About Gunn Financial Associates/Royal Alliance Associates

Gunn Financial Associates is a financial planning firm providing financial, retirement and investment services to high net worth individuals, families and small business owners. Our firm has over 40 years of experience in financial planning and its elements of accounting, taxes, investments and insurance. We assist clients with analysis and decisions regarding their financial goals and build and preserve their wealth. Financial Planning & Investment services include: Management of retirement & non-retirement investments, retirement income planning, tax planning to reduce income taxes, planning to preserve your assets and income.

General Information Years of Experience in Financial Services:    17 Gender:    Male CRD#:    5326196 Work Experience:    Ryan began his professional career at Wells Fargo Financial where he assisted both English and Spanish speaking clients with credit repair, debt consolidation and mortgage refinancing. Shortly thereafter Ryan became an independent financial planner at Aegis Wealth Group which eventually led him to join Gunn Financial Associates working side by side with his father serving high net worth families and business owners within the community and around the nation. Firm CRD#:    23131 Name of Custodial Firm:    Several choices Number of Years with Current Firm:    15 Insurance License#:    0I67971 Work with the following types of clients:    Businesses, Individual Investors, Retirees Name of Broker/Dealer:    Royal Alliance Associates, Inc. States Willing to do Business in:    We serve clients nationwide and have physical offices in Orange County and Westlake Village California. Advisory Services Provided:    Tax Advice and Services, Financial Planning for Businesses, Financial Planning for Individuals, Education Funding and Planning, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Insurance Products & Annuities, Estate Planning & Trusts, Investment Advice & Management, Financial Advice & Consulting

Services Investment Types:    Mutual Funds, Bonds, Stocks, Annuities, Insurance, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI) Can meet clients in the following ways:    Phone, Our Office, Video Conference

Qualifications & Memberships Certifications, Accreditations & Designations:    CFP® Securities Licenses:    Series 7, Series 66 Insurance and Annuity Licenses:    Variable Life, Long Term Care, Variable Annuity, Life, Annuity, Disability Financial Organization Memberships:    Academy of Preferred Financial Advisors

Firm Information Assets Managed by Firm:    $125,000,000+ Assets Managed by Advisor:    $125,000,000+ Advisor's Number of Clients:    135+ Firm's Number of Clients:    135+ Advisor's Number of Planning Clients:    135+ Advisor's Number of Managed Clients:    135+ Firm's Number of Planning Clients:    135+ Firm's Number of Managed Clients:    135+

Compliance Criminal Disclosures in Last 5 years:    I have a clean record Compliance Disclosures in Last 5 years:    I have a clean record Registered Investment Advisor:    Yes Registered Representative:    Yes Investment Advisor Representative:    Yes Acknowledged fiduciary:    Yes

Compensation and Fees Additional Details on Charges:    Flat fees and retainer based pricing depending on scope of work. Asset based fees for clients desiring asset management services. Fee schedule to be provided during initial consultation. Compensation Methods:    Based on Assets, Flat Fee Minimum Portfolio Size for New Managed Accounts:    $1,000,000 Fee Structure:    Fee-Based

Frequently Asked Questions

Q.	What are your qualifications? What is your education background?

Q.	How are you compensated? How will I pay for your services?

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?

Q.	How many clients do you currently manage?

Q.	Do you offer any guaranteed results?

Q.	How much risk should I be willing to take?

Q.	Have you ever been charged with any breaches?

Q.	What is your approach to financial planning?

Q.	What services do you offer?

Q.	Why should I choose you as my financial advisor?

Q.	What services do you provide? What are your specialties?

Q.	What is your experience? How many clients do you currently manage?

Q.	What financial institution(s) do you represent?

Q.	What are your qualifications?

Q.	What is your approach to 401 K plan rollovers?

Q.	How long does the process of rolling over a 401K plan usually take?

Q.	What financial institutions do you represent?

Q.	How many years of experience do you have?

Q.	What are your fees for this service?

Q.	Why should I roll over my 401K plan to your firm?

---

Q.	What are your qualifications? What is your education background?
As CFPs we offer a holistic approach to assisting you with your finances. Proper retirement planning upfront allows you to make educated decisions and avoid costly mistakes. We start by first clarifying your goals and assess where you stand today and then prioritize the steps necessary to accomplish your goals.

Q.	How are you compensated? How will I pay for your services?
We have a several fee models available to meet our clients needs that include the following; one-time, quarterly retainer and/or investment management fee.

Q.	If you are going to manage my account, will you obtain my permission every time you buy or sell something?
Each client will work with a primary servicing adviser. Additional advisers will be involved in the client planning and decision process which provides every client with double coverage.

Q.	How many clients do you currently manage?
We currently have over 135 client relationships.

Q.	Do you offer any guaranteed results?
No, we do not offer any guaranteed investment results. Certain insurance carriers offer guarantees unique to their specific products.

Q.	How much risk should I be willing to take?
This is an individual decision that we will help you make during the financial planning process.

Q.	Have you ever been charged with any breaches?
No

Q.	What is your approach to financial planning?
Our firm is dedicated to your success. We will properly educate you to empower your decision making ability in regards to your finances. Client references are available upon request.

Q.	What services do you offer?
Investment management, retirement planning, asset protection, tax planning, estate planning.

Q.	Why should I choose you as my financial advisor?
Our firm's advisers are required to have a minimum of a Bachelors degree and obtain the CERTIFIED FINANCIAL PLANNER® certification. We also have a CPA within the firm.

Q.	What services do you provide? What are your specialties?
Investment management, retirement planning, asset protection, tax planning, estate planning.

Q.	What is your experience? How many clients do you currently manage?
Our firm's advisers are required to have a minimum of a Bachelors degree and obtain the CERTIFIED FINANCIAL PLANNERS® certification. We also have a CPA within the firm. We currently have over 135 client relationships

Q.	What financial institution(s) do you represent?
We are independent financial advisors.

Q.	What are your qualifications?
Our firm's advisers are CERTIFIED FINANCIAL PLANNERS® and we have a CPA within the firm.

Q.	What is your approach to 401 K plan rollovers?
Review where you stand today with your current plan and present to you other options available.

Q.	How long does the process of rolling over a 401K plan usually take?
Rollovers can take anywhere from a few days to a few weeks.

Q.	What financial institutions do you represent?
We are an independent firm and have no requirement of using a specific investment company. We have a fiduciary obligation to do whats best for our clients.

Q.	How many years of experience do you have?
Our firm has over 25+ years of experience helping people manage their wealth and rollover their 401(k)'s to their own individual retirement account.

Q.	What are your fees for this service?
We have a several fee models available to meet our clients needs that include the following; one-time, quarterly retainer and/or investment management fee.

Q.	Why should I roll over my 401K plan to your firm?
This is a personal decision that needs to be carefully considered. We will help you evaluate this decision during our initial consultation.