Joseph J. Tiedemann Senior Director Investments Senior Portfolio Manager OMEGA Group OMEGA Management Fundamentals
Why OMEGA Portfolio Management?
OMEGA Portfolio Management Overview The OMEGA Group is a program through Oppenheimer & Co. Inc., that offers a managed money program in which experienced Financial Advisers act as a portfolio manager for their clients. OMEGA is a personalized investment management service designed to match an investor s objectives at a comfortable level of risk by working with an OMEGA portfolio manager.
OMEGA Portfolio Managers Overview OMEGA managers develop a client s investment profile to identify investment objectives and expectations regarding the capital markets. OMEGA managers develop a target asset allocation strategy that matches a client s risk/return preference to pre-established asset allocation guidelines. OMEGA managers construct an investment portfolio that is actively managed in line with developments in the capital markets. OMEGA managers review the performance of a client s portfolio on a quarterly basis. OMEGA wrap-fee arrangement is cost effective and all-inclusive.* *Adopting a fee-based account program may not be suitable for all investors; anticipated individual commission costs should be compared to anticipated annual fees.
OMEGA Portfolio Managers Client Investment Profile Identifies investment objectives. Identifies expectations/understanding of capital markets. Identifies circumstances unique to the client that may influence management of the portfolio.
OMEGA Portfolio Managers Target Asset Allocation Identifies client s risk/return preference. Link s client s risk/return preference to appropriate long-term asset allocation guideline
OMEGA Portfolio Managers Investment Portfolio Reflects long-term asset allocation strategy. Actively managed in line with developments in the capital markets.
OMEGA Portfolio Managers Quarterly Performance Report Compares investment performance of the portfolio to previously established investment objectives. Allows for any changes in the client s situation to be incorporated into the ongoing investment management process.
The OMEGA Group Selection Process Step-by-Step Review of Investment Manager Step 1: Gather Initial Information Step 2: Committee Review Step 3: Investment Manager Interview Step 4: Review Assets Under Management Step 5: Final Approval
The OMEGA Group Selection Process Investment Process Research process. Decision making process Buy and sell disciplines Consistent application of investment process Well articulated
The OMEGA Group Selection Process Client Service Access Communication Chemistry Average fee and account size
The OMEGA Group Selection Process Performance Consistent with stated process Peer group comparison Risk adjusted returns Composite analysis
The OMEGA Group Selection Process On-Going Monitoring Security Review Monthly report Annual committee review Performance analysis
OMEGA Portfolio Manager Wrap-Fee Arrangement All-inclusive. Fully discloses all costs associated with managing the portfolio. Cost effective and convenient.
OMEGA Portfolio Managers Types of Accounts Managed Trusts Foundations Corporations Retirement Plans Individual Accounts
Investment Management Process Summary Client s Needs & Goals Performance Monitoring Oppenheimer & Co. Inc. Financial Adviser & Portfolio Management Process Asset Mix OMEGA Manager
Important Information This information is intended for informational purposes only. The information provided herein is general in nature and should not be construed as a recommendation or an offer or solicitation to buy or sell any securities nor does it represent legal or tax advice. Oppenheimer & Co. Inc., nor any of its employees or affiliates, does not provide legal or tax advice. However, your Oppenheimer Financial Adviser will work with clients, their attorneys and their tax professionals to help ensure all of their needs are met and properly executed. The OMEGA Group is a program through Oppenheimer & Co. Inc. It offers a managed money program in which experienced Financial Advisers act as portfolio managers for their clients. Please refer to the Oppenheimer ADV Part II for information about the advisory program described herein, including program fee schedules and other fees that may apply. The Oppenheimer ADV Part II is available from your Oppenheimer Financial Adviser. Adopting a fee-based account program may not be suitable for all investors; anticipated individual commission costs should be compared to anticipated annual fees. For further information about the products/programs available and their suitability for your portfolio, please contact your Oppenheimer Financial Adviser. Any discussion of securities, including any hedge funds or other alternative investments should not be construed as a recommendation or an offer or solicitation to buy or sell interest in any such securities. Securities products offered or sold by Oppenheimer will not be endorsed or guaranteed by Oppenheimer and will be subject to investment risks, including the possible loss of principal invested. Alternative investments are made available only to qualified investors and involve varying degrees of risk. Oppenheimer Asset Management Inc. (OAM) and the Oppenheimer Trust Company are wholly owned subsidiaries of Oppenheimer Holdings Inc., which also wholly owns Oppenheimer & Co. Inc (Oppenheimer), a registered broker/dealer and investment adviser. Securities are offered through Oppenheimer. 2010 Oppenheimer & Co. Inc. Member of All Principal Exchanges and Member SIPC. G33092109RM2 10-PITCH-09