October 1, 2013 Springfield Office 910 E. St. Louis St., Suite 200 P.O. Box 2202 Springfield MO, 65801-2202 www.bkdwa.com Advisors presented in this supplement: Rhonda Christopher Michael Blumreich Leia Breithaupt Gretchen Cliburn Jeffrey Gann Shari Hoffman Stephanie Hurt Randal Saul Jeffrey Layman Jack Thurman Zachary Swartz This brochure supplement provides information about employees of BKD Wealth Advisors, LLC (BKDWA) located in our Springfield, Missouri, office as well as employees who serve you from our corporate office in Springfield, Missouri. This supplements our Form ADV, Part 2. You should have received a copy of this brochure. Please contact this office at the number provided above if you did not receive the brochure or if you have any questions related to the brochure or this supplement. Additional information about each investment advisor representative can be found on the SEC s website at www.adviserinfo.sec.gov.
Rhonda Christopher Rhonda Christopher Office Director Director Born 1962 Missouri State University, BS in Accounting Certified Public Accountant (CPA) Personal Financial Specialist (PFS) Business Office Director and Director BKD Wealth Advisors, LLC (October 2013 Present) Office Director and Senior Managing Advisor BKD Wealth Advisors, LLC (June 2013 September 2013) Office Director and Managing Advisor BKD Wealth Advisors, LLC (June 2012 May 2013) Managing Advisor BKD Wealth Advisors, LLC (January 2010 May 2012) Manager BKD, LLP, (January 1985 June 1997, July 2006 January 2010) Staff Accountant Lindy H. Maus, CPA (January 1984 December 1985) Ms. Christopher will not receive compensation for The person responsible for supervising Ms. Christopher is: Steven Toomey, CIMA Principal 1201 Walnut Street, Suite 1700 Kansas City, MO 64106-2246 816.842.1935 Michael Blumreich Michael Blumreich Advisor Born 1990 University of Missouri, BS in Personal Finance Management Business Advisor BKD Wealth Advisors, LLC (October 2013 Present) Staff Advisor BKD Wealth Advisors, LLC (May 2013 September) President Office for Financial Success, University of Missouri (August 2012 May 2013) Financial Services Intern BKD Wealth Advisors, LLC (May 2012 August 2012) Financial Counselor Office for Financial Success, University of Missouri (January 2012 May 2013) Financial Services Intern Wilkerson & Reynolds Wealth Management (May 2011 August 2011) 2
Mr. Blumreich will not receive compensation for The person responsible for supervising Mr. Blumreich is: Rhonda Christopher, CPA/PFS Office Director and Director Springfield, MO 65801-2202 Leia Breithaupt Leia Breithaupt Advisor Born 1990 Missouri State University, BS in Finance Business Advisor BKD Wealth Advisors, LLC (October 2013 Present) Staff Advisor BKD Wealth Advisors, LLC (January 2013 September 2013) Bank Teller Commerce Bank (July 2011 January 2013) Ms. Breithaupt will not receive compensation for The person responsible for supervising Ms. Breithaupt is: Rhonda Christopher, CPA/PFS Office Director and Director Springfield, MO 65801-2202 Gretchen Cliburn Gretchen Cliburn Senior Managing Advisor Born 1971 DeVry University, BS in Technical Management with Finance emphasis University of Maryland University College Europe, AA in Business CERTIFIED FINANCIAL PLANNER (CFP ) Certified Divorce Financial Analyst (CDFA ) Business Senior Managing Advisor BKD Wealth Advisors, LLC (October 2013 Present) Managing Advisor BKD Wealth Advisors, LLC (December 2011 September 2013) Supervising Advisor BKD Wealth Advisors, LLC (March 2008 November 2011) Financial Advisor, Assistant Vice-President Merrill Lynch (March 1999-March 2008) 3
Investment Consultant, Bank of America Securities (January 1996 March 1999) Ms. Cliburn will not receive compensation for The person responsible for supervising Ms. Cliburn is: Rhonda Christopher, CPA/PFS Office Director and Director Springfield, MO 65801-2202 Jeffrey Gann Jeffrey Gann Director Born 1969 Missouri State University, MBA in Finance Missouri State University, BS in Finance Business Director BKD Wealth Advisors, LLC (October 2013 Present) Senior Managing Advisor and Portfolio Manager BKD Wealth Advisors, LLC (June 2011 September 2013) Managing Advisor and Portfolio Manager BKD Wealth Advisors, LLC (June 2007-June 2011) Supervising Advisor and Portfolio Manager BKD Wealth Advisors, LLC (September 2004 June 2007) Senior Advisor and Portfolio Manager BKD Wealth Advisors, LLC (February 2003 September 2004) Portfolio Manager Springfield Trust Company (September 1999-January 2003) Mr. Gann will not receive compensation for Each Portfolio Manager reports directly to BKDWA s Chief Investment Officer, Jeff Layman. Mr. Layman is responsible for oversight of all trading and research activities performed by the Portfolio Managers and the Investment Committee Members. The person responsible for supervising Mr. Gann is: Jeff Layman, CFA Principal and Chief Investment Officer Springfield, MO 65801-1190 The Chief Investment Officer reports directly to BKDWA s President, Jack Thurman. Mr. Thurman has overall supervisory authority and responsibility within the Firm. Mr. Thurman can be reached at. 4
Shari Hoffman Shari Hoffman Director Born 1967 Drury University, BA in Accounting and Business Administration Cannon Financial Institute, Honor Graduate Certified Trust and Financial Advisor (CTFA) Business Director BKD Wealth Advisors, LLC (October 2013 Present) Senior Managing Advisor BKD Wealth Advisors, LLC (August 2004 September 2013) Managing Advisor BKD Wealth Advisors, LLC (August 2000 August 2004) Vice President & Trust Officer Springfield Trust (1997 2000) Vice President & Trust Officer Commerce Bank (1985 1997) Item 5 Additional compensation Ms. Hoffman will not receive compensation for The person responsible for supervising Ms. Hoffman is: Rhonda Christopher, CPA/PFS Office Director and Director Springfield, MO 65801-2202 Stephanie Hurt Stephanie Hurt Senior Managing Advisor Portfolio Manager Born 1979 Missouri State University, BS in Finance Chartered Financial Analyst (CFA ) Business Senior Managing Advisor and Portfolio Manager BKD Wealth Advisors, LLC (October 2013 Present) Managing Advisor and Portfolio Manager BKD Wealth Advisors, LLC (June 2012 September 2013) Supervising Advisor and Portfolio Manager BKD Wealth Advisors, LLC (June 2007 May 2012) Portfolio Manager US Bank (December 2002 June 2007) Associate Portfolio Manager Springfield Trust Company (June 2002 December 2002) Ms. Hurt will not receive compensation for advisory services from any source outside of BKD Wealth Advisors, LLC. 5
Each Portfolio Manager reports directly to BKDWA s Chief Investment Officer, Jeff Layman. Mr. Layman is responsible for oversight of all trading and research activities performed by the Portfolio Managers and the Investment Committee Members. The person responsible for supervising Ms. Hurt is: Jeff Layman, CFA Principal and Chief Investment Officer Springfield, MO 65801-1190 The Chief Investment Officer reports directly to BKDWA s President, Jack Thurman. Mr. Thurman has overall supervisory authority and responsibility within the Firm. Mr. Thurman can be reached at. Randal Saul Randal Saul Managing Director Born 1950 Southeast Missouri State University, MA in Teaching Southeast Missouri State University, BS in Education Accredited Investment Fiduciary (AIF ) Business Managing Director BKD Wealth Advisors, LLC (October 2013 Present) Director BKD Wealth Advisors, LLC (April 2002 September 2013) Office Director BKD Wealth Advisors, LLC (April 2002 May 2012) Senior Vice President Bank of America Private Bank (April 1998 January 2002) Mr. Saul will not receive compensation for advisory services from any source outside of BKD Wealth Advisors, LLC. The person responsible for supervising Mr. Saul is: Jack Thurman, CIMA Principal and President Springfield, MO 65801-1190 Jeffrey Layman Jeffrey Layman Principal and Chief Investment Officer Born 1965 Missouri State University, MBA in Finance Missouri State University, BS in Finance Chartered Financial Analyst (CFA ) Business Chief Investment Officer BKD Wealth Advisors, LLC (April 2008 Present) 6
Principal BKD Wealth Advisors, LLC (June 2007- Present) Principal BKD, LLP (February 2007-Present) Senior Portfolio Manager and Director of Investment Services BKD Wealth Advisors, LLC (March 2000 June 2007) Senior Vice President Bank of America: Investment Management (July 1995 March 2000) Registered Representative Boatmen s Bank (September 1988 July 1995) Management Trainee Boatmen s Bank (June 1987 September 1988) Mr. Layman will not receive compensation for The Chief Investment Officer reports directly to the President, Jack Thurman. Mr. Thurman has ultimate responsibility for all trading and research activities performed by the Portfolio Managers and the Investment Committee Members. The person responsible for supervising Mr. Layman is: Jack Thurman, CIMA Principal and President Springfield, MO 65801-1190 Jack Thurman Jack Thurman Principal and President Born 1961 Drury University, BA in Business Administration Certified Investment Management Analyst (CIMA ) Business Principal and President BKD Wealth Advisors, LLC (February 2000 Present) Chief Compliance Officer BKD Wealth Advisors, LLC (August 2008-September 2013) Principal BKD, LLP (February 2000-Present) Vice President Merrill Lynch (January 1986 February 2000) Mr. Thurman will not receive compensation for As Principal and President of BKDWA, Mr. Thurman has ultimate responsibility for the Firm. He does not report to any other employee of BKDWA. Mr. Thurman reports directly to Michael Burlew, Regional Managing Partner of the Initiatives and Subsidiaries Region of BKDWA s parent company, BKD, LLP. Mr. Burlew can be reached at 417.865.8701. 7
Zachary Swartz Zachary Swartz Managing Advisor Portfolio Manager Born 1985 Missouri State University, BS in Finance Chartered Financial Analyst (CFA ) Business Managing Advisor and Portfolio Manager BKD Wealth Advisors, LLC (October 2013 Present) Supervising Advisor and Portfolio Manager BKD Wealth Advisors, LLC (December 2012 September 2013) Senior Advisor and Portfolio Manager BKD Wealth Advisors, LLC (November 2010 December 2012) Junior Portfolio Manager BKD Wealth Advisors, LLC (May 2008 November 2010) Investment Intern BKD Wealth Advisors, LLC (November 2006 May 2008) Mr. Swartz will not receive compensation for Each Portfolio Manager reports directly to BKDWA s Chief Investment Officer, Jeff Layman. Mr. Layman is responsible for oversight of all trading and research activities performed by the Portfolio Managers and the Investment Committee Members. The person responsible for supervising Mr. Swartz is: Jeff Layman, CFA Principal and Chief Investment Officer Springfield, MO 65801-1190 The Chief Investment Officer reports directly to BKDWA s President, Jack Thurman. Mr. Thurman has overall supervisory authority and responsibility within the Firm. Mr. Thurman can be reached at. Accredited Investment Fiduciary (AIF ) Issued by Center for Fiduciary Studies Candidate must complete one of the following: o Web-based program o Capstone program Examination Type: Final certification exam Continuing Education/ Requirements: six hours per year Certified Divorce Financial Analyst (CDFA ) Issued by Institute for Divorce Financial Analysts Candidate must meet the following o Three years qualified work experience (financial professional, accountant, or matrimonial lawyer) Educational Requirements 8
o Self-study program (4 modules) Examination Type: three course exams and a comprehensive case study Continuing Education/ Requirements: 15 hours of divorce related continuing education every two years Chartered Financial Analyst (CFA ) Issued by CFA Institute Candidate must meet one of the following o Undergraduate degree and four years of professional experience involving investment decisionmaking, or o Four years qualified work experience (full time, but not necessarily investment related) Educational Requirements o Self-study program (250 hours of study for each of the three levels) Examination Type: three course exams Continuing Education/ Requirements: CERTIFIED FINANICAL PLANNER (CFP ) Issued by Certified Financial Planner Board of Standards, Inc. Candidate must meet the following o A bachelor s degree (or higher) from an accredited college or university, and o Three years of full-time personal financial planning experience Educational Requirements o Candidate must complete a CFPboard registered program or hold one of the following CPA, ChFC, Chartered Life Underwriter (CLU), CFA, Ph.D. in business or economics, Doctor of Business Administration or Attorney's License Examination Type: CFP Certification Examination Continuing Education/ Requirements: 30 hours every two years Certified Investment Management Analyst (CIMA ) Issued by investment Management Consultants Association Candidate must meet all of the following o Three years of verifiable financial services experience; o Must answer "no" to all disclosure questions on Form U-4 that cover criminal and regulatory violations, civil judicial actions and customer complaints or else satisfactorily justify a "yes" answer Educational Requirements o Self-study program (approximately five months) Examination Type: On-line qualification examination after self-study and an on-line comprehensive certification examination after meeting all requirements of a registered classroom education program Continuing Education/ Requirements: 40 hours every two years Certified Public Accountant (CPA) Issued by Individual State Board Candidate must meet the following o A bachelor s degree (or higher) equal to at least 150 hours from an accredited college or university, and o One year of experience (requirement may vary slightly depending on state) Examination Type: CPA Examination covering Auditing & Attestation, Financial Accounting & Reporting, Regulation and Business Environment & Concepts. Continuing Education/ Requirements: 120 hours every three years Certified Trust and Financial Advisor (CTFA) Issued by ABA Institute of Certified Bankers 9
Candidate must meet one of the following o Three years of personal trust experience plus ICB-approved training program, or o Five years of personal trust experience and a bachelor's degree, or o 10 years of personal trust experience Educational Requirements: Examination Type: Final certification exam Continuing Education/ Requirements: 45 hours every three years, minimum of six hours in each of four knowledge areas Personal Financial Specialist (PFS) Issued by AICPA Candidate must meet the following o Obtain a CPA License o Be a current member of AICPA Educational Requirements o Earn a minimum of 80 hours of personal financial planning education in the five years preceding PFS application. o 3,000 hours of personal financial planning business experience Examination Type: PFS Exam Continuing Education/ Requirements: 60 hours of financial planning credits every three years 10