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
Dan Rhoads
Founder, President
Dan Rhoads grew up in the Upper Perkiomen Valley, participating in high school swimming and water polo, and Boy Scout Troop 108. He graduated from UPHS in 1996. Dan went on to Lehigh and Cornell Universities to study molecular biology and lived in Cyprus (member nation of the European Union) for 8 years before returning to the USA. Like many, Dan had to change course and learn new skills due to changing opportunities. He studied business and earned an MBA degree in 2014 and shifted from a career in the biological sciences to a career in financial services. His background made him into someone attentive to detail and able to explain complex topics into understandable terms. Currently, Dan is a member of the Upper Perk Rotary Club and Upper Perk Lion’s Club. He also enjoys traveling in order to spend time with his two daughters, and birding around the Green Lane Reservoir.
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.