Wealth Management Senior Investment Management Specialist

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Wealth Management Senior Investment Management Specialist Powered By Docstoc
     Vice President – Financial Advisor
  Senior Investment Management Specialist
Wealth Management
    September 15, 2010
Where Did We Come From?
   Stock Broker
   Lone Ranger
   Specialist
                   Bud Fox - Wall Street 1987
   Dying Breed
What Is Wealth Management?
              Integrated Financial Guidance Based on Investor Goals

                                Cash Flow                                           Income Tax
                    • Pre-Retirement & Retirement Cash                   • Projections for Tax Efficiency
                    • Flow Modeling                                      • Effect of Changing Tax Laws
                    • Debt Management Review                             • Reduction & Timing Strategies

    Wealth Transfer & Protection                                                                     Retirement
                                                                                      • Capital Sufficiency Analysis
                                                                                      • Benefits Elections & Payout Planning
    • Appropriate Documents in Place
    • Estate Tax Minimization                                                         • Cash Flow Sufficiency & Tax Minimization
    • Wealth Transfer Design
    • Gifting & Charitable Planning

                 Insurance                                                                      Benefit & Stock Option
      • Wealth Replacement Strategies
      • Survivorship & LT Care                                                              • Benefits Maximization
      • Comprehensive Insurance                           Investment                        • Timing of Exercises
      • Coverage Review                                                                     • Option Financing Alternatives
                                             • Investment Policy                            • Hedging Strategies
                                             • Asset Allocation & Diversification
                                             • Tax Sensitive Recommendations
                                             • Strategy for Liquidity

Source: Fifth Third Bancorp
Who Are The Players?
What Do HNW Clients Want?

   Intelligent Advisors
   Responsiveness
   Team Approach
   Market Tested Experience
What Do HNW Clients Want?
   No Selling
   Visionary
   Access To Everything
   Connections
How Do You Gain Entry?
   Internship
   MBA
   Support Function
   Align With Sr. Advisor
   Additional Credentials
   Network - Alumni
The Copper Beech Tree
               Family Wealth - Keeping It in the Family
                       by James E. Hughes, Jr.

If you don’t know what a copper beech tree looks like and you want to see one,
go to Rhode Island and look in the front yards of many Newport mansions. When
fully mature, a copper beech tree is the largest tree in the northeastern forest.
It is a huge gray tree with a beautiful crown of copper-colored leaves that needs
five or six adults, or ten children, holding hands to ring its trunk. Once mature, a
copper beech tree will live for centuries. Why is this beautiful tree my favorite
metaphor for successful long-term wealth preservation by a family? First, think of
the courage it takes to plant a tree that takes 150 years to mature. No one who
plants the tree will ever see it full grown. Second, someone must invest love and
patience to nurture it. Think of the hurricanes, ice and snow, pests, and fire that
may consume the tree while it is too young to withstand those hazards. It needs
help to survive these threats. Third, as it matures it has to contend with humans
who want to cut it down for its wood, and with governments that want to put a road
or a new housing development where it stands. The issues the growing tree faces
parallel those in the unfolding life of a family.
Wealth Management Team
   Jordan Walters, CPA, MBA, BS
   Kurt Carrasquilla, MBA, BS
   Lawrence Lo, BS
   Joe Bummer, BS
   Nick Chin, BS
   Ben Chan, BS (May 2011)
   Darrick Yong, BS (May 2011)
What We Do For Clients
   Financial Planning
   Coordinate With CPAs, Attorneys etc.
   Investment Management
   Family Dynamics - Wealthy Children
What We Do For Clients
   Blocker
   Sounding Board
   First Call
   Psychologist

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