James Rawlings CFP® AIF
Founder OakBridge Asset Management, LLC
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James B. Rawlings, CFP© earned his bachelor’s degree with an emphasis in financial planning in 1981 from BYU, one of only two universities at the time nationally offering this specialty program. He received the CFP© designation in 1984 while the newly created financial planning industry was still very much in its infancy. In 1988 Mr. Rawlings was selected by the IBCFP (International Board of Certified Financial Planners) to participate in an eight-person committee providing feedback to help rewrite the code of ethics for the CFP© board of standards.
Developing and presenting numerous and varied comprehensive financial plans to both individuals and corporations has tremendously shaped his technical and consultative expertise. He is a frequent speaker often presenting to industry and client groups such as focus groups, registered representatives, corporations, chambers of commerce, CLE and CPE, and the insurance industry.
In 1988 he initially created a branch office for Cadaret, Grant & Assoc. Member FINRA/SIPC, which later grew into the 6th largest producing branch office nationally.
Starting in 1996 and for the next 12 years he was the Managing Executive and branch office manager for Royal Alliance Assoc. Inc. Member FINRA/SIPC. Royal Alliance is a cutting edge, industry leading independent broker-dealer. As Managing Executive, Mr. Rawlings supervised the OSJ branch (Office of Supervisory Jurisdiction) including supervising seven Utah satellite branch offices. In April 2016 James resumed responsibilities as Managing Executive and Branch Office Manager for Royal Alliance Assoc. Inc. Member FINRA/SIPC.
While associated with Royal Alliance he has received several recognitions and honors including the prestigious “Royal Council” award for seven consecutive years. He also served on Royal Alliance’s Regional Advisory Panel for 8 years including two years as Chairman.
During his 35+ year career, asset management and the financial planning industry has been his passion. He currently holds eight different licenses and designations. This passion also carries over to his clients as he works closely with them in all aspects of their financial lives.
Mike entered the financial industry working for Fidelity Investments Institutional Operations Corporation, Inc in 2006. There he specialized in servicing employer sponsored plans for tax exempt entities. Mike was taught asset allocation, and long-term investment strategy and how these key factors affect retirement planning. In servicing the varied accounts he was also able to see the unique differences that can occur from one employers’ plan to another.
Mike completed his bachelors degree in 2010. His emphasis was business/finance where he learned practical application of corporate cash flows, pro-forma and a lot of statistics to name a few. He has been able to encorporate these skillsets in many different aspects of his on the job responsibilities.
Although Mike has his BA in Business/Finance he is far from being finished in his studies. Mike is committed to being a student of the financial industry and continues to push himself to learn. Currently he is enrolled in classes to attain his Certified Financial Planner® (CFP®) designation. Later he will go on to gain his Chartered Financial Analyst® (CFA®) designation. His additional knowledge will aid him in managing his clients’ accounts and creating meaningful, personalized financial plans.
In 2008 Mike began working in the internet marketing arena. His knack for looking at large sets of data and identifying strategic opportunities helped him to accomplish major achievements. Among these achievements included growing a pay per click revenue stream by 300%, taking over the number 1 spot in google search results for extremely competitive terms, and creating a network of 1000+ bloggers that they could rely on for product reviews/news. The driving force for for these accomplishments was Mike’s unique ability to sift through large datasets to identify where opportunities were. These skillsets have also proven useful in assembling portfolios and asset allocation data models.
Mike reentered the financial services industry in 2016, and currently holds his Series 7 and Series 66 licenses. He and his father James are now working together to build the branch office as well as broaden their clientele. He has the fortunate opportunity to be mentored in the industry by his father. His marketing background has been a good compliment to James’ 35+ years financial industry experience.
Mike has a wife and three children ranging from 8 to 2 years old. Their passion is being outdoors and being active including riding bikes, camping and playing in the water.
VP Marketing Resources
Financial Advisor Representative
Sam began as a Para Planner in 2008 and gained valuable experience working closely with Owen S. Tucker and James B. Rawlings. Through the mentorship of these industry veterans, Sam was able to gain valuable experience developing comprehensive financial plans, analyzing investment portfolios and constructing estate plans for clients. Sam’s desire to focus on the individual needs of each client he serves has given him skills that have proved invaluable as a financial planner. Sam graduated from the University of Utah with a Bachelor of Science in Consumer and Community Studies, with a Certified Financial Planner™ (CFP®) emphasis.
Sam has a passion for continuing education, tirelessly seeking to expand his knowledge base hunting for new information and insights to build on his robust understanding of economic systems, trends and opportunities. His broad insight into the various aspects of financial planning give him the tools necessary for comprehensive financial plans, tax planning, estate planning, retirement income planning and estate transfer plans. He believes that through careful planning, risk management, and sound execution, that his clients can achieve goals and pass along a financial foundation that will lead to multi-generational wealth and success for the families that he serves.
Sam enjoys spending time outdoors with his wife, two daughters and one son. He is an avid photographer and when he is not reading investment prospectuses he likes to be hiking, biking or fishing
As a retirement planning specialist Jodi helps her client plan for, enter into and enjoy retirement. This is accomplished by creating a plan, managing resources, and implementing strategies to keep you on track with your goals. Specifically; resources and strategies Jodi helps with include; investment management, tax and social security strategies, and insurance planning and protection.
A combination of skills, education and life experience gives Jodi a unique perspective and finesse when working with her clients. Jodi’s 25 years in financial services, combined with her entrepreneurial and tax preparation experience, complements her advanced education. Described a lifetime student, Jodi continues her education on monthly basis. Her life experiences, includes extended caregiving for her mother and grandmother, and being happily married to a retiree, both of which afford her experiential knowledge that enhances her planning practice.
Jodi describes that as a retiree, “learning to spend money in retirement after a lifetime of saving can be surprisingly difficult”. She explains that this change in mindset can be an adjustment, but having a solid financial plan can eliminate the fear and anxiety that can accompany this change.
Although Jodi works with a wide range of clients, she specializes in retirement income and distribution strategies, which includes areas such as social security, long term care, tax strategies and turning your business into retirement income.
She is a frequent presenter in the Utah community speaking to a variety of organizations, at community events, and at local colleges, and currently serves on the Board of the National Association for Women Business Owners (NAWBO) Salt Lake Chapter, and co-founded the Business Networking International (BNI) chapter, Abundant Business.