Richard Kaplan CFA, Principal, Chief Investment Officer

 

As Chief Investment Officer, Rick is responsible for Investment Advisor and Portfolio Management services. Rick manages separate equity portfolio accounts on behalf of individuals and foundations. Prior to establishing and launching Legacy Asset Management, Rick was a portfolio manager for a private investment group, specializing in value stock investing.

Rick is a graduate of the University of Alabama, where he earned a Bachelor of Science degree from the School of Business. He holds an MBA in Finance from Georgia State University in Atlanta, Georgia. Once completed with his graduate studies, Rick entered the Credit Training Program at Texas Commerce Bank/Chase Bank of Texas, and was assigned as a Trust Officer in the Institutional Management Group before being promoted to a Credit Analyst for the Investment Management Group. Rick is a CFA charter holder and a member of the Houston Society of Financial Analysts. In addition to being a business owner, he is also involved in the Houston community. Currently, Rick serves as Chairman of the Holocaust Museum Houston Foundation, Treasurer of the Friends of The Texas Holocaust & Genocide Commission, Board and Finance Committee Member of the Emery Weiner School and Finance Committee Member of the Houston Area Women's Center.

 
Joseph Birkofer CFP®, Principal

 

As a Certified Financial Planner and a Registered Investment Advisor, Joe helps clients concentrate on financial planning and asset allocation. In addition, Joe heads up the firm's Retirement Plan consulting practice, working with plan sponsors to improve investments, communications and streamline administration. Prior to co-launching Legacy Asset Management with Rick, he served as a Trust Officer with Texas Commerce Bank.

Joe earned his Bachelor of Science in Foreign Service from Georgetown University and his MBA from the University of Texas, Austin. Joe teaches Employee Benefits and Retirement Planning at Rice University's Certified Financial Planner™ program. He regularly provides commentary for national media including The New York Times, Wall Street Journal, Money Magazine, CBS Market Watch, and locally for the Houston Chronicle, local radio, and television programs. Joe is an active member of the community, serving as a Board Member of The Periwinkle Foundation, St. Anne's School Foundation, and a member of Goodwill Industries' Business Council.

 
Jillian Nel CFP®, CDFA, Director of Financial Planning

 

Jillian Nel is a CERTIFIED FINANCIAL PLANNER™ professional (CFP®) and a Certified Divorce Financial Analyst (CDFA) for Legacy Asset Management in Houston, TX. Jillian was hired by Legacy Asset Management in 2011 to open and direct a financial planning practice for the firm. Jillian and her team provides comprehensive financial planning and risk management to individual clients, business owners & their families. She also provides consulting and advisory services for the Qualified Retirement Plan practice of the firm to business owners, plan administrators, and participants.

Jillian has a passion for education and the empowerment it provides to both clients and the general public. She regularly speaks at financial planning seminars and employee educational meetings on how goal setting and risk management is essential for success in any financial planning scenario.   She contributes commentary regularly to financial planning articles and was featured on the cover of the Retirement Advisor magazine in March of 2015 as a dually licensed advisor & for the Women in Insurance cover feature in October of 2015.

Most recently, Jillian became the Associate Academic Director for the CFP ® Certification Education Program within the Glasscock School at Rice University.  This course prepares candidates to sit for the CFP® exam.  Jillian has also served as an instructor of Retirement Planning & Employee Benefits for the program since March of 2013 and continues to teach on a regular basis. 

Jillian has the Series 7 & 66 securities license, as well as the Series 24, general securities principal, and is licensed as a General Lines Insurance Agent for the State of Texas. Jillian received a B.S. in Business Administration from the Leeds School of Business at the University of Colorado at Boulder. She earned the CFP® designation in 2011 & became a Certified Divorce Financial Analyst in 2015.  She is an active member of the Financial Planning Association, Women’s Finance Exchange and Greater Houston Women’s Chamber of Commerce. 

Jillian is also serves the community thru charitable efforts.  She is a member of the Corporate Guild for Dress for Success Houston and an active member of Women of Wardrobe.  She is on the board of directors for the HER Foundation that supports the Women's Fund and the advisory board of directors for the Periwinkle Foundation, all local Houston charities.

 
 
Dennis Hamblin Investment Advisor, Retirement Plan Consultant

 

Dennis' background in Qualified Retirement Plans dates to the 1980's, when he was a partner in a Third Party Administrative firm.  He brings to bear this extensive administrative and regulatory background in his professional practice.  

Dennis was a Regional Account Executive with Manulife for several years. Manulife gave him insight into plan investment management, plan enrollments, and the fee structure of various retirement plan platforms. Dennis has a Series 6 and Series 66. He lives in Houston with his wife and three children.

 
Nicole Ventura Director of Operations

 

Nicole joined Legacy in 2013 and has worked in the financial industry since 2008. She began as a Branch Office Administrator and within six months escalated to the role of Financial Advisor at Edward Jones. Her experience there, as well as previously working in management in the hospitality industry, makes her the ideal person to effectively manage the day-to-day operational functions at Legacy. Nicole brings with her an in depth knowledge of management, financial products, and the importance of client service. Nicole earned two Bachelor degrees, double-majoring in Psychology and Criminal Justice at the University of Nevada, Reno. She held her Series 7 and Series 66 securities license.  

Cristina L. Steele Registered ParaPlanner®

 

As a Registered Paraplanner®, Cristina has been helping financial planning clients for over 15 years. She is an integral member of our financial planning team where we provide clients with a comprehensive financial planning analysis as well as review of net worth, cash flow, retirement goals, estate planning, asset allocation, risk management, and education funding. Her greatest asset is being able to integrate her knowledge with her genuine desire to help our clients achieve their economic potential.

Cristina earned her RP® designation from the College of Financial Planning in 2002. She received the Uniform State Securities Law license, the Series 63 in 2003, and the Life Insurance, Accident and Health Insurance licenses on 2013, becoming a Producer on the same year. Prior to her employment at Legacy, she was a director of compliance for an independent brokerage firm in Massachusetts. On October 2008, she was featured in the issue of Rep. magazine for her work with compliance: http://www.wealthmanagement.com/research/compliance-monkey. Cristina enjoys assisting lectures at Rice University and she continues to take courses to improve her skills. She is involved in our community as a Sunday School teacher at her church and she volunteers with the Hope for Our Sisters, Inc.

 
Christi B. Retirement Plan Specialist

 

As Legacy’s Retirement Plan Specialist, Christi utilizes her client service background to assist the firm’s retirement plan sponsors and their employees with a variety of needs. Christi works closely with Legacy’s Advisors to ensure all plans operate to their top potential. She is passionate about helping others realize the importance of saving for retirement by participating in their company’s retirement plan.

Christi is currently studying to become credentialed as a Qualified 401(k) Administrator (QKA), which will enhance her knowledge of plan recordkeeping, IRS testing, and many other critical administrative aspects of the 401(k) industry. She has lived in the Houston area for almost thirty years and is very familiar with many of the companies she now proudly services. Christi has a passion for art history, all types of music, and she loves spending time with her family.