The Pelican Bay Group at Morgan Stanley Smith Barney

Transcription

1 The Pelican Bay Group at Morgan Stanley Smith Barney

2 The Pelican Bay Group at Morgan Stanley Smith Barney 1250 Pittsford Victor Road Building 200, Suite 350, Pittsford, New York / Toll-Free / fax fa.smithbarney.com/pelicanbaygroup What do you look for in an asset management team? Exceptional skill. Accountable performance. Integrity, commitment, and dedication to client service. Advice you can trust. At the Pelican Bay Group at Morgan Stanley Smith Barney, we strive to meet these expectations every day. The best way to do that, we believe, is to ensure that we have outstanding professionals, each with specific expertise and a high level of knowledge. Our business is structured around providing specific, customized advice and forwardthinking portfolio management to the clients we serve. Our practice consists of three business lines: Wealth management for private clients, both international & domestic. Asset Management for other advisors and institutions. Investment Consulting for institutional clients. These are three distinct businesses, unified by a commitment to excellence, with an unwavering belief in accountability and an exceptional client experience. The Pelican Bay Group 3

3 Meet the Professionals Anthony M. Gallea Senior Portfolio Management Director Managing Director Wealth Management Founder of the Pelican Bay Group at Morgan Stanley Smith Barney and Senior Portfolio Management Director at Morgan Stanley Smith Barney s Portfolio Management Group, Tony and his colleagues oversee the investment management of over $1.2 billion for individual and institutional clients as of March Mr. Gallea is also a principal at Pelican Bay Futures Management, a Commodity Trading Advisor registered with the National Futures Association. Mr. Gallea has received numerous industry awards and recognition, and has appeared on CNBC, CNN, Bloomberg Television, National Public Radio, USA Network and AP Radio Network. He has been interviewed by The Wall Street Journal and was the subject of a fullpage interview in The New York Times. Tony also is an accomplished author in the investment field with four books to his credit: The Lump Sum Handbook; Contrarian Investing; The Lump Sum Advisor, and Bulls Make Money, Bears Make Money, Pigs Get Slaughtered. Tony is a native of Rochester, New York and now resides in Miami, Florida. A graduate of the University of Rochester (BA) and Colorado State University (MBA), he is a life member of American Mensa and served as an adjunct professor at St John Fisher s Bittner School of Business in He has been with Morgan Stanley Smith Barney and its predecessor firms since Richard J. DiMarzo, CPM Senior Portfolio Management Director Senior Vice President Richard DiMarzo s practice at Morgan Stanley Smith Barney focuses on asset management and planning for High-Net- Worth Individuals and High-Net-Worth Multi-Generational Families. His team responsibilities include discretionary asset management of fixed income investments, as well as asset management and marketing to property casualty mutual insurance companies. Richard serves as a member of the Corporate Underwriting Committee and the Steering Committee for the annual James P. Wilmot Cancer Discovery Ball. He was recently elected to the National Cancer Advisory Board of the James P. Wilmot Cancer Center. Richard is a Board member of PMI (Portfolio Management Institute) and a 9 year associate member of PAMIC (Pennsylvania Association of Mutual Insurance Companies). He actively writes for the PAMIC Pulse, a monthly publication for Pennsylvania Mutual Insurance companies. Richard began his career in 1986 and has been with Morgan Stanley Smith Barney and its predecessors firms for 25 years. His two sons, Josh and Brian, both work in the financial service industry. He is a graduate of Colgate University in Hamilton, New York where he earned his BA degree in Philosophy and Religion with a concentration in Ethics. 4 MorGan STanley SMiTh Barney

4 Jennifer D. Hartmann, CIMA Senior Institutional Consultant Senior Vice President Jennifer s focus at the Pelican Bay Group at Morgan Stanley Smith Barney in New York is institutional consulting and asset management. Consistent with the Group s focus as a premier asset management teams, Jennifer often consults in a fiduciary capacity to institutional clients. Her strength is advising on and implementing successful investment management strategies. Jennifer manages portfolios on a discretionary basis as a Portfolio Manager in Morgan Stanley Smith Barney s Portfolio Management Program. Jennifer and her partner Stephen Stribling co-manage the team s International and Global Opportunities strategies. Jennifer is a frequent speaker at industry conferences and serves on numerous advisory groups. She is a member of the Economics Club of New York, the Portfolio Management Institute, a past Co-Chair of Smith Barney s Director s Advisory Group and a recurring guest faculty member at the Pennsylvania Banker s Trust School at Bucknell University. From 1998 to 2003, Ms. Hartmann was the Branch Manager of Smith Barney s Pittsford, New York office. She was responsible for recruiting, sales management and the profitability of her branch. Ms. Hartmann started her career in 1992 as an institutional fixed-income trader at Prudential Securities before joining Morgan Stanley Smith Barney and its predecessors in Ms. Hartmann earned her Certified Investment Management Analyst (CIMA) Certification through the Wharton School and received her BA in Economics from the University of Pittsburgh. She is currently enrolled in the online MBA Program at UMass Amherst and expects to receive her MBA in Jennifer is a native of Rochester, New York. She maintains offices and residences in both New York, NY and Rochester, NY. Stephen L. Stribling, CPM Senior Portfolio Manager Vice President Stephen Stribling is a Vice President and Senior Portfolio Manager for the Pelican Bay Group at Morgan Stanley Smith Barney offices in Denver, Colorado and Dallas, Texas. He has over twenty years experience in the financial services industry. Mr. Stribling works with a number of Financial Consultants within Morgan Stanley Smith Barney and manages equity portfolios for individuals, corporations and trusts both internationally and domestically. He is a Certified Portfolio Manager*; Fiduciary Portfolio Manager with CITI Trust services and manages corporate executive s complex financial needs as a Corporate Client Group Director. Stephen is also on the Executive Board of Governors of the Portfolio Management Institute and recently completed his term as President of the Portfolio Manager Institute. Prior to joining the Pelican Bay Group, Stephen was Branch Manager for Morgan Stanley Smith Barney and was responsible for opening the firm s corporate services branch in Plano, Texas. In this capacity, he oversaw more than one billion dollars in assets and clients including 10+ Fortune 500 companies. Mr. Stribling earned his BA in Finance from Indiana University and his Certified Portfolio Manager designation from Columbia University. He was the controller for one of the largest real estate firms in Texas. Mr. Stribling is married with two children. Paul M. Hanrahan, CRPS Professional Alliance Group Director Vice President As a Financial Planning Specialist within the Pelican Bay Group at Morgan Stanley Smith Barney s Pittsford, New York office, Paul works primarily with fiduciaries, high-net-worth individuals, highly affluent families and small-to-medium size businesses. Along with his colleague, Jennifer Hartmann, Paul is a managing partner of The Pelican Bay Group. Paul assists in overseeing an active private client practice in excess of 900 households, both nationally and internationally. His work with Certified Public Accountants throughout New York and Massachusetts helps to provide Paul the platform in which to incorporate all aspects of the financial planning process. He also continues to focus his efforts on small- to medium-size businesses in New York and Massachusetts regarding their retirement plans and the participant education process. Mr. Hanrahan began his career in the Financial Services Industry in 1994 with Prudential Securities in Rochester, NY as a. His career with Prudential Securities culminated as a Branch Manager, providing leadership to a 40-person office. At that time, Paul was one of the youngest Branch Managers in the firm s history. Mr. Hanrahan resides in Brighton, New York with his wife, Katy, and their four children. 6 Morgan Stanley Smith Barney The Pelican Bay Group 7

5 Russell Smith, CFA Portfolio Management Associate Russell Smith is a Portfolio Management Associate with the Pelican Bay Group at Morgan Stanley Smith Barney in Pittsford, New York. He joined the firm in He has a Masters of Business Administration degree from the Rochester Institute of Technology and is a holder of the Chartered Financial Analyst (CFA) designation. Mr. Smith provides investment management, analysis and trading support for the Portfolio Management platform. He is currently incubating an all cap growth equity style and works with Richard Dimarzo on the management of the fixed income portfolios. Additionally, Mr. Smith is responsible for execution of the group s block trading in the equity, options and fixed income markets. Mr. Smith interacts on a daily basis with his professional counterparts at banks, trust companies and investment management firms, serving the Group s institutional clients. In this capacity, Mr. Smith is responsible for answering the daily investment needs of the Group s client base. Tara L. Nemergut Consulting Group Analyst Tara Nemergut is a Consulting Group Analyst. She joined the firm in She has successfully completed the Series 7 and Series 63 examinations, and Morgan Stanley Smith Barney s Consulting Group Correspondence Course. Tara is also a Notary Public. Tara assists the team s financial advisors in manager search, selection, due diligence and analysis for the team s institutional relationships. In addition, she is responsible for the Group s use of Morgan Stanley Smith Barney s PM Trade system, where all Group-managed accounts are analyzed and traded. Nominated as the delegate on behalf of the Pelican Bay Group, Tara attends Consulting Group National meetings attended by CG Analysts and professional money managers. She is a graduate of Monroe Community College, where she earned her AS in Legal Studies. Rebecca Michel Group Administrator Rebecca Michel began her career with the firm in 2010 and has completed the Series 7 and Series 63 examinations. Becky has been in the financial services industry for 16 years. She is a graduate of Rochester Institute of Technology where she earned her Bachelor of Science degree in Accounting. Becky is responsible for overseeing all of the group s administrative and operational activities. She independently helps to develop, communicate and implement procedures to best meet the logistical and administrative needs of clients and team members. Becky serves as a liaison between advisors, support staff and branch management, keeping all apprised of the status of projects and proactively communicating any follow up issues and next steps. Becky also coordinates and manages the support staff functions of the group. In her free time, Becky enjoys spending time with her husband and two sons. She also competes in sprint triathlons and is training for her first half marathon. 8 MorGan STanley SMiTh Barney

6 Karen L. Peterson Senior Registered Associate Karen Peterson joined the firm in Karen has successfully completed the Series 7 and Series 63 examinations, and Morgan Stanley Smith Barney s Advisor Support Staff Certification Program. In 2006, Mrs. Peterson continued her commitment to ongoing professional development and received the designation of Financial Planning Associate. Mrs. Peterson provides Anthony Gallea and Jennifer Hartmann with administrative and operational support. She works with institutional clients to provide full customer support and resolve operational queries. In addition, Karen provides high quality customer service to the high net worth clients of Richard DiMarzo and Paul Hanrahan. Suzanne Smith Senior Registered Associate Suzanne Smith joined the firm in She has successfully completed the Series 7 and Series 63 examinations, and Morgan Stanley Smith Barney s Advisor Support Staff Certification Program. Mrs. Smith provides Richard DiMarzo and Paul Hanrahan with administrative and operational support for their private clients. Sue provides customer service by utilizing her attention to detail to help investigate and resolve questions and operating issues. Her primary focus is communicating with clients. Jeanette L. Cox Senior Registered Associate Jeanette joined Morgan Stanley Smith Barney and its predecessors in 1997 and has since achieved her Series 7 and Series 66 registrations. Her title of Senior Registered Associate reflects her ability to provide skillful handling of all client administrative needs including trade executions and her dedication to providing a high level of service to all clients. Jeanette is committed to achieving continued professional development. She is constantly adding to her knowledge, depth and breadth of her experience within the financial industry. Over the years Jeanette has become proficient in the firm s operational systems for the benefit of our clients. She is involved within the branch in new hire training on all managed account platforms. Jeanette is also trained to assist with Consulting Group technical analysis. Jeanette was born and raised in Denver, Colorado. Her ties to Denver run deep with her large extended family. She is a mother of two young boys who keep her extremely busy in her personal time. She is very involved in their education and extracurricular activities. Jeanette and her boys have recently taken up the sport of golf which they enjoy learning together. Jeanette and her husband Donavan immensely enjoy family time, traveling and exploring with their little ones. 10 MorGan STanley SMiTh Barney

7 A Specialized Approach Wealth Management for Private Clients Our goal for private clients is to simplify their financial lives, provide appropriate investment growth, income and capital preservation during their working years and on through retirement. Our mission is to help clients succeed in their quest for financial security, by providing proven financial advice and successful portfolio management. Many of our private clients are international. While international clients have many of the same needs as our US-based clients, varying cultures, laws, and regulations demand a deeper and more wide-ranging skill set for an advisor. The Pelican Bay Group has been working with international clients since We have private client relationships in Europe, Latin America, Asia, and Africa. Asset Management for other Advisors and Institutions Fee-based portfolio management is at the core of our business. The Pelican Bay Group at Morgan Stanley Smith Barney includes Financial Advisors who are also Portfolio Managers. Each partner focuses on a different area of the markets with asset specialization ranging from equities to fixed income, to options and commodities managed with a variety of distinct styles and disciplines. Across all styles, we strive to both grow and protect our clients assets. We are known for thoughtful, tactical investment management that at times may challenge commonly held perceptions. We are among a select group of Morgan Stanley Smith Barney Financial Advisors who have been recognized for exceptional training, experience and commitment to service, and are backed by the vast resources of a global investment leader. Investment Consulting for Institutional Clients With a highly credentialed and dedicated team of professionals, the Pelican Bay Group provides consulting services to institutional clients, including banks, foundations, endowments, accounting firms, government, Taft Hartley plans and corporations. We are known for providing objective consulting and strategic advice. We offer an open-architecture, separate account money management platform for banks and trust companies. We also provide wide-ranging advisory and consulting work for retirement plans. When appropriate, we will enter into professional alliances with other firms to offer clients a deeper palette of services. 12 MorGan STanley SMiTh Barney

8 At Pelican Bay Group at Morgan Stanley Smith Barney, our focus is on what matters. We believe that accountable and thoughtful investment advice is the hallmark of a successful client relationship. We strive to offer meaningful guidance that keeps clients ahead of the curve, by combining forward-thinking analysis with a relentless commitment to helping your clients reach their investment goals. 14 Morgan Stanley Smith Barney

9 Morgan Stanley Smith Barney offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please contact us to understand these differences. Morgan Stanley Smith Barney LLC ( Morgan Stanley Smith Barney ) is a registered broker-dealer, not a bank. Where appropriate, Morgan Stanley Smith Barney has entered into arrangements with banks and other third parties to assist in offering certain banking-related products and services. Unless otherwise specifically disclosed to you in writing, investments and services offered through Morgan Stanley Smith Barney, member SIPC, are not insured by the FDIC, are not deposits or other obligations of, or guaranteed by, banks and involve investment risks, including possible loss of principal amount invested. Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Smith Barney s do not provide tax or legal advice. This material was not intended or written to be used for the purpose of avoiding tax penalties that may be imposed on the taxpayer. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters Morgan Stanley Smith Barney LLC. Member SIPC /11