insurance specialists to provide additional professional management resources to our clients.
Team
Helping Create Successful Outcomes Through Market Cycles
Wealth Team
Ronald Swanick, Founder and President
Ronald Swanick, Investment Advisor Representative, brings to our organization 20 plus years of extensive planning experience working with Advisors, Brokers and their clients. Building comprehensive investment portfolios for individuals & families to help assure success meeting goals and objectives for the short and long term.
His knowledge and Investment experience spans a broad spectrum of creative needs based, Wealth Building, Retirement Income Planning & Legacy Planning ideas. Ron has a degree in Business Management from Westfield State College and is an expert on the principles of modern portfolio theory and portfolio construction.
Over his 20-year career, Ron has worked with companies such as Fidelity, Prudential Financial, and New York Life. Ron made the decision to leave corporate America so he could have a better hands on role with helping people plan for retirement As an investment advisor, Ron ‘s main goal is to provide advice and analysis about securities to help his clients make well-informed decisions on what types of investments are best for them. He also emphasizes the need to adjust investment plans as goals and needs change. Ron listens to his clients concerns, shares potential investments and pertinent information, including benefits, risks, and tax issues, and treats the clients financial goals with the same care and interest that he devotes to his own.
We believe with Ron as our In- House Investment Advisor Representative, there is an amazing opportunity to partner with you in the design, implementation, and management of your plans towards a successful financial future.
Investment Team
Thomas Rozman, CFA®, CAIA®
Chief Investment Officer
Mr. Rozman is responsible for leading the Investment team for Simplicity Wealth. Prior to Simplicity, Mr. Rozman was President and Chief Investment Officer of Sawtooth Solutions. He also worked in Institutional Sales and Trading at Merrill Lynch. Mr. Rozman is a Chartered Financial Analyst®, Chartered Alternative Investment Analyst®, and is Series 65 registered. He has previously held Series 7 and 24 securities licenses. Mr. Rozman earned an M.B.A. from the University of Chicago Booth School of Business and a B.A from St. Olaf College.
Rosie Riley
Head of Operations
Ms. Riley is responsible for leading the Operations team for Simplicity Wealth. She has spent more than 20 years in the financial services space. Prior to Simplicity, Ms. Riley was the President and CEO of HighImpact Consulting LLC, a consulting firm dedicated to optimizing efficiencies for financial services firms. Ms. Riley earned her B.A. from University of Northwestern, St. Paul, with a degree in Business Administration and Management.