Five Star award winner Shaun Thompson, CFA, CFP®

PROFESSIONAL PROFILE

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Shaun Thompson, CFA, CFP^®

Chief Compliance Officer & Senior Wealth Advisor

Peak Financial Management

20 William Street, Suite 135

Wellesley, MA 02481

Office: (781) 487-9500

Cell: (508) 769-7483

shaun@peak-financial.com
www.peak-financial.com

Professional Approach and Background

Shaun, a Chartered Financial Analyst® and Certified Financial Planner™ practitioner, is Chief Compliance Officer and a Senior Wealth Advisor, providing comprehensive financial planning advice to Peak’s clients. He objectively collaborates with other professionals, such as estate planning attorneys, accountants, and insurance underwriters to ensure financial plans are not just crafted on paper but executed, to give clients the best chance of achieving their goals. He is also a participant on Peak’s Investment Committee and Marketing Committee.

Shaun spent the first seven years of his career at Mintz Levin Financial Advisors. There, he began his career in investment operations before quickly transitioning into client service, where he discovered his true passion for financial planning. In 2012, Mintz Levin merged with The Colony Group, where he gained extensive experience advising successful individuals, families, and business owners. Comprehensive financial planning, his focus, includes topics such as investment management, tax planning, estate planning, education funding, and risk management. During this time he enjoyed opportunities to present at Boston University Law School and Harvard Law School the fundamentals of financial planning and investing.

Additionally, Shaun served on both Mintz Levin’s Investment Committee and The Colony Group’s Public Market Strategies Investment Committee. At Mintz Levin, the Investment Committee was charged with selecting all public securities and private strategies. This included due diligence selection and the monitoring of mutual funds, ETFs, and both private and public alternative investments. At The Colony Group, the Public Market Strategies Investment Committee was charged with selecting and monitoring all publically traded securities and separate account manager strategies.

Shaun holds a Bachelor’s of Science in Business Administration from Boston University with a concentration in finance. He later completed Boston University’s Program for Financial Planning. His interests include backcountry skiing, fitness, history, and world traveling.

See Accomplishments

This award was issued on 2/1/22 by Five Star Professional (FSP) for the time period 05/24/2021 through 11/19/2021. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 4090 Boston-area wealth managers were considered for the award; 513 (13% of candidates) were named 2022 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2021: 4069, 480, 12%, 2/1/21, 5/25/20 - 11/30/20; 2020: 3580, 463, 13%, 2/1/20, 4/1/19 - 12/13/19; 2019: 3619, 566, 16%, 1/1/19, 4/18/18 - 11/6/18; 2018: 2819, 532, 19%, 1/1/18, 3/23/17 - 11/10/17; 2017: 2467, 623, 25%, 12/1/16, 3/26/16 - 11/23/16; 2016: 2530, 632, 25%, 12/1/15, 5/18/15 - 11/6/15; 2015: 3542, 801, 23%, 1/1/15, 5/18/14 - 11/6/14; 2014: 1707, 655, 38%, 1/1/14, 5/18/13 - 11/6/13; 2013: 2362, 713, 30%, 1/1/13, 5/18/12 - 11/6/12; 2012: 2591, 454, 18%, 1/1/12, 5/18/11 - 11/6/11.

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Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria-required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA 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 FSP, 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 FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP'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. FSP does not evaluate quality of services provided to clients. The 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 clients' 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 FSP 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 FSP in the future. Visit www.fivestarprofessional.com.