HAROLD EVENSKY Evensky & Katz 4000 Ponce de Leon Boulevard, Suite 850 Coral Gables, Florida

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1 HAROLD EVENSKY Evensky & Katz 4000 Ponce de Leon Boulevard, Suite 850 Coral Gables, Florida EDUCATION Cornell University Bachelor Of Civil Engineering 1965 Cornell University Master Of Science 1967 Cornell University Certificate Of Advanced Engineering Study 1968 ( (Master of Engineering equivalent) College for Financial Planning- Advanced Studies Professionally Managed Assets 1988 Investment Strategies & Portfolio Management 1988 CERTIFICATION Certified Financial Planner 1984 Accredited Investment Fiduciary 2003 WORK HISTORY Procter & Gamble, Cincinnati Kess Construction, New Orleans U.S. Army, Captain, Medical Service Corps Carol Housing, New Orleans/Miami Partner in homebuilding companies, S. Florida Bache, Hasley, Stuart (later Prudential/Bache), VP Investments (Registered Representative) for Broker-Dealer Drexel Burnham Lambert, VP Investments (Registered Representative) for Broker-Dealer Evensky Brown Investments Broker-Dealer partially owned by Harold Evensky until Harold Evensky was a Principal and Registered Representative. He held Series 7, Series 53, Series 63 and Series 24 licenses Huttoe & Associates, Inc. In 1993 was sold to Charles Huttoe and the name changed from Evensky Brown Investments, Inc. to Huttoe & Associates, Inc. Although Harold Evensky never ran any business through Huttoe & Associates, he was registered under his company to maintain his licenses active. Form U-5 was filed on 3/31/ P.B.H.E. Inc. IA Firm CRD # Several d.b.a names were used: Evensky & Brown, Evensky, Brown & Katz, Evensky Brown Katz & Levitt. Harold Evensky was an owner, principal and IAR of this company Harold Evensky - Resume, 12/2016 1

2 Present Evensky Brown & Katz Inc. IA Firm CRD # Originally names Evensky Group, this company has had several name changes; from Evensky Group to Evensky Brown and Katz Inc., to Evensky Brown & Katz, to Evensky & Katz, Inc. The company stopped being a RIA when it was replaced by Evensky & Katz LLC. Evensky & Katz, Inc. is still in existence and is the owner of Evensky & Katz LLC stock. Evensky & Katz is a S-Corporation owned by Harold Evensky & Deena Katz Evensky & Katz LLC - IA Firm CRD # Harold Evensky is an owner through his ownership in Evensky & Katz, Inc. a principal and IAR of the company 2014 Present Evensky & Katz / Foldes Financial Wealth Management IA Firm CRD # , Harold is an owner, a principal and IAR of the company Present Professor of Practice, Department of Personal Financial Planning, Texas Tech University PROFESSIONAL ORGANIZATIONS Certified Financial Planner Board of Standards (CFP BOG) Financial Planning Association (FPA) Academy of Financial Services (AFS) Associate Member CFA Institute Associate Member American Bar Association (ABA) Associate Member American Institute of CPAs (AICPA) PROFESSIONAL ACTIVITY Editorial Advisory Board Journal of Financial Planning (Current) Editorial Advisory Board Journal of Retirement Planning (Current) Standard & Poor SPIVA Award Judge Past Service Chair CFP Board of Standards Chair International CFP Council Chair TIAA-CREF Institute Financial Advisory Committee Chair CFP Board of Appeals; Chair CFP Board of Examiners Board Member Academy of Financial Services National Board Member International Association for Financial Planning Chair TIAA-CREF Institute Financial Advisor Advisory Committee OTHER PAST SERVICE Arbitrator - American Arbitration Association Arbitrator - National Association of Security Dealers RECOGNITION Smart Money, September Power Brokers, Who are the most powerful people in the mutual fund industry Ranked #22 of 30 Harold Evensky - Resume, 12/2016 2

3 Fortune, 1998 Special Year-End Double Issue, The new age of financial planning - Evensky is... the most widely recognized of that new breed of financial expert known as a financial advisor. Accounting Today, May 10-23, 1999 Listed in Names to Know in Financial Planning, for accountants interested in branching out into financial planning, or planners seeking to expand in the 21 st century, Accounting Today has compiled this list of 10 names you need to know Dow Jones Investment Advisor Portfolio Management Award, 1999 For Lifetime Achievement Accounting Today, September/October 2000 Listed in Making History The Accounting Today 2000 Most Influential People and May 2002 Names to Know in Financial Planning. Financial Planning Magazine, named as one of five in the January 2001 cover story, Movers, Shakers and Decision Makers, The Most Influential People in the Financial Planning Profession Journal of Financial Planning, Changing Equity Premium Implications For Wealth Management Portfolio Design And Implementation selected as the winner of the 2002 Planning Techniques and Methods, Call for Papers competition. Worth Magazine, September 2001, July/August 2002, listed in The 250 Best Financial Advisors In America Investment Advisor Magazine, May 2002, listed in The Investment Advisor s Top 25 Most Influential People in Financial Planning Investment Advisor Magazine, May 2003, listed in Investment Advisor s IA 25, the 25 Most Influential People in Financial Planning Worth Magazine, January 2004, listed in The 100 Nations 100 Most Exclusive Wealth Advisors Wealth Management cover endorsements: Harold s diligent and scholarly approach to investing theory makes Wealth Management a thoughtful book that should be on every advisor s reading list. Charles Schwab, Chairman & CEO, The Charles Schwab Corporation Harold Evensky is the dean of financial planning in America Don Phillips, President, Morningstar, Inc. Money Magazine Six Top Advisors, 2009 Listed in Worth Magazine Top financial Advisors for 9 consecutive years Investment Advisor Magazine Thirty for Thirty Investment Advisors most influential in building the profession, 2010 Investment News 15 Transformational Advisors, 15 Advisors Who Changed the Industry, Financial Planning Association Heart of Financial Planning award, Charles Schwab Inc Trailblazer IMPACT Award TM, November 2013 Harold Evensky - Resume, 12/2016 3

4 BOOKS Long Term Health Care, Houghton Mifflin, 1990 Wealth Management, McGraw Hill, 1996 Y2K and Your Money, Sitting Duck Software & Companion Book, PIE Technologies, 1998/1999 Wealth Management (in Japanese), 1999 The Invincibility Shield for Investors, Developing a Shield, Aspatore, 2003 Wealth Management (in Korean), 2003 The Investment Think Tank, Bloomberg Press, 2004 Retirement Redesigned A Master Plan for Distribution, Bloomberg Press, 2006 The New Wealth Management, CFA Institute/Wiley & Sons, 2011 Hello Harold, Amazon Kindle 2016 Exploring Advice: What You Need to Know About Good Financial Advice, a Quality Financial Plan and the Role of a Fiduciary, Kevin Knull, Contributed a Chapter, 2016 Financial Behavior Players, Services, Products, and Markets, Oxford University Press. "Applications of Client Behavior: A Practitioner s Perspective". To be published The Art of Practicing and the Art of Communication in Financial Planning, Sid Mittra, ebook. Contributed a chapter. To be published 2017 ARTICLES Journal of Financial Planning Apocalypse Adverted: Now What? January 2010 From The Future Ain t What it Used to Be to Big News - May 2010 Asset Allocation New and Improved - September 2010 Looking Back on 2010 and Forward to January 2011 Understanding Risk Tolerance to Remain Compliant July 2011 Retirement Income Research Proved Fruitful in January 2012 Withdrawal Rate Papers Break New Ground - July 2012 Standby Reverse Mortgages: A Risk Management Tool for Retirement Distributions August 2012 Must-Read List Includes Neuroscience and More - January Questions June 2013 New Research May Spur changes to Investment Strategies July 2013 The Benefits of Cash Reserve Strategy in Retirement Distribution Planning September 2013 Increasing the sustainable withdrawal rate using standby reverse mortgage December 2013 Quality & Quantity of Applied Research Continues - January 2014 Food for Thought on Fiduciary, Fixed Income, Safe Withdrawal July 2014 These Innovative Research Articles Deserve Your Attention - - January 2015 Embarrassment of Riches July 2015 Latest Research for Planners New Names and New Subjects January 2016 Journal of Investing, Modern Fools Gold, Alpha in Recessions, Fall 2012 Financial Advisor, Maybe MPT is not Dead? January 2010 Harold Evensky - Resume, 12/2016 4

5 VIDEO PRESENTATIONS Consuelo Mack Wealth Track January 2010 Is Your Broker Up to Standard Morningstar - March 2010 Should Annuities be a part of retiree toolkits Morningstar March 2010 The Bucket Approach for Retirement Income Morningstar - March Things you need to know about Retirement Pension Research Council at Wharton July 2012 Consuelo Mack Wealth Track Affording your retirement April 2013 Handling the Process of Succession Investment News October 2013 Strategies for Securing Your Retirement Morningstar April 2016 SECURITIES & INSURANCE LICENSES (expired) Series 24 - Principal; Series 53 - Municipal Bonds; Series 63 - Blue Sky; Series 7 - General Securities; Commodities Life, Disability, Fixed & Variable Annuities Harold Evensky has never held Series 65 license as this is usually not required by a state if the advisor is a CFP. Harold Evensky s CRD # is Harold Evensky - Resume, 12/2016 5