Our team is our capital. The advice and counsel the team provides to clients is the gain on the capital. This gain is realized and owned by our clients. This is the way we think, process, analyze and react. It is our DNA.
The principals within John D. Dovich & Associates, LLC are all driven by one desire – how can we help our clients? As business owners ourselves, we understand making payroll, paying for health insurance and the demands of day-to-day aspects of running a business. As spouses, parents and supporters of the community, we also understand how financial decision-making affects our future legacy to those most important to us. Skill set, expertise and knowledge are important. So, too, is common sense. To be a part of our team, you must have all of those attributes. Because it is those attributes that create the gain our clients experience.
John Dovich, CLU, ChFC
President LinkedIn Profile
John founded John D. Dovich & Associates, LLC, a SEC Registered Investment Advisory Firm, in 1987 with a vision of providing a broad range of comprehensive financial, investment, estate planning and wealth management services to affluent families, professionals, and business owners. John focuses on helping the firm’s clientele achieve their goals through individualized client solutions.
John is a graduate of Xavier University, Class of 1987. He holds the professional designations of Chartered Life Underwriter (CLU) and Chartered Financial Consultant (ChFC). John is a member of the Financial Planning Association (FPA) and is a Registered Representative of Lion Street Financial, LLC.
Active in his community, and a big proponent of “giving back” to his city, John is currently a board member of the Cincinnati Eye Institute Foundation, the Center for Holocaust and Humanity Education, and the Cincinnati Chapter of The Salvation Army. John is a very active member of the Cincinnati Chapter of the Entrepreneur’s Organization (EO) and is a former board member. John is also a member of the President’s Advisory Council of Xavier University, the Association for Corporate Growth (ACG), and the Cincinnati Estate Planning Council (CEPC), also serving as a past board member for all of these organizations. John is a current member of the United Way’s Tocqueville Society and the Goering Center for Family & Private Business at the University of Cincinnati. John also belongs to the Society of Financial Services Professionals (SFSP) and previously served as a board member and president.
John’s past associations include the Cincinnati Children’s Hospital Medical Center as a Business Committee member, the Greater Cincinnati Coalition for the Homeless where he served on the Finance Committee and the Northern Kentucky Chamber of Commerce Board of Advisors.
John is an avid tennis fan and can frequently be found on many tennis courts around the city. John resides in Hyde Park.
Tom Lalley, CFA, CFP®, MBA
Principal LinkedIn Profile
Tom, an Investment Advisor Representative, who joined John D. Dovich & Associates, LLC in 2000 is a partner in the firm. One of Tom’s many responsibilities include developing wealth strategies for the firm’s clients in addition to assisting them with their investment decisions. Tom monitors client portfolios, tracks performance, and renders investment recommendations. He helps individuals define and achieve their estate and financial objectives.
Tom graduated from Northern Kentucky University in 1992 with a Bachelors of Science Degree in Accounting with a Minor in Finance. He obtained his general securities license in 1993 and earned his Master’s in Business Administration with honors from Xavier University in 1999. Tom earned the Certified Financial Planner (CFP) designation in 2002 and also completed the rigorous Chartered Financial Analyst (CFA) program. Tom is a member of the Financial Planning Association (FPA), the CFA Society of Cincinnati, the Estate Planning Council and the Entrepreneur’s Organization of Cincinnati.
A lifelong resident of the Bluegrass State, Tom is an avid family man and the father of two young children. He and his family live in Northern Kentucky.
Principal LinkedIn Profile
Bill, an Investment Advisor Representative, is also a partner and principal with John D. Dovich & Associates, LLC. Bill joined the firm in 2010 and is responsible for the development of wealth strategies and strategic financial plans for the firm’s clients. Bill assists clients with their investment decisions, monitors client portfolios, tracks performance, renders investment recommendations and helps individuals define and achieve their estate and financial objectives.
A graduate of the University of Dayton with a double major in Finance and Marketing and a double minor in French and German, Bill has been active in the investment industry since 1997.
Bill holds many licenses to include the Series 7 – General Securities Representative, Series 24 – General Securities Principal, Series 53 – Municipal Securities Principal, Series 66 – Uniform Combined State Law Examination and Series 63 – Uniform Securities Agent State Law Examination licenses. Bill is also a member of the CFA Institute and the CFA Society of Cincinnati.
A familiar face at all the venues of his children’s sports activities, Bill resides in Warren County with his wife and children.
Dean Johns, CPA, CFP®, MBT
Principal LinkedIn Profile
Dean is a principal of the firm and an Investment Advisor Representative with John D. Dovich & Associates, LLC. Dean is responsible for creating wealth strategies and financial plans for the firm’s clients as well as developing new client relationships and building our network of centers of influence. Building relationships and providing exemplary client service are some of Dean’s key strengths.
Dean graduated summa cum laude with a Bachelor of Science Degree in Accounting from Minnesota State University in 1991. He received his Master’s Degree in Business Taxation from the University of Minnesota in 1999. Dean is a licensed Certified Public Accountant (CPA) having received the Elijah Watts Sells award for the November 1991 exam (top 100 in the country). Dean also received his CFP certification in 2013.
Dean has 20 years experience in public accounting with two international accounting firms. He has ten years of experience in tax client service, working with high net worth individuals and both private and public companies, and has ten more years in practice management and operations roles. Before joining our firm, he was the Executive Director of Partner Matters for Grant Thornton LLP, serving as the trusted advisor for more than 500 partners and their personal financial interests of the firm.
Dean and his wife live with their two children in Clermont County. When he’s not at home or work, Dean and his wife are at their children’s sporting events. An avid sports fan himself, you’ll often find Dean at a Reds game.
Shawn Fishbaugh, CFA
Chief Investment Officer LinkedIn Profile
As Chief Investment Officer, Shawn is chairman of our firm’s Investment Committee and is responsible for coordinating the firm’s investment strategies with the team of principals. Shawn collaborates with the team to understand client investment objectives and goals to assist in structuring investment plans that meet those needs.
Shawn joined our firm in 2013 with a robust history of experience at several area wealth management companies, working in roles such as senior investment advisor, senior portfolio manager, research analyst and portfolio manager. Shawn earned his Bachelor of Business Administration in Finance from the University of Cincinnati in 1986 and received his CFA designation in 1990. Shawn is a member of the CFA Institute and the CFA Society of Cincinnati.
Shawn is a past chairman of the Board of Trustees of the St. Joseph Home and Treasurer of Churches Active in Northside (CAIN), a food pantry serving the Northside community. Shawn and his wife are proud parents of two grown children (an architect and a social worker) who live in distant cities. Shawn and his wife, and several fur-kids make their home in the eastern area of Hamilton County.
Principal LinkedIn Profile
Jim joined our firm in the latter part of 2016 as a principal and is an Investment Advisor Representative. Jim is responsible for creating wealth strategies for the firm’s clients. Jim works with clients and helps them to establish, implement and monitor financial plans.
Jim brings more than 28 years of experience as a private wealth advisor for UBS Gradison Financial Services to John D. Dovich & Associates, LLC.
Jim, a native of Cincinnati, holds a Bachelor of Science in Finance degree from the University of Cincinnati. Jim has a robust history of working with community service organizations and is a current member of the Board of Trustees for Cedar Village Retirement Community. Through his community service work, Jim has also worked with the Children’s Theatre of Cincinnati, the Most Valuable Kids of Cincinnati and the Music Resource Center as a board member.
Jim lives in Cincinnati with his family.
Chris Brennan, CFP®
Principal LinkedIn Profile
Chris joined our firm in 2016 as a principal and is an Investment Advisor Representative. Chris is responsible for creating wealth strategies for the firm’s clients. He works with clients and helps them to establish, implement and monitor financial plans. Chris is also responsible for the oversight and management of client assets.
Chris, a native of Chicago, is a graduate of the Miami University of Oxford with a Bachelor’s Degree in Finance. He earned his CFP certification in 2010.
Prior to joining the firm, Chris had 9 years of service as a vice president with Wintrust Wealth Management in Chicago. He has experience working with individuals and families and specializes in investment management, asset allocation, and financial planning.
As a recent transplant from Chicago, Chris chose a neighborhood very close to the downtown Cincinnati area when he and his wife recently purchased their home and lives there with their two young children.
Matthew Swendiman, CFA
Chief Compliance Officer LinkedIn Profile
Matt is Managing Director of Graydon Compliance Solutions, LLC, which provides compliance services to Registered Investment Advisers. Prior to joining Graydon, Matt served in several capacities for Fifth Third Bank, including Secretary and Chief Legal Officer for the Fifth Third Funds and Fifth Third Asset Management, Inc. Matt has also been Secretary and Chief Legal Officer for the Phoenix (now Virtus) Funds, and was an associate with K&L Gates LLP in Washington, D.C.
Matt earned his J.D. in 2000 from The Ohio State University Moritz College of Law, and he is a 2006 graduate of the University of Connecticut College of Law, where he earned an LL.M. in insurance law. He earned a B.A. in Political Science from The Ohio State University in 1996, and also attended Oxford University’s Summer Law Program in Oxford, England.
Matt is a Chartered Financial Analyst (CFA) charterholder, and has previously earned the Chartered Financial Consultant (ChFC) and Chartered Life Underwriter (CLU) designations. Matt is licensed to practice law in the District of Columbia and the State of Indiana. When not at Graydon, Matt also serves as an adjunct professor of business law at Xavier University, and is active with St. Elizabeth Healthcare (including the St. Elizabeth Foundation) in Edgewood, KY. He is a member of the American and Cincinnati Bar Associations, as well as the CFA Institute. Matt and his wife and family live in Northern Kentucky.
Board of Advisors
J. Bloomstrom, J. Dovich, H. Addison and N. O’Connor.
Harry’s insurance experience ranges from insurance company underwriting, to agency principal, to Senior Vice President at a national insurance brokerage firm. Risk management, including self-insurance, captive insurance companies, and loss sensitive insurance programs are all a specialty. He is an experienced manager of several risk management programs for New York Stock Exchange companies.
Outside the insurance industry he served the University of Cincinnati as a member of the College of Business Advisory Council, president of the Alumni Association, and the alumni representative to the University of Cincinnati Board of Trustees. In addition to serving on the advisory board of John D. Dovich & Associates, LLC, Harry is serving the City of Cincinnati as member/past chairman of the Park Board’s Waterfront Advisory Council, and the American Red Cross as chairman of planning for a national convention.
John Bloomstrom is 30-year veteran marketer and communicator, with diverse client and agency experience. Prior to forming his consultancy, he was Executive Vice President at Northlich, one of the largest independent branding and communication agencies in North America. During his two decades there, he launched its Word of Mouth Marketing practice and helped expand Brandstorm, its brand optimization and innovation consultancy, working with Fortune 500 clients like Procter & Gamble, Scotts Miracle Gro, Coca Cola, Pizza Hut, StarKist, Kimberly Clark and Speedo. Before joining Northlich, John held senior marketing roles at Huffy Bicycles and Mead Corporation.
He has been a featured speaker at The Goering Center at the University of Cincinnati, Brand Masters, AMA, WOMMA and regional Ad Club conferences, and guest lecturer to marketing and advertising classes at The Ohio State University, Miami University, University of Cincinnati, University of Dayton and Wright State University.
John is a graduate of The Ohio State University, where he earned a BS in Business Administration and a MBA. He currently serves on the boards of: Hunter Consulting, John D. Dovich & Associates, LLC, TOMAK Precision, St. Xavier High School and Maple Knoll Communities.
Neil J. O’Connor, CFE, CPA
Neil J. O’Connor, CFE, CPA, retired Chairman and President of Clark, Schaefer, Hackett & Co. worked for Clark, Schaefer, Hackett & Co for over 41 years. He was Partner-in-Charge of the Cincinnati office from 1974-1998, playing a major role in shaping the largest office in the State of Ohio within the firm and a member of the firm’s Executive Committee for 32 years.
His specialty areas include being responsible for audit, accounting and tax service engagements for Clark, Schaefer, Hackett & Co. clients with primary activity in connection with fraud audits and litigation support. He has investigated, provided accounting support, and expert witness testimony for numerous cases. He headed up the accounting side of the Home State Saving and Loan collapse as an assistant special prosecutor to Larry Kane.
He also has a great number of Trustee/Board member affiliates, in addition to John D. Dovich & Associates, LLC, including: The Cincinnati Playhouse in the Park; Treasurer of Drug Poison & Information Center; Elder High School; Seton High School; St. Joseph Home; Franciscan Hospitals; Treasurer of Legatus; Friendly Sons of St. Patrick Foundation; Mercy Health Partners of Southwest Ohio; Order of Malta and The Health Foundation of Greater Cincinnati.
A graduate of Xavier University, Neil earned his B.S. Business Administration (Accounting Major) in 1964 and his MBA (Management) in 1966. He has served as an instructor for three years in accounting at Xavier University and Northern Kentucky University, along with instructing in the Ohio Society of CPA’s Continuing Education Programs.