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A Further Look | Mar 07, 2024

Thirty Years!

David B. Root, Jr.


In April we will celebrate our 30th year in business. 30 years! It’s been quite a run. As entrepreneurs say, starting a business is anything but a smooth, upward curve. Fortunately, what both the successes and the failures have taught me is that in order to survive, we must continually fix our gaze forward. What I am particularly focused on right now is: “How do we serve our clients the very best over the next 30 years?”

Today’s clients expect us to perform at the highest level, and they deserve nothing less. Tomorrow’s clients may be even more demanding. Outperforming in any endeavor requires more than just talent or a strong resume; it demands maximum effort, unrelenting commitment, and a laser-like focus on the goal at hand. So, whether you seek a successful retirement, supporting your family and employees’ financial future, or just living the life you deserve, advisors with ‘game’ want the ball when it counts.

Truly outstanding advisory work requires that we dig deeper. It means creating comprehensive generational wealth transfer strategies that preserve an estate as a family evolves and grows. It means continually improving our diverse advisory skillsets, such as an intricate understanding of personal wealth planning or the nuances of constructing a company’s retirement plan.

For so many individuals and families, a 401(k) and other tax-advantaged accounts are the backbone of their retirement savings strategy. To ensure we are always at the forefront of the industry, for example, we operate our own nationally recognized company retirement plan division, Fiduciary Plan Solutions. Fiduciary Plan Solutions is not only an invaluable service for our corporate clients, it is a crucial additional resource for our wealth management clients and team.

Underpinning our firm’s longevity is our unbending commitment to fiduciary excellence. Each year our Fiduciary Plan Solutions team undertakes the rigorous process of becoming certified by the Centre for Fiduciary Excellence (CEFEX). CEFEX certification is the gold standard for fiduciary excellence and is held by less than 200 firms worldwide. To qualify, a firm must be put through a large-scale audit, which we have completed for several years running.

An example of the extraordinary expertise and credentials necessary to perform this high-level of service is personified by Fiduciary Plan Solutions’ Managing Director, Steven Kaczynski, CFA®,AIFA®,CPFA®, MST, MBA. Steve and his team possess a depth of knowledge and critical thinking ability, especially as it relates to the role wealth management plays in managing retirement plans. As a result, DBR & CO, has become an industry leader in cross-functional, holistic wealth planning for business owners and their families.

Just as Steve’s thirst for knowledge resulted in advanced credentials ranging from the Chartered Financial Analyst designation to a Masters in Taxation, we seek to bring multi-faceted expertise to every aspect of a client’s situation. Individual wealth is inextricably tied to family wealth, legacy, and business. Virtually every family with measurable wealth invests heavily in, outright owns, or has significant exposure to businesses.

The same standards exemplified by Fiduciary Plan Solutions are carried throughout our organization. We are a fiercely meritocratic team. Everyone in the firm is trained, passionate, and incentivized to win for our clients. Senior advisors are put through a minimum three-to-five-year process before working with clients. They too are required to gain high-level industry credentials, and our impressive group includes five Chartered Financial Analyst (CFA®) charterholders, six Certified Financial Planners (CFP®), multiple Accredited Investment Fiduciaries (AIF®) and Accredited Investment Fiduciary Analysts (AIFA) Designees. These are among the elite credentials in our industry.

We have worked to set the standard over the last thirty years. To me, the next thirty years begins and ends with our people and our capabilities. Excelling in these two areas is how we will serve clients best over the next 30 years. As the next generation of our team and the next generation of clients takes a foothold within our firm, they will continue to up my game. Through their attitudes, commitment to the highest professionalism and understanding of our clients’ needs, I have full conviction that our firm is prepared for another 30 years of service.

And finally, as any good entrepreneur knows, sustained excellence is not possible without our clients. I could not be more thankful for our long-term partnership. I’ve learned so much from you over the years, and you have been an invaluable resource in clarifying how we can get better. My line is always open for your ideas.

My sincerest and heartfelt thank you to our team and to our clients. Cheers to the next thirty years!

Thanks for reading.

This material has been provided for general, informational purposes only, represents only a summary of the topics discussed, and is not suitable for everyone. The information contained herein should not be construed as personalized investment advice or recommendations. Rather, they simply reflect the opinions and views of the author. D. B. Root & Company, LLC. does not provide legal, tax, or accounting advice. Before making decisions with legal, tax, or accounting ramifications, you should consult appropriate professionals for advice that is specific to your situation. There can be no assurance that any particular strategy or investment will prove profitable. This document contains information derived from third party sources. Although we believe these third-party sources to be reliable, we make no representations as to the accuracy or completeness of any information derived from such sources, and take no responsibility therefore. This document contains certain forward-looking statements signaled by words such as "anticipate," "expect", or "believe" that indicate future possibilities. Due to known and unknown risks, other uncertainties and factors, actual results may differ materially from the expectations portrayed in such forward-looking statements. As such, there is no guarantee that the expectations, beliefs, views and opinions expressed in this document will come to pass. Information presented herein is subject to change without notice and should not be considered as a solicitation to buy or sell any security. All investment strategies have the potential for profit or loss. Asset allocation and diversification do not ensure or guarantee better performance and cannot eliminate the risk of investment losses. The impact of the outbreak of COVID-19 on the economy is highly uncertain. Valuations and economic data may change more rapidly and significantly than under standard market conditions. COVID-19 has and will continue based on economic forecasts to have a material impact on the US and global economy for an unknown period.

David B. Root, Jr.


Founder & Chief Executive Officer

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