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
Michael Herrmann
Financial Advisor
Michael has spent nearly 30 years working with folks from of all walks of life make sound financial decisions regarding saving, investing, insurance, employer benefits, estate planning, help reduce taxes and protect assets. His client list is extensive and includes medical, dental and legal professionals, small business owners, and retirees. The majority of his clientele comes from referrals by existing clients or other trusted advisors, which speaks to his expertise and personal touch.
Michael graduated from Johnson & Wales University in Providence, Rhode Island with Honors in 1990. In 1995, he began working with Mass Mutual, a Fortune 500 Company, in Phoenix, Arizona. Michael successfully earned his Insurance licensing and also obtained NASD Series 6 and 63 and 7. Michael is an Independent Insurance broker and currently holds Series 65 to offer Investment Advisory Services. Michael has several hundred hours of continuing education credits to his name and is licensed in multiple states.
Michael gives back to the community by doing what he knows best. He has helped the friends or family of clients’ that needed it the most by assisting them pro bono, to apply for and successfully obtain Social Security disability benefits, Social Security Survivor Benefits, Medicaid, Arizona Long Term Care, or Prescription Drug Assistance. He has also volunteered with Million Dollar Round Table Foundation and Junior Achievement.
You will find Michael and his wife Apryl, checking off their bucket list of chefs around the country, trying out new recipes, attending concerts by one of their favorite country artists, fostering small senior dogs, spending time with his two daughters, Kaylee and Megan, or traveling to places he can SCUBA dive. Michael has 6 siblings including an identical twin.
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.