Private Wealth Management

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1 Private Wealth Management

2 PRIVATE Wealth Management SERVICES Your Trust Is Our Greatest Asset The most important element in developing and executing a plan that anticipates your future financial needs is trust in your advisor. TWP Private Wealth Management has highly experienced professionals our average Managing Director has more than 20 years of experience. We have developed a differentiated consulting approach that recognizes our clients interests first. We also place great emphasis on protecting our clients confidentiality. Our Mission: Putting Your Needs First The mission of TWP Private Wealth Management is to help our clients protect and build their personal wealth. We recognize the importance of understanding the correlation between your assets and the financial markets. We offer an array of strategic wealth management services, driven by our principle to offer independent advice of the highest caliber. Benefitting Our Clients Our clients include families, foundations, and institutions, as well as wealthy individuals from founders, directors, and officers of multi-billion dollar corporations to partners at prominent venture capital firms. In total, we advise over $3 billion in assets. Private Wealth Management 01

3 Unique Experience to Fit Unique Financial Situations The Private Wealth Management group is comprised of a trained team of professionals who have extensive experience addressing the specific needs of business owners and entrepreneurs in the management of their wealth. We develop portfolio strategies and restricted stock sales plans for our clients that are tailored to the changing market environment and to the needs of each individual client. Our hand-selected team of investment professionals is experienced in addressing the unique needs of newly created wealth. We have over $3 billion in assets under advisement and specialize in delivering customized services stressing capital preservation through prudent planning. Private Wealth Management 02 Breadth of Clientele High net worth individuals, families, foundations, and trusts Public and private corporations Venture capital firms, hedge funds, and money managers Full Range of Wealth Management Services Brokerage Services Restricted securities transactions (Rule 144 and 145) 10b5-1 sales plans development and execution Hedging and monetization strategies Tax and Estate Planning Strategies Pre-IPO and pre-m&a tax planning Implementation of estate planning objectives Sophisticated gifting strategies and vehicles to accomplish estate and charitable goals Investment Management Consulting (IMC) Strategic asset allocation Manager evaluation and selection Open architecture platform in traditional long-only and alternative asset classes Customized portfolio strategies for unique client needs Ongoing portfolio evaluation and review Alternative Investments Access to hedge fund-of-funds, direct hedge funds, and private investments Wide variety of strategies and ongoing sourcing of new investments

4 Our Investment Process Investment Planning and Consulting Ongoing Performance Analysis and Review Review portfolio structure and evaluate performance Develop a well-reasoned plan based on realistic expectations and narrow the field of investment alternatives Hire independent investment managers to ensure the integrity of our service Identify efficient combinations of investments and evaluate multiple strategies Long-Term Strategic Asset Allocation Investment Manager Evaluation and Selection Our Investment Process 03

5 INVESTMENT MANAGEMENT CONSULTING An Independent Approach We believe that wisdom and insight outweigh instinct. Our recommendations are driven by a disciplined methodology. Our analysis of your overall position and specific needs, filtered through our experience and perspective, translates into a tailor-made portfolio balancing return, risk, and liquidity parameters. Our hand-picked asset managers and funds go through a rigorous due diligence process conducted by Rocaton Investment Advisors an independent investment consulting firm advising over $300 billion in corporate assets. Your Plan The first step in the process is to create a customized plan that encompasses and anticipates your financial needs. This requires insight and begins by asking important questions about your entire financial portfolio. We develop sophisticated strategies aimed at maximizing asset preservation across generations and have extensive experience in bringing creative, pragmatic solutions to complex situations. Our Review Process: An Ongoing Commitment As your needs change, it is critical your investment plan remains consistent with your goals and objectives. We continually monitor the markets and your individual positions evaluating manager performance, assessing new opportunities, and providing you with detailed account statements and consolidated performance reports. Stifel Nicolaus is not affiliated with Rocaton Investment Advisors. Investment products and services are offered through TWP Private Wealth Management, a Division of Stifel Nicolaus. Investment Management Consulting 04

6 MEMBER SIPC AND NYSE One Montgomery Street San Francisco, California (415)