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.

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Helping Create Successful Outcomes Through Market Cycles

wealth Team

Dr. Sherry Hu, Founder and President, A Visionary in Wealth Management

Meet Dr. Sherry Hu, the driving force behind Peace of Mind Finance, as she leads with passion and expertise in the world of financial planning. Sherry serves as the President and Founder of Peace of Mind Finance, where she and her accomplished team are committed to assisting clients in accumulating and safeguarding wealth through meticulously devised strategies. Their goal is to bestow upon clients the ultimate peace of mind in their financial endeavors, ensuring that wealth endures not only through retirement but also for generations to come.

Sherry holds the prestigious Certified Financial Planner (CFP™) designation, demonstrating her profound knowledge and dedication to the field. She is also a licensed Life and Health Insurance professional, adding another layer of expertise to her impressive repertoire. Her academic background is equally impressive, boasting a Ph.D. degree from the University of Nebraska Lincoln, an MS degree from Tianjin University, and a BS degree from Hunan University in China.

With a wealth of experience in wealth management, tax optimization, college financing, retirement planning, and estate management, Sherry and her team have honed their skills to provide top-tier financial guidance. Their unwavering commitment to client success is reflected in the results they achieve.

Beyond her professional accolades, Sherry is a celebrated author, earning recognition for her outstanding contributions to the field. Her book, “Achieve Peace of Mind in Your Finances,” garnered the coveted Amazon #1 New Release – Introduction to Investing in 2011. This achievement attests to her prowess as a thought leader and educator in financial matters.

In addition to her professional endeavors, Sherry wears the hats of a devoted mother to two college-age children and a passionate advocate for public service and community engagement. She holds the esteemed position of an elected City Councilmember in Dublin, California, demonstrating her commitment to civic duty. Sherry is also a co-founder of a non-profit organization, further exemplifying her dedication to giving back to the community.

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.

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