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

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2 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 conservative investment philosophy using a sound, long-term success strategy is critical for creating wealth while allowing clients to sleep at night. Initially, clients come to us because they have assets to invest. Perhaps they have a 401k to rollover, or an existing IRA, a family trust, or they received an inheritance, sold an asset or business, or maybe have proceeds from a settlement. They may want to buy a home or pay for college. They want to retire with sufficient wealth to give them financial security. We help them get there by providing personalized wealth management services that include financial planning, investments, income protection, and estate planning. Based on these services, we have built a solid foundation of client trust, values, and relationships since 1975.

3 How We Work with You Managing Your Portfolio When we first sit down, we help you fill out a questionnaire that clarifies your investment goals and tolerance for risk. Together, we create your Investment Policy Statement. From that Policy, we design a personalized portfolio consisting of cash and direct ownership of stocks and bonds from a diverse group of high quality, well managed companies. We meet with you on a regular basis to review your portfolio s performance and update your Investment Policy Statement. As you move through life your goals may shift, and we adjust your portfolio accordingly. Generally, we do not invest in mutual funds. Why? Their internal costs can be high. Due to their sheer size and restrictions, they invest in a large number of companies, many of which fail to meet our standards of excellence and, perhaps, your sense of social responsibility. Instead, through our research, we craft for you a customized portfolio, concentrated in quality companies, diversified among industry groups and suitable to your particular needs. Where appropriate, we may invest in Exchange Traded Funds (ETFs). We monitor your portfolio s progress and adjust your holdings as necessary, considering economic and market conditions as well as your tax situation and cash flow needs.

4 We continue to seek out both stocks and bonds of well managed companies when the prices and yields represent a good value. H. EUGENE NOLL Finding High Quality, Well Managed Companies Managing inheritance Investing for retirement Maintenance for an elderly parent Reinvesting asset sales We employ a 40-point screening process to identify and follow high quality, well managed companies. Our screen focuses on companies that have persistent growth in sales, earnings, cash flow and net assets. They demonstrate a solid return on equity while maintaining reasonable levels of long-term debt. Less than 200 companies of the 7,000 listed on the U.S. stock exchanges make the cut. For fixed income, we generally select U.S. Treasury securities and investment grade municipal and corporate bonds. Saving for education Charitable giving We take the time to share our knowledge and explain our investment decisions. You know what companies you own and why they are right for you.

5 Treat your client the same way you would want to be treated. J. TERRY MAXWELL Wealth Management Services We extend our traditional portfolio management services to encompass the broader financial health of our clients, including financial planning, income protection, and estate planning. This complements the existing investment advice a client receives by adding a more complete financial picture. Financial Income Estate Planning Protection Investments Planning Retirement Plans Asset Protection Investment Goals Heirs Risk Protection Long Term Care Asset Allocation Wills Retirement Income Health Care Plan Diversification Trusts Reducing Taxes Disability Insurance Stocks, Bonds & ETFs Charities Parents-Children Liability Insurance Portfolio Reviews Life Insurance

6 Who We Are & Where We Came From Maxwell Noll Features In 1975, J. Terry Maxwell and H. Eugene Noll opened the doors of Maxwell Noll with the goal of providing unbiased investment advice devoted to helping clients grow their assets and provide income. In the early years, Gene and Terry wanted to help educate individuals with stock market knowledge. They began teaching investment classes, and in 1977 started The Pacific School of Finance, a non-profit organization dedicated to teaching the skills, knowledge and discipline required by a prudent person to manage his or her investment capital. Individuals learned about the markets, different aspects of investing, fundamental and technical analysis. To this day, we continue to impart our investment knowledge to clients, valuing our relationship as partners. Established in Pasadena since 1975 Wealth management includes comprehensive tax and estate planning, financial planning and portfolio management Highly experienced professionals Multi-generational clients Investing with a long term view Investment knowledge partners At Maxwell Noll we strive to help you meet your financial dreams and goals, employing sound investment strategies based on solid research and discipline.

7 600 South Lake Avenue Pasadena, CA Telephone Fax Member FINRA, SIPC Registered Investment Advisor

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