Partnervest Financial Group

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "Partnervest Financial Group"

Transcription

1 Partnervest Financial Group COMPANY PROFILE We help Advisors and their clients navigate change in a complex environment

2 COMPANY PROFILE Partnervest creates strong client relationships built on trust. headquartered in Santa Barbara, California is independently owned and operated by its founders. Partnervest was created in 2001 to provide business solutions and mentoring for financial advisors to serve the needs of their clients better. Through Financial Professionals, we offer an alternative to Investing as Usual. We believe investors can benefit from the rigor and sophistication that typically characterize Institutional Portfolio Management without the conflicts of interest. Our goals and those of our clients are one in the same. We understand the challenges and responsibilities that come with growing and protecting a client s wealth. Today, Partnervest is a proven well diversified firm with solid operating platforms. Partnervest believes their Investment Management expertise offer advisors and their clients a viable alternative to larger institutions by delivering superior service and complete transparency on a personal level. Partnervest s comprehensive approach coupled with a high-touch service model has produced loyal advisors and very satisfied clients. Partnervest is proud of their flawless reputation. The principals of the firm believe the opportunity to deliver sound proven strategies has never been better. is powered by creative thinking, entrepreneurial spirit, and commitment to our mutual success. They honor the true definition of the word Partner.

3 PRODUCT & SERVICES OVERVIEW STAR INVESTMENT PHILOSOPHY & METHODOLOGY Partnervest Advisory Services manages investments using a rigorous, disciplined approach that emphasizes consistency of returns rather than attempting to beat a given benchmark in a given quarter. We believe that while markets are generally efficient, by structuring a targeted outcome we are more likely to achieve our goals. We are Flexible, Independent and Unbiased in our manager and strategy selection process. With less than 5% of money managers utilizing options we are part of a select group of managers that use options to protect, diversify and repair portfolios. We adhere to disciplined portfolio construction based on the specific needs of each client. Existing client holdings can be either incorporated or transitioned into each model or strategy with an emphasis on tax efficient management when applicable.

4 PRODUCT & SERVICES OVERVIEW STAR Investment Management Platform STAR I Advisor Managed Portfolios STAR II Proprietary Asset Allocation Strategy STAR III Structured Target Returns Portfolio Management Services Performance Reporting Billing Strategic & Tactical Portfolios Emphasis on Risk- Adjusted Returns Quantitative Modeling Process Alpha utilizes three non-correlated ETF s, S&P 500, Gold and Treasury Bonds to offer protection of principal across all market cycles Tactical Satellite Investments Market Neutral Global Macro Aggressive Income Specialty Bonds Vega utilizes a global diversified ETF portfolio with an overwriting income strategy

5 PRODUCT & SERVICES OVERVIEW Partnervest Division of Sorrento Pacific Financial Services member FINRA/SIPC is a full service broker-dealer that provides a complete paperless work flow and account management system for independent advisors and their clients In this day of "too much information" and "not enough value" Partnervest works to guide and support advisors to make appropriate decisions as they relate to the needs of their clients. Our back-office professionals have extensive experience and understand what it means to "serve" and provide service. This gives Partnervest a unique advantage in the ability to understand, design, and offer comprehensive integrated financial solutions, products, systems, and procedures with advisors and their clients in mind. Partnervest Insurance Services, LLC is full service insurance agency. Providing advisors and their clients with comprehensive insurance and estate planning solutions for business owners, families, charitable giving and long term care. Our advisors work side by side with a team of in-house advanced-advice planning specialists who are in the field with up-to-date planning ideas, representing the top rated insurance carriers in the country.

6 FIRM OVERVIEW EXECUTIVE MANAGEMENT Kenneth R. Hyman President and Chief Executive Officer Kenneth R. Hyman, founder and visionary of Partnervest Financial Group, is responsible for the direction and oversight of its business, financial, and operational affairs. Prior to establishing Partnervest, he was the Senior Executive and Financial Officer for Integral Securities, Inc. (Predecessor of Partnervest Securities Inc.) and Integral Securities Europe Ltd. the regulated entities of software developer Integral Development Corp. (IDC). He was also the President and Sole-Proprietor of Partnervest, a financial services consulting firm specializing in operations, e-commerce, financial operations, compliance and regulatory issues, product and service development, and business strategies. Prior to Partnervest and Integral, Mr. Hyman was the Managing Principal and Chief Operating Officer of Mercer Global Securities and the Director of Operations for Mercer Global Advisors, one of the nation's largest fee-only financial planning and investment management firms. He was also the Vice-President of Trading for Associated Financial Group, a financial services company providing support to more than 328 representatives in over 179 branch and satellite offices. Mr. Hyman received a Bachelor of Science Degree in Economics/ Business Administration from the University of Arizona in He served as a member ( ) and Chairman ( ) of FINRA District 2 Committee and a member of FINRA Advisory Council, an arbitrator for FINRA Dispute Resolution since 1991 and as panelist for FINRA Disciplinary proceedings. He is a member of the CEO Founders Leadership Group, Santa Barbara Executive Roundtable and Business Alliance, and Santa Barbara Business Leaders. He is licensed as an Investment Advisory Representative, a Financial Operations Principal, a General Securities Principal, a Municipal Securities Principal, an Options Principal, and a General Securities Representative.

7 FIRM OVERVIEW Timothy J. Mahota Chief Compliance Officer Timothy J. Mahota is responsible for compliance of Partnervest. He was General Counsel and Chief Compliance Officer for Integral Securities, Inc. (Predecessor of Partnervest Securities Inc.) and Integral Securities Europe Ltd., and currently serves as General Counsel to software developer Integral Development Corp. (IDC). Mr. Mahota provides comprehensive legal advice concerning contract, compliance, intellectual property, employment, corporate governance, ERISA, and sales and marketing issues. Prior to joining Integral and Partnervest, he was General Counsel and Chief Compliance Officer for Mercer Global Advisors and Mercer Global Securities, one of the nations largest fee-only financial planning and investment management firms, and he was an Enforcement Attorney with the U.S. Securities and Exchange Commission. Mr. Mahota holds a bachelors degree in economics and philosophy from John Carroll University, earned his Juris Doctor from Ohio State University College of Law, and obtained a Masters of Law from Georgetown University specializing in investment regulation. He is a member of the bar in California, Ohio and the District of Columbia, chairman of the National ERISA subcommittee for the American Corporate Counsel Association, and serves on the ERISA Advisory Council to the U.S. Department of Labor. He is licensed as a General Securities Principal, a Municipal Securities Principal, an Options Principal, and a General Securities Representative. Marcy Burton Chief Sales & Marketing Officer Marcy Burton is responsible for all Sales, Marketing, and Business Development activities of and its affiliated companies. Marcy is a recognized expert in new product development, marketing and distribution strategies through the independent financial planner channel. She has over twenty five years of executive experience building and managing effective teams with growing companies. In 2008 she was recognized as one of the top 50 Women in Business by the Pacific Coast Business Times. She serves on the board of the Financial Planning Association of Southern California. A graduate from University of Texas, with a Masters in Business and Organizational. Psychology, she began her career at Merrill Lynch and has served as Director of Sales and Sr. Regional Vice President for Axa Financial, LLC, Fred Alger Management, Van Eck Global Inc. and Cigna Financial Services.

8 FIRM OVERVIEW Jim Herrell, CFA Director of Investments Jim has extensive experience in managing investment portfolios across a diverse universe of styles. He was most recently a partner at Santa Barbara Quantitative Strategies where he developed and managed non-correlated hedge fund strategies. Prior to that he was a Portfolio Manager at Pacific Capital Bancorp (Santa Barbara Bank & Trust), managing over $250 million in trust assets specializing in value asset classes, and was the co-founding partner of Strome Investment Management a $1 billion Global- Macro Hedge Fund Group. Jim is a graduate of UC Santa Barbara and earned his Chartered Financial Analyst (CFA) designation in Gunnar Sundstrom Chief Financial Officer Gunnar Sundstrom is the Chief Financial Officer of Partnervest Financial Group and its affiliated companies. He is responsible for the day-to-day accounting and financial activities of the firm. He also provides direct support for the Business Operations and Compliance groups at Partnervest. Prior to joining Partnervest, he was Vice President Controller at Mentor Corporation, where he spearheaded efforts to develop sales & financial analysis systems and implement manufacturing control systems. Other prior experiences include positions of VP Operations & Controller at Gold Crest, Inc., Chief Financial Officer at The Plastic Surgery Company, a Senior Manager position at Ernst & Young and a Manager position Deloitte & Touche. Mr. Sundstrom graduated from Fairleigh Dickinson University with a BS and an MBA in Accounting.

9 FIRM OVERVIEW Carolyn S. Bishop, CFP Director of Financial Planning Carolyn S. Bishop is responsible for Advanced Advice and Financial Planning and Life Planning Programs of Partnervest Financial Group and its affiliated companies. Prior to joining Partnervest, Ms. Bishop was owner of Omni Financial Advisory Services, a fullservice, fee-based financial planning and consulting firm. With 20 years in the practice, her expertise includes portfolio development and design, retirement planning, insurance, estate planning, cash management, charitable trusts and foundations, business continuation, fringe benefits and income tax planning. Ms. Bishop has served as an advisor for the USA Today Personal Finance Hotline, speaker for local and national organizations and is former president of the Ventura County chapter of the Financial Planning Association. She has also served on the Board of Directors of two international non-profit organizations and currently is on the Board of Directors of the New West Symphony of Ventura County, CA. As a top ranked international basketball referee, Ms. Bishop has officiated the United States Olympic try-outs and the World University Games in Japan and Croatia. She has also lectured on sportsmanship and ethics for the National Collegiate Athletic Association at Pepperdine University. Ms. Bishop has earned undergraduate and master degrees from Michigan State University and achieved the Certified Financial Planner designation. She is licensed as a life and health insurance agent, General Securities Representative and Uniform Investment Advisor.

10 PRODUCT & SERVICES Partnervest Clearing Relationships Partnervest s assets are held by Pershing. - a division of The Bank of New York Mellon Pershing, LLC is a leading global provider of clearing and financial service outsourcing solutions to nearly 1,100 institutional and retail financial organizations and investment advisors who collectively represent more than 5 million individual investors. Located in 23 offices worldwide. Pershing LLC The Bank of New York Mellon has equity capital of $11.53 billion and total assets of $99.85 billion. Pershing has a staff of more than 4,700 experienced financial professionals who are focused on supporting our firm and individual investors. Account Protection: Pershing provides excess SIPC protection for account net equity in excess of $500,000. Visit for more information about SIPC Custodial Relationships Partnervest has made the pragmatic decision to support the custodial relationship that best serve the needs of the advisor and their clients.

11 FIRM OVERVIEW PARTNERVEST IN THE NEWS The Partnervest team has been featured in a variety of industry publications and has appeared on several national broadcasts to discuss issues facing financial advisors and their clients. Following is just a sampling of these accomplishments. Additional news and articles can be found on Partnervest's website at:

12 FIRM DISCLOSURE Securities offered through Partnervest division of Sorrento Pacific Financial LLC member FINRA/SIPC. Investment advisory services provided through Partnervest Advisory Services LLC. Insurance products sold through Partnervest Insurance Services LLC.

Financial Advisor Value Proposition Page 2. Financial Advisor Types Page 4. Investment and Financial Planning Careers Page 5

Financial Advisor Value Proposition Page 2. Financial Advisor Types Page 4. Investment and Financial Planning Careers Page 5 Index Financial Advisor Value Proposition Page 2 Financial Advisor Types Page 4 Investment and Financial Planning Careers Page 5 Selecting a Sound Financial Advisor Page 6 Common Advisor Concerns Financial

More information

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement Form ADV Part 2B Brochure Supplement May 19, 2014 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,

More information

Wealth Management Built on Integrity and Experience

Wealth Management Built on Integrity and Experience Wealth Management Built on Integrity and Experience How Successful Portfolios Can Help You Prepared March 1, 2011 www.successfulportfolios.com 300 South Duncan Avenue, Suite 166 Clearwater, FL 33755 (800)

More information

Lincoln Financial Advisors

Lincoln Financial Advisors Lincoln Financial Advisors A Commitment to Excellence A promise to listen When you retain Lincoln Financial Advisors, you benefit from personal service and our extensive financial experience. We take the

More information

Finding the Right Investment Advisor: Key Questions Pilots Need to Ask Now

Finding the Right Investment Advisor: Key Questions Pilots Need to Ask Now Finding the Right Investment Advisor: Key Questions Pilots Need to Ask Now At Cleary Gull, we think the best way to find the right investment advisor is to focus on the four Ps: people, philosophy, process

More information

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement Form ADV Part 2B Brochure Supplement May 12, 2015 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,

More information

Your need for objective advice drives our independence. You control the journey.

Your need for objective advice drives our independence. You control the journey. Your need for objective advice drives our independence You control the journey. Independence ~ Objectivity ~ Integrity In a profession based on objective advice, true independence offers many choices intended

More information

Wealth Planning y Investment Management y Insurance for Family and Business. Serving Main Street with Independent Advice

Wealth Planning y Investment Management y Insurance for Family and Business. Serving Main Street with Independent Advice True Independence Wealth Planning y Investment Management y Insurance for Family and Business Serving Main Street with Independent Advice Wealth Planning y Investment Management y Insurance for Family

More information

Stellar Capital Management, LLC

Stellar Capital Management, LLC Stellar Capital Management, LLC 2200 East Camelback Road, Suite 130 Phoenix, Arizona 85016 602.778.0307 Form ADV Part 2B The Brochure Supplement March 25, 2015 This Brochure Supplement provides information

More information

Your need for objective advice drives our independence

Your need for objective advice drives our independence Your need for objective advice drives our independence Independence ~ Objectivity ~ Integrity In a profession based on objective advice, true independence offers many choices intended to benefit you, the

More information

Your need for objective advice drives our independence

Your need for objective advice drives our independence Your need for objective advice drives our independence Independence Objectivity Integrity In a profession based on objective advice, true independence offers many choices intended to benefit you, the client.

More information

This brochure has not been approved by the Securities and Exchange Commission (SEC), nor any state securities authority.

This brochure has not been approved by the Securities and Exchange Commission (SEC), nor any state securities authority. The Program Works, Inc. (dba TPW Financial, Inc.) 450 Lexington Street, Suite 203 Newton, MA 02466 Contact: Chitra R. Staley, CEO&CIO 617-614-9889 cstaley@tpwfinancial.com www.tpwfinancial.com Date of

More information

How to Evaluate An Investment Advisor

How to Evaluate An Investment Advisor Key Questions to Ask an Investment Advisor Specially Prepared for Continental Airlines Pilots Nearing Retirement You have built a substantial retirement nest egg over the years. Soon, you can relax and

More information

10-Year Treasury Constant Maturity Rate (DGS10)

10-Year Treasury Constant Maturity Rate (DGS10) 10-Year Treasury Constant Maturity Rate (DGS10) S&P 500 Stock Price Index (SP500) CBOE Volatility Index: VIX (VIXCLS) The Cost of Market Timing Risk of missing the best days in the market 1993-2012 Pilots

More information

ORGANIZATION OVERVIEW

ORGANIZATION OVERVIEW Synovus Investment Advisors, Inc. ORGANIZATION OVERVIEW Investment products and services provided by Synovus are offered through Synovus Investment Advisors, Inc., Synovus Securities, Inc., Synovus Trust

More information

Financial Advisor Comparison Matrix

Financial Advisor Comparison Matrix General Type of firm SEC Registered Investment Adviser (RIA) RIA FINRA Registered Broker (RR) Hybrid (RIA/RR) Insurance Agent Other: RIA FINRA Registered Broker (RR) Hybrid (RIA/RR) Insurance Agent Other:

More information

INTRODUCTION WHO WE ARE

INTRODUCTION WHO WE ARE INTRODUCTION WHO WE ARE An independent financial planning and investment advisory firm located in Walnut Creek, CA established in 1981 We are a Registered Investment Adviser (RIA) regulated by the Securities

More information

COMPETITION CFA INSTITUTE RESEARCH CHALLENGE SOUTHWEST U.S. FINALS

COMPETITION CFA INSTITUTE RESEARCH CHALLENGE SOUTHWEST U.S. FINALS COMPETITION CFA INSTITUTE RESEARCH CHALLENGE SOUTHWEST U.S. FINALS Leah R. Bennett, CFA, CIC Managing Director and CIO King Investment Advisors Leah R. Bennett is a portfolio manager and investment analyst

More information

M.S. Finance. Upon completion of the program, graduates are expected to:

M.S. Finance. Upon completion of the program, graduates are expected to: M.S. Finance The Master of Science in Finance degree program prepares students for career advancement in a variety of managerial and professional positions in a wide range of firms. As a result of the

More information

TAYLOR SENIOR PARTNER

TAYLOR SENIOR PARTNER Brochure Supplement (Part 2B of Form ADV) Dated October, 2011 This Brochure Supplement of the ADV II, filed with the SEC on April 29, 2011, provides information on the partners and employees of, 832 Camino

More information

SEIA SIGNATURE ESTATE & INVESTMENT ADVISORS, LLC. Signature Allocation Series Signature Elite

SEIA SIGNATURE ESTATE & INVESTMENT ADVISORS, LLC. Signature Allocation Series Signature Elite SEIA SIGNATURE ESTATE & INVESTMENT ADVISORS, LLC Signature Allocation Series Signature Elite ABOUT SEIA Successful wealth management is the result of an ongoing collaboration between investor and advisor,

More information

FOCUSED ON YOUR INVESTMENTS YOUR FUTURE YOU

FOCUSED ON YOUR INVESTMENTS YOUR FUTURE YOU FOCUSED ON YOUR INVESTMENTS YOUR FUTURE YOU Table of Contents Harrington Capital Management, LLC is a branch office of and Securities offered through WFG Investments, Inc., member FINRA & SIPC. Investment

More information

Ea s t m a n. planning. that stands the. Retirement. test of Time. Fin a n c i a l Ma n a g e m e n t

Ea s t m a n. planning. that stands the. Retirement. test of Time. Fin a n c i a l Ma n a g e m e n t Ea s t m a n Fin a n c i a l Ma n a g e m e n t About Us Joel Lorden About Joel lorden Joel E. Lorden is founder and President of Eastman Financial Management, an independent financial, investment management

More information

Your need for objective advice drives our independence. You control the journey.

Your need for objective advice drives our independence. You control the journey. Your need for objective advice drives our independence. You control the journey. Independence ~ Objectivity ~ Integrity. In a profession based on objective advice, true independence offers many choices

More information

Additional information about TPW Financial also is available on the SEC s website at www.adviserinfo.sec.gov.

Additional information about TPW Financial also is available on the SEC s website at www.adviserinfo.sec.gov. The Program Works, Inc. (dba TPW Financial) 450 Lexington Street, Suite 203 Newton, MA 02466 Contact: Chitra R. Staley, CEO&CIO 617-614-9889 cstaley@tpwfinancial.com www.tpwfinancial.com Date of Brochure:

More information

What is an Investment Adviser?

What is an Investment Adviser? What is an Investment Adviser? Legal Definition. Investment adviser is a legal term that appears in the Investment Advisers Act of 1940, the federal law that governs investment advisers. Generally, this

More information

WHO IS HD VEST? SUPPORTING ADVISORS WHO SUPPORT YOU

WHO IS HD VEST? SUPPORTING ADVISORS WHO SUPPORT YOU WHO IS HD VEST? SUPPORTING ADVISORS WHO SUPPORT YOU HD VEST A QUIET BRAND WITH A BIG PRESENCE For the last 30 years of our firm s history, our sole purpose has been to support independent Advisors providing

More information

FORM ADV Part IIA March 31, 2015

FORM ADV Part IIA March 31, 2015 FORM ADV Part IIA March 31, 2015 Item 1 Firm Information A. James Reed Financial Services (RFS), a Registered Investment Advisor (RIA) with the Security and Exchange Commission (SEC), does business as

More information

Your need for objective advice drives our independence

Your need for objective advice drives our independence Your need for objective advice drives our independence Independence Objectivity Integrity In a profession based on objective advice, true independence offers many choices intended to benefit you, the client.

More information

SOURCING FINANCIAL SOLUTIONS FOR CAPITAL INVESTMENTS

SOURCING FINANCIAL SOLUTIONS FOR CAPITAL INVESTMENTS SOURCING FINANCIAL SOLUTIONS FOR CAPITAL INVESTMENTS OUR ADVICE AND EXPERTISE CAN YIELD EXCEPTIONAL RESULTS OVER TIME Sourcing financial solutions for the investment success of each and every one of our

More information

DO YOU HAVE A SUCCESSION PLAN FOR YOUR BUSINESS?

DO YOU HAVE A SUCCESSION PLAN FOR YOUR BUSINESS? DO YOU HAVE A SUCCESSION PLAN FOR YOUR BUSINESS? SMART SUCCESSION PLANNING IS IMPORTANT TO BOTH YOU AND YOUR CLIENTS. But far too many advisors don t have a clear plan in place. Transitioning your business

More information

Form ADV Part 2: Brochure Supplement

Form ADV Part 2: Brochure Supplement Bashar M. Qasem 703.207.7005 x101 This Brochure Supplement provides information about Bashar Qasem that supplements the Azzad Asset Management s brochure. You should have received a copy of that brochure.

More information

WEALTH MANAGEMENT & ADVISORY SERVICES. Stability. Integrity. Expertise.

WEALTH MANAGEMENT & ADVISORY SERVICES. Stability. Integrity. Expertise. WEALTH MANAGEMENT & ADVISORY SERVICES Stability. Integrity. Expertise. A Proven Strategy for Investment Success Best-of-Class We are not restricted by offering proprietary products or holding an inventory

More information

Introduction to Financial Architects

Introduction to Financial Architects Introduction to Financial Architects We are a registered investment advisory firm providing financial planning and wealth management services to private clients in metro-atlanta, across the United States,

More information

Independence ~ Objectivity ~ Integrity. What is an independent financial professional? What is an independent Broker/Dealer?

Independence ~ Objectivity ~ Integrity. What is an independent financial professional? What is an independent Broker/Dealer? Independence ~ Objectivity ~ Integrity. In a profession based on objective advice, true independence offers many choices intended to benefit you, the client. Your choice of an independent financial professional

More information

BRYAN T. FORMAN 112 E. Line Street; Suite 310 Tyler, Texas 75702

BRYAN T. FORMAN 112 E. Line Street; Suite 310 Tyler, Texas 75702 BRYAN T. FORMAN 112 E. Line Street; Suite 310 Tyler, Texas 75702 Telephone: 903.597.2221 Email: bryan@bryanforman.com Digital 903.520.6786 Web: www.bryanforman.com CAREER HISTORY Present: THE FORMAN LAW

More information

A Winning Relationship: You, Your Advisor and Schwab Advisor Services

A Winning Relationship: You, Your Advisor and Schwab Advisor Services A Winning Relationship: You, Your Advisor and Schwab Advisor Services When the expertise of your advisor is combined with When the expertise of your advisor custody at Schwab, we share a common objective:

More information

Financial Planning Services

Financial Planning Services Financial Planning Services for Key Executives Comprehensive Planning Services Custom Tailored to Enhance Your Financial Future www.masoncompanies.com THE MASON COMPANIES Financial Planning Services for

More information

Windham Capital Management. Firm Overview ABOUT WINDHAM INVESTMENT APPROACH MISSION AND VALUES

Windham Capital Management. Firm Overview ABOUT WINDHAM INVESTMENT APPROACH MISSION AND VALUES indham Capital Management Firm Overview ABOUT INDHAM indham Capital Management was founded in 1988 as an SEC-registered investment advisor in Cambridge, Massachusetts. indham is widely known for its pioneering

More information

Investing in high quality, well managed companies for your prosperity and peace of mind

Investing in high quality, well managed companies for your prosperity and peace of mind Investing in high quality, well managed companies for your prosperity and peace of mind Welcome to Maxwell Noll For over three decades, Maxwell Noll has provided peace of mind investing for clients. Our

More information

VERDE WEALTH GROUP, LLC

VERDE WEALTH GROUP, LLC VERDE WEALTH GROUP, LLC 2323 S. Shepherd Dr. Suite 845 Houston, TX 77019 www.verdewealthgroup.com This brochure provides information about the qualifications and business practices of Verde Wealth Group,

More information

Probabilities Long/Short

Probabilities Long/Short Probabilities Long/Short Strategy Overview: The portfolio manager uses quantitative and qualitative analysis to identify trading opportunities based on long term trends and patterns in historical data

More information

Form ADV Part 2A (Firm Brochure) HORAN Wealth Management 4990 East Galbraith Road Cincinnati, OH 45236 513.745.0707 www.horanassoc.

Form ADV Part 2A (Firm Brochure) HORAN Wealth Management 4990 East Galbraith Road Cincinnati, OH 45236 513.745.0707 www.horanassoc. Form ADV Part 2A (Firm Brochure) HORAN Wealth Management 4990 East Galbraith Road Cincinnati, OH 45236 513.745.0707 www.horanassoc.com January 1, 2016 This document provides information about the qualifications

More information

The Hoelzel Jacobson Hare Group at Morgan Stanley Smith Barney

The Hoelzel Jacobson Hare Group at Morgan Stanley Smith Barney The Hoelzel Jacobson Hare Group at Morgan Stanley Smith Barney 15260 Ventura Blvd. Suite 1900, Sherman Oaks, CA 91403 818-382-5780 / MAIN 800-237-4821 / TOLL-FREE 818-382-5768 / FAX fa.smithbarney.com/hoelzeljacobsonharegroup/

More information

30 Questions to Ask When Choosing a Financial Planner

30 Questions to Ask When Choosing a Financial Planner 30 Questions to Ask When Choosing a Financial Planner Prepared by George Salter, JD, MBA, CFP James E. Salter, MBA P.O. Box 125 P.O. Box 125 Alamo, CA 94507 Alamo, CA 94507 george@blossomwm.com james@blossomwm.com

More information

Global Hedged Growth and Income Strategy

Global Hedged Growth and Income Strategy Global Hedged Growth and Income Strategy Deliberate, Purposeful Investing January, 2014 www.partnervest.com 1 STAR Wealth Partners is a seasoned wealth management team with expertise in Global/US Hedged

More information

FINANCE What can I do with this degree?

FINANCE What can I do with this degree? FINANCE What can I do with this degree? Transferable Skills In addition to the specific subject matter that Finance majors learn, skills are acquired that can easily transfer to any field including: Reading

More information

Morgan Stanley. R & R Partners. 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031. www.morganstanleyfa.com/rudowramos

Morgan Stanley. R & R Partners. 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031. www.morganstanleyfa.com/rudowramos R & R Partners 522 Fifth Avenue, 15th Floor New York, NY 10036 (212)-296-1031 www.morganstanleyfa.com/rudowramos 0 Table of Contents Our Mission Page 2 Wealth Management Page 3 Why R and R Partners? Page

More information

The FundQuest Unified Managed Account

The FundQuest Unified Managed Account U N I F I E D M A N A G E D A C C O U N T The FundQuest Unified Managed Account A Simple and Powerful Managed Account Solution Offered by FundQuest, a leading managed account solutions provider A Powerful

More information

How do I choose the right advisor?

How do I choose the right advisor? Discover the difference with a Registered Investment Advisor. How do I choose the right advisor? Important questions to ask before you hire an investment advisor. This content is made available by Charles

More information

Investment Management Services

Investment Management Services Investment Management Services for Private Clients Comprehensive Investment Asset Management www.masoncompanies.com Mason Investment Advisory Services Investment Management Services for Private Clients

More information

The Black Diamond Group at Morgan Stanley Smith Barney

The Black Diamond Group at Morgan Stanley Smith Barney The Black Diamond Group at Morgan Stanley Smith Barney 1000 Elm Street 14th Floor, Manchester, New Hampshire 03101 603-629-0214 / Main fa.smithbarney.com/ theblackdiamondgroup ian.macdermott@mssb.com One

More information

We Build and Preserve Wealth. Elmwood Wealth Management

We Build and Preserve Wealth. Elmwood Wealth Management Elmwood The Elmwood Vision By identifying your individual or family goals, we create a comprehensive wealth management plan specific to your needs. We then implement a portfolio designed to provide the

More information

Trust Services at Merrill Lynch. Estate Planning Services

Trust Services at Merrill Lynch. Estate Planning Services Trust Services at Merrill Lynch Estate Planning Services Merrill Lynch Wealth Management makes available products and services offered by Merrill Lynch, Pierce, Fenner & Smith Incorporated (MLPF&S) and

More information

WELCOME TO STA Wealth Management

WELCOME TO STA Wealth Management WELCOME TO STA Wealth Management Since the founding of STA Wealth Management in 2002 by experienced financial industry executives in Houston, Texas, we have focused on delivering comprehensive portfolio

More information

IMPORTANT QUESTIONS YOU SHOULD ASK ABOUT

IMPORTANT QUESTIONS YOU SHOULD ASK ABOUT IMPORTANT QUESTIONS YOU SHOULD ASK ABOUT JAMES KIRBY ACCOUNTANCY CORPORATION JAMES KIRBY ACCOUNTANCY CORPORATION Registered Investment advisor 2601 Saturn Street, Suite 106 Brea, CA 92821 6702 (714) 203

More information

Part 2B of Form ADV: Brochure Supplement

Part 2B of Form ADV: Brochure Supplement Capital Ideas, Inc. Charles M. Best 5950 Berkshire Lane, #1060 Dallas, TX 75225 214-750-4400 Item 1 - Cover Page This brochure supplement provides information about Charles M. Best that supplements the

More information

Best Practices for Investment Committee Members

Best Practices for Investment Committee Members Best Practices for Investment Committee Members Brightscape Erisamyliability.com Eric Weiss, CFP, AIF This paper identifies best practices for 401(k) investment committee members in order to reduce potential

More information

CFP Board Commission on Standards Commission Members

CFP Board Commission on Standards Commission Members CFP Board Commission on Standards Commission Members V. Raymond Ferrara, CFP Commission Chair Ray is Chair and CEO of ProVise Management Group, LLC, a financial planning firm located in Clearwater, Florida,

More information

Part 2A Brochure. Investus Financial Planning, Inc. 1765 Santa Ana Ave, U-202 Costa Mesa, CA 92627 949-645-1403

Part 2A Brochure. Investus Financial Planning, Inc. 1765 Santa Ana Ave, U-202 Costa Mesa, CA 92627 949-645-1403 Part 2A Brochure Investus Financial Planning, Inc. 1765 Santa Ana Ave, U-202 Costa Mesa, CA 92627 949-645-1403 This brochure provides information about the qualifications and business practices of Investus

More information

August 25, 2014 FORM ADV PART 2A BROCHURE

August 25, 2014 FORM ADV PART 2A BROCHURE Sparrow Wealth Management 10080 West Alta Drive, Suite 125 Las Vegas, NV 89145 Phone: 877-330-9191 Fax: 877-330-9191 Web Site: www.sparrowwealth.com August 25, 2014 FORM ADV PART 2A BROCHURE This brochure

More information

Leading $700 Million Denver, CO- Based Wealth Management Team, Cardan Capital Partners, Launches as an Independent Advisory Firm

Leading $700 Million Denver, CO- Based Wealth Management Team, Cardan Capital Partners, Launches as an Independent Advisory Firm Media Contact sallycates@dynastyfinancialpartners.com 212-373- 1000 Leading $700 Million Denver, CO- Based Wealth Management Team, Cardan Capital Partners, Launches as an Independent Advisory Firm NEW

More information

Investment Management Group. Investments & Endowments A Primer for Nonprofit Leaders

Investment Management Group. Investments & Endowments A Primer for Nonprofit Leaders Investment Management Group Investments & Endowments A Primer for Nonprofit Leaders Investment Management Group The Chartered Financial Analyst (CFA) designation is conferred by the CFA Institute to financial

More information

Part 2A of Form ADV: Firm Brochure

Part 2A of Form ADV: Firm Brochure Part 2A of Form ADV: Firm Brochure Item 1 Cover Page September 10, 2014 Wolfers Asset Management Established in 2001 Erik Sean Wolfers, MBA, CFP - Principal and Sole Proprietor 235 Wildwood Avenue Piedmont,

More information

ABOUT LPL FINANCIAL. The strength of partnership

ABOUT LPL FINANCIAL. The strength of partnership ABOUT LPL FINANCIAL The strength of partnership supporting financial advisors who serve you the need for objective advice has never been greater Amid an ever-changing investment landscape, investors need

More information

Brian K. Stickney, CFA, CFP

Brian K. Stickney, CFA, CFP Item 1 - Cover Page Brochure Supplement for Brian K. Stickney, CFA, CFP CRD# 2217162 Ironridge Wealth Management, LLC 100 Galleria Parkway Suite 1130 Atlanta, GA 30339 (770) 635-1925 www.ironridgewealth.com

More information

Firm Brochure Supplement (Part 2B of Form ADV) March 9, 2015

Firm Brochure Supplement (Part 2B of Form ADV) March 9, 2015 NORTHEAST INVESTMENT MANAGEMENT, INC. INVESTMENT ADVISORS AND TRUSTEES 100 High Street, Suite 1000 Boston, Massachusetts 02110-2301 (617) 523-3588 Phone (617) 523-5412 Facsimile www.northeastinvest.com

More information

The Weiner Wealth Management Group

The Weiner Wealth Management Group The Weiner Wealth Management Group Helping you pursue your financial goals. The Weiner Wealth Management Group Our mission is to guide our clients in their quest to preserve and grow their assets over

More information

A Winning Relationship: You, Your Advisor and Schwab Institutional

A Winning Relationship: You, Your Advisor and Schwab Institutional A Winning Relationship: You, Your Advisor and Schwab Institutional When the expertise of your advisor is combined with custody at Schwab, we share a common objective: to protect and grow your assets In

More information

Catalyst Small-Cap Insider Buying Fund CTVAX, CTVCX & CTVIX 2015 Q2

Catalyst Small-Cap Insider Buying Fund CTVAX, CTVCX & CTVIX 2015 Q2 Catalyst Small-Cap Insider Buying Fund CTVAX, CTVCX & CTVIX 2015 Q2 About Catalyst Funds Intelligent Alternatives We strive to provide innovative strategies to support financial advisors and their clients

More information

Financial Advisor Interview Questionnaire

Financial Advisor Interview Questionnaire Financial Advisor Interview Questionnaire Advisor name: Company Name: Cyril S. White White House Financial & Investment Solutions, LLC Date: May 30, 2013 Why did you become a financial advisor? I became

More information

Strategic. partnerships

Strategic. partnerships Strategic partnerships Investment management tax efficiency legal structure risk management MONTI, THOMPSON & GETTY Partners to Leading Accounting and Law Firms Monti, Thompson & Getty (MTG) is in the

More information

Right Connections The Teams Behind Our Relationship

Right Connections The Teams Behind Our Relationship The Right Connections The Teams Behind Our Relationship Abelson & Company, LLC The Right Connections to Stay Focused on You Just as I stand behind you to help you pursue your financial dreams, I have teams

More information

March 30, 2015 FORM ADV PART 2A BROCHURE

March 30, 2015 FORM ADV PART 2A BROCHURE Sparrow Wealth Management 10080 West Alta Drive, Suite 125 Las Vegas, NV 89145 Phone: 877-330-9191 Fax: 877-330-9191 Web Site: www.sparrowwealth.com March 30, 2015 FORM ADV PART 2A BROCHURE This brochure

More information

Contact Princeton Global Asset Management

Contact Princeton Global Asset Management About Princeton Global Asset Management Princeton Global Asset Management furnishes continuous investment advice to Clients based on their individual needs. We provide US, International and Global investment

More information

ABOUT LPL FINANCIAL. The strength of partnership

ABOUT LPL FINANCIAL. The strength of partnership ABOUT LPL FINANCIAL The strength of partnership supporting financial advisors who serve you the need for objective advice has never been greater Amid an ever-changing investment landscape, investors need

More information

Private Client Group. Washington DC Alexandria VA Los Angeles CA Fort Lee NJ

Private Client Group. Washington DC Alexandria VA Los Angeles CA Fort Lee NJ The conversation between client and advisor is the heart of our firm; all that we do must be borne of and nourish that relationship. - Augustine Hong, CEO Private Client Group Washington DC Alexandria

More information

Questions to Ask When Choosing a Financial Planner: Our Responses

Questions to Ask When Choosing a Financial Planner: Our Responses Questions to Ask When Choosing a Financial Planner: Our Responses Selecting a competent, qualified financial planner with whom you feel comfortable and one whose business style suits your needs is an important

More information

Guarneri Kabot Bollag. & Associates

Guarneri Kabot Bollag. & Associates Guarneri Kabot Bollag & Associates Our values Client trust is essential. Every member of our team is dedicated to helping clients reach their goals. When everyone shares the same vision and works toward

More information

Managed Account Disclosure Statement

Managed Account Disclosure Statement Managed Account Disclosure Statement This brochure provides clients with information about Romano Wealth Management and the Managed Account Program that should be considered before becoming a client of

More information

An Overview to Equity Services Incorporated

An Overview to Equity Services Incorporated An Overview to Equity Services Incorporated 30 % 64086 MK3302(0711) TC58836(0211) Putting ESI on the Map Nearly 600 registered representatives Of which, approximately 400 are Investment Adviser Representatives

More information

Good morning Mr. Chairman and Members of the Committee. My name is Jack

Good morning Mr. Chairman and Members of the Committee. My name is Jack TESTIMONY OF JACK MARCO, CHAIRMAN OF THE MARCO CONSULTING GROUP, BEFORE THE SUBCOMMITTEE ON HEALTH, EMPLOYMENT, LABOR, and PENSIONS COMMITTEE ON EDUCATION AND LABOR OF THE U.S. HOUSE OF REPRESENTATIVES

More information

July 2004 November 2005

July 2004 November 2005 July 2004 November 2005 Our firm has been growing and changing over the years and many of you have not had the opportunity to meet all the employees of Private Wealth Management. Over the next several

More information

BRIAN R. KORB, PhD, CFA, CFP

BRIAN R. KORB, PhD, CFA, CFP BRIAN R. KORB, PhD, CFA, CFP ACADEMIC POSITIONS: 2002 Present TRINITY WESTERN UNIVERSITY, School of Business, Langley, BC Assistant Professor of Finance Direct the finance curriculum for the largest Christian

More information

Wealth Management. at Janney Montgomery Scott

Wealth Management. at Janney Montgomery Scott Wealth Management at Janney Montgomery Scott W e a l t h M a n a g e m e n t Janney Montgomery Scott understands that wealth like life is more than just an event. It is an ongoing process of growth and

More information

www.waltlunsfordgroup.com

www.waltlunsfordgroup.com www.waltlunsfordgroup.com THE WALT LUNSFORD GROUP Our Team Walt Lunsford, AAMS Senior Vice President, Investments Direct: 513-786-7840 Walt.Lunsford@raymondjames.com WaltLunsfordGroup.com Tim Recker, AAMS

More information

Firm Brochure Supplement (Part 2B of Form ADV)

Firm Brochure Supplement (Part 2B of Form ADV) Firm Brochure Supplement (Part 2B of Form ADV) 9200 Montgomery Road Cincinnati, Ohio 45242 (513) 771-7222 (888) 234-7982 www.taaginc.com info@taaginc.com This brochure supplement provides information about

More information

The advisor you trust for today s needs and tomorrow s goals.

The advisor you trust for today s needs and tomorrow s goals. The advisor you trust for today s needs and tomorrow s goals. WE DO WHAT S RIGHT FOR OUR CLIENTS NOT WHAT S EASIEST Our clients value a partner they can trust to lead them confidently along the path toward

More information

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement

TFC Financial Management, Inc. Form ADV Part 2B. Brochure Supplement Form ADV Part 2B Brochure Supplement March 17, 2016 Website: www.tfcfinancial.com E-mail: info@tfcfinancial.com This Brochure Supplement provides information about Jane Taubner Barney, Kathleen A. Chianca,

More information

G. Robert King II, CFP, CLTC

G. Robert King II, CFP, CLTC RETIREMENT PLAN CONSULTING SERVICES G. Robert King II, CFP, CLTC Serving businesses on Cape Cod, since 1986 Expertise. Knowledge. Peace of Mind. Securities products are offered through New England Securities

More information

Laguna Wealth Advisors, LLC 120 Vantis, Suite 300 Aliso Viejo, CA 92656 949 464-4466. www.lagunawealth.com 1/1/2015

Laguna Wealth Advisors, LLC 120 Vantis, Suite 300 Aliso Viejo, CA 92656 949 464-4466. www.lagunawealth.com 1/1/2015 Item 1 Cover Page Laguna Wealth Advisors, LLC 120 Vantis, Suite 300 Aliso Viejo, CA 92656 949 464-4466 www.lagunawealth.com 1/1/2015 This Brochure provides information about the qualifications and business

More information

Corporate Headquarters 1111 Chapala Street, 3rd Floor Santa Barbara, CA 93101 Phone: (805) 882-2360 https://www.missionwealthmanagement.

Corporate Headquarters 1111 Chapala Street, 3rd Floor Santa Barbara, CA 93101 Phone: (805) 882-2360 https://www.missionwealthmanagement. Corporate Headquarters 1111 Chapala Street, 3rd Floor Santa Barbara, CA 93101 Phone: (805) 882-2360 https://www.missionwealthmanagement.com March 2016 Los Angeles Westlake Village Santa Barbara San Francisco

More information

Canada s Leading Wealth Management Team for the Tennis Community

Canada s Leading Wealth Management Team for the Tennis Community Canada s Leading Wealth Management Team for the Tennis Community London Office 255 Queens Ave., One London Place London ON N6A 5R8 Phone: 519 640-7600 Website: www.crossfinancialgroup.ca Cross Financial

More information

Master of Science in Wealth Management The Charles H. Kellstadt Graduate School of Business

Master of Science in Wealth Management The Charles H. Kellstadt Graduate School of Business Master of Science in Wealth Management The Charles H. Kellstadt Graduate School of Business Committed to a Career in Wealth Management? Find us on the web at: http://finance.depaul.edu/cfs/ms_wealth_management/

More information

FORM ADV PART 2B* Brochure Supplement

FORM ADV PART 2B* Brochure Supplement FORM ADV PART 2B* Brochure Supplement Professional Backgrounds of Sean Stannard-Stockton Curtis Brown Arif Karim Ludovic Thomasson Matthew Pearson November 2015 1350 Bayshore Highway, Suite 460 Burlingame,

More information

It s All About The Experience: Yours And Ours. WealthConsultingGroup_J.Lee_Bro_FNL.indd 1

It s All About The Experience: Yours And Ours. WealthConsultingGroup_J.Lee_Bro_FNL.indd 1 It s All About The Experience: Yours And Ours WealthConsultingGroup_J.Lee_Bro_FNL.indd 1 Extensive Industry Experience Drives An Exceptional Client Experience WCG is a boutique wealth management firm offering

More information

The Professionals of Charles Schwab Bank s Personal Trust Services Division

The Professionals of Charles Schwab Bank s Personal Trust Services Division The Professionals of Charles Schwab Bank s Personal Trust Services Division With Administrative Trustee Services from the Personal Trust Services Division 1 of Charles Schwab Bank, you benefit from the

More information

Choosing Your Investment Advisor.

Choosing Your Investment Advisor. The following information and opinions are provided courtesy of Wells Fargo Bank, N.A. Choosing Your Investment Advisor. Content Content of this report is adapted from Chapter 15, Choosing Your Doctor:

More information

The investment Consulting Process

The investment Consulting Process The investment Consulting Process As your investment partner, we are committed to helping You accomplish your unique financial goals and objectives. After developing a thorough understanding of your risk

More information