Happy July, Advisors!

Welcome back to Advisor Spotlight — we're excited to relaunch the series after a brief hiatus.

Each month, we'll feature interviews with leading financial advisors, sharing their stories, perspectives, and the key decisions that have shaped their careers and success.

Interested in being featured? Click this link to share your story and be considered for an upcoming Advisor Spotlight. We’d love to hear from you.

These spotlights will be published alongside our weekly newsletter. As always, if you have feedback or topics you’d like to see covered, simply reply to this email.

Please note that published interviews are edited for brevity and clarity.

ADVISOR SPOTLIGHT

Jason Lund, Lund Financial Management

What’s your firm’s AUM?

$62 million.

Can you provide a brief overview of your background and experience in financial advising? 

I have been an advisor for 35 years, with the last five years specializing in Sec 453 tax deferral. I began my financial services career with Prudential in November 1990 and became a fully independent advisor in 1994.

What inspired you to become a financial advisor, and what do you enjoy most about your profession? 

I enjoy serving, helping others, and providing solutions that makes an impact for generations. For many individuals, retirement accounts represent a significant deferred tax obligation to the IRS. By simply taking simple administrative steps, you can turn what is a tax infested asset — whether it is your IRA, 401k, 403b, or another government sponsored retirement plan — into a legacy of wealth and income to you and your family for generations to come.

What are your views around being on your own or via wirehouse?  

I would consider it. 

What is your approach to financial planning and investment management? 

My approach is taking care of the client and always having their best interest every day.

My guiding beliefs is: “You cannot ever learn when you are talking, only when you listen.” Early in my career, I recognized that taxation can be one of the greatest threats to long-term wealth and income. By listening and putting the client first, I’ve been fortunate to work with many of them for the past 30+ years.

How do you tailor your services to meet the specific needs and goals of your clients? 

Every client has a unique vision for their wealth, so I start by understanding what they want their money to accomplish. From there, I develop strategies aligned with their goals while incorporating thoughtful tax planning to help maximize opportunities and address potential challenges along the way.

Can you share a success story or case study where you helped a client achieve their financial goals?  

A memorable success story involved assisting a client with the sale of a $10 million business. Through proactive planning and a strong focus on tax efficiency, we helped save more than $3 million in taxes. Most importantly, the strategy provided the successful exit and financial flexibility the client had worked years to achieve.

*Interview continues: Read the rest below

BENZINGA NEWSLETTER SPOTLIGHT

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How do you stay current with changes and developments in the financial industry? 

The financial industry is constantly evolving, so I make sure I’m up-to-date on everything. I do this through industry forums, seminars, professional development programs, and constantly reading. This helps me stay informed on the latest trends, regulations, and planning opportunities that may benefit my clients.

What are some common misconceptions people have about financial planning, and how do you address them? 

Most believe that financial planning is about the money, when it is about the risk to future lifestyle and comfort. Money is important, but it is simply the exchange medium for lifestyle and peace of mind. By educating on this and providing both knowledge and means to avoid or reduce lifetime taxation, I am able to show clients how to avoid the cultural lies regarding financial planning and to take advantage of the tax code in a manner that is beneficial to their lives and net worth.

What are your thoughts on the current economic climate and its implications for investors? 

I believe we are currently on the cusp of volatility, yet it will likely lead to a new reset regarding sector investing and create a new set of tech and infrastructure giants. The key is to get in advance of this opportunity.

What advice would you give to someone who is just starting to plan for their financial future?  

Be sure to involve an advisor that can show you how to manage tax costs and investment risks from the first day of your journey.

How do you incorporate tax planning into your financial strategies?  

By maintaining a solid knowledge of tax cause and effect on a very effective level. Planning for tax cost on divestment the day you acquire an asset is the best hedge against the loss of capital to recapture or gains.

Can you discuss any specialized areas of expertise or niche markets you focus on? 

Sec 453 deferred sales. We work in a capital market of 10-100 million potential business and/or property sales. We provide the IP and processes to sell with no current tax and maintain this shelter for life and beyond.

How do you prioritize ethical considerations and align investments with clients' values? 

We educate. We do not sell. We are fiduciaries and involve ourselves with the clients tax and legal team to ensure only best interests are involved. The clients values are paramount regarding our processes and applications.

What sets you apart from other financial advisors, and why should someone choose to work with you? 

I am tactically involved and have a different process. A very different process. I am aware that personality is the primary driver of choosing and keeping a financial advisor. My interview process provides a solid determination of whether or not I can onboard a potential client. This process, refined over 35 years, has allowed me to maintain client relationships for decades. Half my clients are tenured 10 years or more. 1/4 are 20 years or more. My knowledge of taxation, investment risk and having a truly national professional network, provide results. Not returns, results.

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