Category: finance



# **Form ADV Part 2B – Brochure Supplement** 

## **for** 

# **Christopher K. Johnson, CRPC[®] , CLTC[®] , CEP[®] , AAMS[®] , AWMA[®] Chief Executive Officer, Chief Compliance Officer** 

**Effective: March 29, 2021** 

This Form ADV 2B (“Brochure Supplement”) provides information about the background and qualifications of Christopher K. Johnson (CRD# 4580586) in addition to the information contained in the Collaborative Financial Partners LLC (“Collaborative Financial” or the “Advisor”, CRD# 289444) Disclosure Brochure. If you have not received a copy of the Disclosure Brochure or if you have any questions about the content of the Collaborative Financial Disclosure Brochure or this Brochure Supplement, please contact the Advisor at (614) 799-2900. 

Additional information about Mr. Johnson is available on the SEC’s Investment Adviser Public Disclosure website at www.adviserinfo.sec.gov by searching with his full name or his Individual CRD# 4580586. 

## **Item 2 – Educational Background and Business Experience** 

Christopher K. Johnson, CRPC®, CLTC®, CEP®, AAMS®, AWMA® born in 1977, is dedicated to advising Clients of Collaborative Financial as its Chief Executive Officer. Mr. Johnson earned a Bachelor of Arts in Business Administration and Marketing, with a minor in Interpersonal Communication from Ohio University in 2000. Additional information regarding Mr. Johnson’s employment history is included below. 

## **Employment History:** 

|**Employment History:**||
|---|---|
|Chief Executive Officer, Collaborative Financial Partners LLC|09/2017 to Present|
|Private Wealth Advisor, Ameriprise Financial Services, Inc.|04/2006 to 09/2017|



## Chartered Retirement Planning Counselor (“CRPC[®] ”) 

Individuals who hold the CRPC[®] designation have completed a course of study encompassing pre-and postretirement needs, asset management, estate planning and the entire retirement planning process using models and techniques from real client situations. Additionally, individuals must pass an end-of-course examination that tests their ability to synthesize complex concepts and apply theoretical concepts to real-life situations. All designees have agreed to adhere to Standards of Professional Conduct and are subject to a disciplinary process. Designees renew their designation every two-years by completing 16 hours of continuing education, reaffirming adherence to the Standards of Professional Conduct and complying with self-disclosure requirements. 

## Certified Long-Term Care (“CLTC[®] ”) 

The CLTC, Certified in Long-Term Care designation is a long-term care planning designation granted by the Corporation for Long-term Care Certification to individuals who satisfy educational, work experience and ethics requirements. Recipients of the CLTC have completed a rigorous multidisciplinary course and examination, that focuses on long-term care. To maintain this designation, the CLTC must satisfy continuing education requirements and adhere to the CLTC Code of Professional Responsibility. 

## Certified Estate Planner (“CEP[®] ”) 

This designation is issued by the National Institute of Certified Estate Planners and is granted to individuals who have completed classroom or online coursework, and then pass two examinations before obtaining this designation. Eight hours of continued education must be completed every two years. The designation means that the holder has a basic knowledge of estate planning. 

## Accredited Asset Management Specialist[SM] or AAMS[®] 

Individuals who hold the AAMS[®] designation have completed a course of study encompassing investments, insurance, tax, retirement, and estate planning issues. Additionally, individuals must pass an end-of-course examination that tests their ability to synthesize complex concepts and apply theoretical concepts to real-life situations. All designees have agreed to adhere to Standards of Professional Conduct and are subject to a disciplinary process. Designees renew their designation every two-years by completing 16 hours of continuing education, reaffirming adherence to the Standards of Professional Conduct and complying with self-disclosure requirements. 

## Accredited Wealth Management Advisor[SM] (“AWMA[®] ”) 

Individuals who hold the AWMA[®] designation have completed a course of study across eight modules to provide financial advice to high net worth clients, pass the final examination and complete the designation application. Continued use of the designation is subject to ongoing renewal requirements. Every two years individuals must renew their right to continue using the designation by: 

- Completing 16 hours of continuing education; 

- Reaffirming to abide by the Standards of Professional Conduct, Terms and Conditions, and self-disclose any criminal, civil, self-regulatory organization, or governmental agency inquiry, investigation, or proceeding relating to their professional or business conduct; and 

- Paying a biennial renewal fee 

AWMA[®] and Accredited Wealth Management Advisor[SM] are registered service marks of the College for Financial Planning. 

## **Item 3 – Disciplinary Information** 

_**There are no legal, civil or disciplinary events to disclose regarding Mr. Johnson.**_ Mr. Johnson has never been involved in any regulatory, civil or criminal action. There have been no client complaints, lawsuits, arbitration claims or administrative proceedings against Mr. Johnson. 

Securities laws require an advisor to disclose any instances where the advisor or its Advisory Persons have been found liable in a legal, regulatory, civil or arbitration matter that alleges violation of securities and other statutes; fraud; false statements or omissions; theft, embezzlement or wrongful taking of property; bribery, forgery, counterfeiting, or extortion; and/or dishonest, unfair or unethical practices. _**As previously noted, there are no legal, civil or disciplinary events to disclose regarding Mr. Johnson.**_ 

However, the Advisor encourages Clients to independently view the background of Mr. Johnson on the Investment Adviser Public Disclosure website at www.adviserinfo.sec.gov by searching with his full name or his Individual CRD# 4580586. 

## **Item 4 – Other Business Activities** 

## Mason Financial Solutions and Triple M 

Mr. Johnson is an owner of Mason Financial Solutions and Triple M, software technology firms that are utilized to maximize tax efficient distributions in retirement. Mr. Johnson is also an owner of Maderville, LLC, which primarily operates as a holding company. These activities take less than 10 hours of his time per month. 

## Insurance Agency Affiliations 

Mr. Johnson is also a licensed insurance professional conducting the majority of his business through Collaborative Insurance Partners (“Collaborative Insurance”), an insurance agency owned in part by Mr. Johnson. Implementations of insurance recommendations are separate and apart from Mr. Johnson’s advisory role with Collaborative Financial. Mr. Johnson will receive customary commissions and other related revenues from the various insurance companies whose products are sold, either directly as a licensed insurance professional or through Collaborative Insurance. Mr. Johnson is not required to offer the products of any particular insurance company. Commissions generated by insurance sales do not offset regular advisory fees. This practice presents a conflict of interest in recommending certain products of the insurance companies. Clients are under no obligation to implement any recommendations made by Mr. Johnson, Collaborative Insurance, or the Advisor. 

## Junior Achievement of Central Ohio 

Mr. Johnson serves as a volunteer for Junior Achievement of Central Ohio. Additionally, he is on both the Board and Executive Board and serves as the Co-Chair of the Development Committee. In this capacity, he attends Semi-Monthly Board Meetings, Semi-Monthly Executive Committee Meetings and Semi-Monthly Development Committee Meetings. As part of his development role he works with businesses in the community to cultivate relationships that provide either, or both, Funding and Volunteers to Junior Achievement of Central Ohio. He spends approximately 15 hours a month in this capacity and receives no compensation. 

## Ohio University College of Business 

Mr. Johnson serves on the Ohio University College of Business Marketing Advisory Board. He attends SemiAnnual Meetings and receives no compensation. 

## **Item 5 – Additional Compensation** 

Mr. Johnson has additional business activities where compensation is received that are detailed in Item 4 above. 

## **Item 6 – Supervision** 

Mr. Johnson Serves as the Chief Executive Officer and Chief Compliance Officer of Collaborative Financial. Mr. Johnson can be reached at (614) 799-2900. 

Collaborative Financial has implemented a Code of Ethics, an internal compliance document that guides each Supervised Person in meeting their fiduciary obligations to Clients of Collaborative Financial. Further, Collaborative Financial is subject to regulatory oversight by various agencies. These agencies require registration by Collaborative Financial and its Supervised Persons. As a registered entity, Collaborative Financial is subject to examinations by regulators, which may be announced or unannounced. Collaborative Financial is required to periodically update the information provided to these agencies and to provide various reports regarding the business activities and assets of the Advisor. 



Question: What is Christopher K. Johnson’s Individual CRD number, when was he born, and what degree did he earn from Ohio University?
Answer: His Individual CRD number is 4580586. He was born in 1977 and earned a Bachelor of Arts in Business Administration and Marketing, with a minor in Interpersonal Communication, from Ohio University in 2000.