Our Company Values
For those who are looking for financial advice, we realize the available options are many and deciding who to work with is a challenging problem. Listed below are our Company Values which we hope will give you a better understanding of how we operate.
- People Matter – We believe that each person is innately valuable and worthy of respect and honor. We believe that relationships matter and that business is relational, top to bottom. People First, Money Second is a priority statement that places people and relationships ahead of financial matters.
- Integrity Matters – We believe that integrity and truth matter. We believe we need to conduct our business in such a way that we are “above reproach. We believe suitability and ethical practices come from placing a high value on other people and their needs before our own.
- Communication Matters – We believe that communication with our client partners builds and maintains the trust that is necessary for business relationships to reach their full potential. We believe that our client partners deserve the type of communication that is frequent, timely, truthful, & relevant.
- Service Matters – We believe that good service is practical and that great service is necessary in the pursuit of business excellence. We will pursue perfection and in so doing “catch a little excellence along the way.” (Vince Lombardi)
Carolyn began her career in the field of financial services with the Equitable and initially utilized her education background of 17 years to specialize as a retirement planning consultant for teachers, small businesses, and nonprofits in Boston, MA.
Carolyn’s solution for helping her clients make important financial decisions has been so successful that she has been featured in the Boston Globe, Money Magazine, and Dow Jones Wire. She has been quoted in the Wall Street Journal, Bloomberg, and several other publications. In addition, she was named one of Boston’s top wealth managers for 3 years in Boston Magazine, a top financial advisor in Sarasota, and chosen tops in her field by IAOTP (International Association of Top Professionals), just to name a few. Carolyn was featured nationally in a public television program in 2017 – Behind the Scenes produced by James Earl Jones focusing on “Empowering Women in Finance.”
Carolyn is a proud member of the Lexington, KY, Chamber of Commerce, Sarasota Better Business Bureau, and SOFA (The Society of Financial Awareness- committed to eliminating illiteracy one community at a time through a speaker’s bureau). She has volunteered her time at many non-profits which have included: Dana Farber Cancer Center in Boston, MA; a sewing group in Sarasota, FL, making children’s clothes for underprivileged children; the executive committee of 100 Women in Lexington, KY that donates to nonprofit organizations that provide services to women and children; and is a member of the University of KY Women and Philanthropy that provides grants to various U of KY departments for special student projects.
In her free time, Carolyn enjoys music, art, historic restoration, gardening, and swimming.
Like Carolyn and Bob, Patty has worn several career hats and is no stranger to navigating change. After receiving a BA and MA in Education from The University of Kentucky, Patty taught art to high school students for 11 years. In 1981, she took a leap of faith and made the move to the financial services industry. She established Breeze Financial, LLC, an insurance, investment and financial planning firm in Lexington, KY.
Since then, Patty has made it her mission to empower her clients by, among other things, ensuring that they fully understand all of the options available to them. Bringing clarity to the table is a top priority for Patty. She loves to inform, encourage and inspire clients—in both bad times and good—so that they can see the light at the end of the tunnel and maximize all of their financial opportunities and potential. In doing so, Patty capitalizes on her considerable teaching skills and ability to explain strategies in a clear, concrete and engaging manner.
Over the years, Patty has devoted enormous time and energy to the Lexington, KY business and arts communities. Among her many award-winning activities, Patty has served as: President of Living Arts & Science Center; Board member and President of Center for Women, Children and Families; Kentucky Delegate to the White House Conference on Small Business; Division Chair of the United Way of the Bluegrass Fundraising Cabinet, and Board Member of the Woodford Theatrical Arts Association.
Patty lives with her husband David and their daughter Morgen in Versailles, Kentucky. Her son Hunt has served as a combat medic, with one tour of duty in Afghanistan. Patty enjoys traveling, reading, gardening, swimming, golf, tennis, and downhill skiing.
I am not a career “money guy.” I know firsthand what it feels like to be uncertain about money. Am I being too conservative with my investments, or not conservative enough? Are there opportunities I’m missing to better position myself for the future? Is this advice in my best interest, or a sales gimmick? What should I be doing right now to help achieve my goals? These are questions I used to ask all the time. Now I can help you find the answers.
I graduated Magna Cum Laude from Middlebury College in 1998 and moved West. My dream was to work in movies and television. I spent the next 17 years in Los Angeles, working as an editor and visual effects artist. I worked on commercials, television, movies, and rides for some of the largest brands in the world. The work forced me to cultivate exacting standards for perfection and technical expertise. I built a successful career but I struggled to plan for the future and manage my family’s finances.
Then my oldest daughter suffered two serious illnesses in three years. In what seemed like a blink, most of our savings vanished. Her health scare showed me in stark terms how little I was helping others, including my own family. It was time to embark on a new path that would help me take control of my family’s financial future. Above all I wanted to share the strategies I learned with people like me.
Now I’m a series 65 licensed fiduciary advisor and go to work every day knowing that I have found my calling. I provide the same quality of service and advice that I would expect if I were on the other side of the table. In so doing, I adhere to the same high standards I cultivated in my previous career.
I work with individual investors and families in Lexington and Louisville, KY. I encourage you to learn more on this website or on LinkedIn. If you would like to meet in person or via video conference, you can book a consultation here.
Plan For Your Future
There is no one “best place” to put your retirement money because each individual and couple has unique requirements, different tolerances for risk, and need their money at different times. Likewise, there is no one place to keep your money that fits everyone for exactly the same reasons. Your unique circumstances must be taken into consideration if you seek to find the “most favorable place” for your retirement money. This is where we can be of service.
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