Howard Aschwald, CFA Description of Business: Personal Information: Peter Bogardus, Jr. Description of Business: Personal Information:

Transcription

1 Investment Advisors Howard Aschwald, CFA Quantum Capital Management, 311 California Street, Suite 510, San Francisco, CA Phone: Fax: Web Site: Description of Business: Chief Investment Officer and portfolio manager for an investment management company, Quantum Capital Management, Inc. Firm manages discretionary accounts for high net worth clients and institutions. We work with other estate planning professionals to customize and optimize financial planning for our clients. Our primary emphasis is management of investment assets. We are fiduciaries for trusts and ERISA pension accounts. See website: for more details. Personal Information: Grew up in Eugene, Oregon. Graduated from the US Naval Academy and served on active duty for 5 years in Pearl Harbor, San Diego and San Francisco. Spent 24 more years in the Navy Reserve Peter Bogardus, Jr. Wells Fargo Advisors, LLC, 525 Miller Ave., Mill Valley, CA Phone: Fax: Description of Business: We provide solutions for HNW individuals, families and private companies with regard to investing, with a goal of reducing risk and producing gains through values-based investing, wealth transfer and retirement plans. We also advise individuals going through divorce. Personal Information: I grew up in Mill Valley and attended MCDS and the Branson School. After college at Dartmouth, I spent 2 years in Asia, mostly in Beijing, China, where I witnessed the Tian An Men Square demonstrations. I bicycled extensively in Asia and led adventure travel trips. After receiving my JD and MS, in 1998 I started a law practice in Colorado and in 2004 became a municipal judge. In 2011 I traded my my estate planning law practice for a career in Marin as a financial advisor. Jennifer M. Butters, AAMS Edward Jones, 4306 Redwood Hwy., Ste. 100B, San Rafael, CA Phone: Fax: Web Site: Description of Business: Organize finances, Build Wealth, Protect Wealth and Pass it on efficeintly. Estate & Trust Services, Retirement Plans, Investments and Insurance Personal Information: Investment Advisor with Edward Jones since December of 1999.

2 Joe Caldwell, CFA, D. Min. The Investment and Philanthropy Corp., 44 Anchorage Road, Sausalito, CA Phone: Fax: Web Site: Description of Business: Expert portfolio management for clients with over $500,000 to invest. Specialize in retirement assets, trust, charitable endowments & private foundations. Fiduciaryfriendly management system for trusts, private foundations and charitable endowments. Personal Information: Twenty Two years experience in portfolio management. Vincent J. Crivello, Loring Ward, 3055 Olin Ave., Ste. 2000, San Jose, CA Phone: Fax: Web Site: Description of Business: For Loring Ward, Vince Crivello is responsible for delivering industry insights and consulting services to independent advisors throughout the country. In his Regional Director capacity, he also works with a select group of independent advisors. Loring Ward is an $11 billion registered investment advisor based in Silicon Valley. In addition to his role at Loring Ward, Vince is a trustee, real esatate manager, investment advisor, and general partner for a small family office. Personal Information: Mr. Crivello is President of the Financial Planning Association (FPA) of San Francisco and has served on the Marin County Estate Planning Council board of directors. He resides in Novato. Joseph P. Delaney Lifeguard Wealth, 1010 B St., Ste. 323, San Rafael, CA Phone: cell: Web Site: Description of Business: Lifeguard Wealth helps affluent individuals and families manage their money. We believe we have created a better experience for our clients with our highly individualized wealth services, uniquely tailored to each client's needs. Think of us as your financial lifeguard--ensuring all aspects of your financial life are covered and protected. Personal Information: Mr. Delaney received his BA from Stanford University and his MBA from UCLA. He is also a prior CPA. Daniel N. Furhman, CFP Wells Fargo Advisors, LLC, 555 California St., Ste. 2300, San Francisco, CA Phone: Fax: Description of Business: Focus is on investment planning for attorneys. Geoffrey A. Hakim, CFP Marin Capital Management, 4040 Civic Center Drive, Ste. 200, San Rafael, CA Phone: Fax: Web Site:

3 Description of Business: Our firm designs investment portfolios that are both protective and defensive, having the ability to perform well in both good and bad economic times. This is accomplished by utilizing investments having low to negative correlations to the behavior of volatile stocks. We also offer retirement planning services around the question of, "Will you have enough?" Personal Information: 1) 14 years experience in commercial Real Estate as a developer, investor & broker; 2) 14 years experience as an investment advisor. Charles M Haynor, CFA Rayner & Haynor, A Division of United Capital, 655 Redwood Hwy., Ste. 370, Mill Valley, CA Phone: Fax: Web Site: Description of Business: Rayner & Haynor, founded in 1977, was aquired by United Capital in December We are an investment counseling firm that offers asset management in conjunction with a full suite of wealth-planning services to individual and institutional clients. Personal Information: Charlie grew up in Strawberry (Mill Valley), received his BA in Physics from UC Berkeley and an MBA from UC Berkeley, and is a Chartered Financial Analyst (CFA). Charlie began his career at Rayner Associates in 1990, ran Rayner & Haynor as president and and owner since 2005, and is now Managing Director of the Mill Valley office of United Capital. Paul Kingsman, Taddei Ludwig & Associates, 999 Fifth Ave., Ste. 300, San Rafael, CA Phone: Fax: Description of Business: Financial advisor helping people navigate from their current point A, to their desired Point B. Personal Information: Began working with team at Taddei, Ludwig & Associates in April of Have been involved in financial services industry since returning to the U.S. in Leslie H. Miller, MBA Morgan Stanley Wealth Management LLC, 750 Lindaro St., Ste. 300, San Rafael, CA Phone: Description of Business: I provide financial planning and investment management for individuals, families, their trusts and businesses.. Personal Information: I grew up in Marin. BA in economics and international relations from UC Davis, Master of Int'l Management from American Graduate School of International Mgmt, and MBA in Finance from Southern Methodist University. 20+ year career in finance, including Senior VP of Industrial Indemnity Financial Corp. Past service: Director, Girl Scouts of Northern California, President of Financial Womens's Assoc. of SF. Served on the board of directors of Marin Symphony and MAC (Marin Advocates for Children). Hugh C. Ogilvie, CFA Rayner & Haynor, A Division of United Capital, 655 Redwood Hwy., Ste. 370, Mill Valley, CA 94941

4 Phone: Fax: Web Site: unitedcp.com/cq11 Description of Business: Rayner & Haynor is an investment counseling firm that helps wealthy individuals design and manage all aspects of their financial future on an ongoing basis. We take great care to understand our clients' lives and apply a holistic approach when advising them on the structure of their wealth. Personal Information: Hugh grew up in the Northwest, received a BA in economics from the University of Victoria in British Columbia, and is a Chartered Financial Analyst. He has more than 20 years of experience building portfolios of stocks, bonds, funds, real estate and alternatives and joined Rayner & Haynor in Hugh and his wife live in Corte Madera with their three children. Bruce Raabe, CFA, MBA Relevant Wealth Advisors, 2 Belvedere Pl., Ste. 350, Mill Valley, CA Phone: Fax: Web Site: Description of Business: Relevant Wealth Advisors was founded with the vision of providing a unique proposition--one based on trust, integrity, professionalism, discipline, and partnership. We believe no professional relationship is more intimate than that of advising on the investment of accumulated wealth. We have chosen to focus our energy by partnering with North Bay families and private foundations. If you are looking for a personal Chief Financial Officer for your family or private foundation who will take the time - Personal Information: Bruce's tenure includes nearly 20 years of honing and developing a consultative wealth management process for Bay Area high net worth families and private foundations. His expertise David W Raub, JD Raub Brock Capital Management, LP, 700 Larkspur Landing Cir., Ste. 240, Larkspur, CA Phone: ext 780 Fax: Web Site: Description of Business: Raub Brock Capital Management, Inc., is an independent fee-only Registered Investment Adviser providing investment management and financial planning services for individuals, businesses, trusts and financial institutions. Personal Information: David Raub, a graduate of Harvard Law School, has been a Registered Investment Adviser representative since He serves as Principal and Chief Investment Officer of Raub Brock Capital Management. A member of the Calif. State Bar, he has maintained an active estate planning practice for 30+ years, and is recognized as an Accredited Estate Planner by the National. Assoc. of Estate Planning Councils. He has twice served as mayor of Steven Schmitz, RIA Schmitz Capital Partners, LLC, 655 Redwood Hwy., Ste. 109, Mill Valley, CA Phone: Fax: Web Site: Description of Business: We provide our clients with individualized, custom investment solutions for their personal, pension, trust, estate, and family foundation investment portfolios. Personal Information: B.S.M.E. University of Santa Clara, cum laude

5 ; M.B.A. Finance and Economics, U.C.L.A., honors Registered Investment Advisor (RIA). Registered Principal (Series 7,24,63) 1989-Present Greg Tull, CFA Meritas Advisors, 4040 Civic Center Drive, Ste. 200, San Rafael, CA Phone: Fax: Web Site: Description of Business: Meritas Advisors' mission is to meet our clients' investment goals within the scope of their risk tolerance. We strive to manage risk most effectively by utilizing a wider blend of asset classes, with the objective of achieving our clients' goals with a reduced amount of overall portfolio volatility. We coordinate with our clients and their advisory team of attorneys, accountants and insurance agents to deliver a comprehensive wealth management service. Personal Information: Greg grew up in Pennsylvania and received a BA in economics from Harvard University. He earned his MS in business on a Rotary Scholarship from University College Dublin in Ireland. Greg is a CFA charter-holder and a Peter C Turner, JD Bernstein Private Wealth Management, 555 California St., Ste. 4300, San Francisco, CA Phone: Fax: Web Site: Description of Business: Bernstein provides financial planning and investment management services for high net worth individuals and institutions. The largest independent research firm on Wall Street, Bernstein currently has over $500 billion under management. Personal Information: Mr. Turner is a Financial Advisor and Principal with Bernstein. Prior to joining the firm, he was a partner in the San Francisco law firm of Landels, Ripley & Diamond. Michael H. Zaidlin, J.D., AIF Madrone Investment Advisory, LLC., 1000 Fourth Street, San Rafel, CA Phone: Fax: Web Site: Description of Business: Madrone Investment Advisory provides fiduciary based investment management and financial planning for individuals, trusts and non-profit foundations, also investment management for small business, 401k and pension plans as an ERISA 3 (38) Fiduciary. Services are provided on an annual flat-fee retainer basis, and are not based as a percentage of assets under management. Madrone Investment Advisory is a registered investment advisor. Personal Information: Michael received his J.D. from the University of San Francisco School of Law and is an accredited investment fiduciary. His legal background in estate and tax planning enables him to provide clients with an integrated approach to investment management and financial planning.