The Whalen Group at Morgan Stanley Smith Barney
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1 The Whalen Group at Morgan Stanley Smith Barney
2 125 High Street 24th Floor, Boston, Massachusetts / Main / Toll-Free / fax whalengroup kevin.whalen@mssb.com
3 As your portfolio has grown, so too has its complexity and the resources needed to manage it. As Financial Advisors, we have the knowledge, experience and commitment necessary to manage your investments on an ongoing, fully discretionary basis, providing you with objective advice on critical financial matters. Working closely with you, we will develop an investment strategy focused clearly on your objectives one that reflects your lifestyle expectations, cash flow needs, risk tolerance and aspirations for your family. From there, we will help you build a portfolio informed by the resources and insight available from Morgan Stanley Smith Barney, one of the world s largest financial firms. When you look at wealth management from a long-term perspective, one thing becomes clear: it s your future, not just your money. And over time, we can help you navigate the noise and distractions of challenging markets, providing a disciplined sense of focus on what s most important your progress toward your goals. The Whalen Group 3
4 Meet the Professionals With our experience in investment management, our team can help translate your objectives into strategies and solutions that make sense for you. We offer you a perspective developed over multiple market cycles, a thorough understanding of asset allocation and risk management, and an ability to refine your strategy as your needs and the financial markets change. In short, you will work with professionals who can provide a steady hand guiding you toward your investment goals. 4 Morgan Stanley Smith Barney
5 Kevin J. Whalen Financial Advisor Senior Vice President Senior Portfolio Manager A fully licensed investment professional since 1985, Kevin implements wealth management strategies for clients by concentrating on portfolio management and asset allocation. Clients appreciate his consultative approach in helping them reach their objectives to grow and preserve wealth. Kevin graduated from the University of Buffalo with a Bachelors degree in English literature. He began his career as a financial advisor when he joined Shearson Lehman Bros., a predecessor firm. In 2009, he served on the firm s Financial Advisory Council. This select group of Financial Advisors partnered with senior management to assist in the establishment of policies defining the merged cultures of Morgan Stanley and Smith Barney. Kevin is President and chairs the Board of Directors of 826 Boston, a nonprofit organization dedicated to assisting Boston Public School students. He is also a member of the Board of Visitors of New England Baptist Hospital. Kevin and his wife Ellen live in Hingham, MA with their three daughters. kevin.whalen@mssb.com The Whalen Group 5
6 Trevor D. Byrne Financial Advisor A graduate of Dartmouth College in Hanover, NH, Trevor joined The Whalen Group at Morgan Stanley Smith Barney to offer financial planning and advisory services to his clients. Trevor is a fully licensed investment professional holding FINRA securities licenses 7, 31, and 66 as well as insurance licenses for life, accident, and health. Trevor s responsibilities include new business development, investment strategy implementation, financial planning, hedging and monetization of concentrated equity positions, wealth preservation, and risk management. Prior to joining Morgan Stanley Smith Barney, Trevor was an Associate with a boutique Private Equity Advisory firm offering financial consulting services to emerging market enterprises and those institutions which support them. Additionally, Trevor was responsible for the design, implementation, and management of a joint venture with USAID and the Overseas Private Investment Corporation (OPIC) to provide grant funding for entrepreneurs in sub-saharan Africa. Prior to his career in finance, Trevor was a professional hockey player under contract with the St. Louis Blues, Washington Capitals, and Dallas Stars. During his tenure, Trevor was elected as a representative for the Professional Hockey Player s Association. Trevor lives with his wife, Hannah, in Hingham, MA where he sits on the town s Recreation Commission. trevor.byrne@mssb.com Morgan Stanley Smith Barney
7 Brian M. Znoj, CFA Portfolio Management Associate A graduate of Bentley University with a Bachelor of Science degree in Finance, Brian is a fully licensed investment professional. He began his career in 2000 and has worked with The Whalen Group at Morgan Stanley Smith Barney since Brian s responsibilities focus his talents on equities research, executing securities trades, and information technology application. He also collaborates with Kevin on all aspects of portfolio management and strategy. Brian is a member of the Boston Security Analysts Society. In 2007, he earned the right to use the Chartered Financial Analyst designation. An avid sports fan, Brian and his wife Stephanie enjoy living in Mansfield, MA with their three children. brian.znoj@mssb.com John C. Cognata Senior Client Service Associate John s multifaceted duties include managing client operational requests and overseeing improvements to client service quality. After graduating from Burdett College with an A.S. in Business Administration, John worked at an automobile leasing company and his professional experience in the financial services industry began in John has worked with The Whalen Group since 2001, and his talents proved vital in 2007 when Kevin moved his practice. John s interests include vintage cars, movies, and home improvement projects. Together with his wife Viviana and their two sons, they built a house in Melrose, MA where they enjoy the town and its proximity to Boston. john.cognata@mssb.com The Whalen Group 7
8 Our Consultative Process Charting a prudent course to financial independence requires a well-conceived, personalized plan with defined long-term goals. Our wealth advisory consultative process can help you design a cohesive plan for the future that includes: 1 Discovery Before our first meeting, we suggest that you take a fresh inventory of your wealth, including where each asset is located and what it is worth. At that meeting, we will begin by exploring many questions to try to capture what matters most to you and fully understand what you want to accomplish with your wealth. We will talk about you, the kind of lifestyle you enjoy, what worries you and what you are passionate about. Our conversation will also explore your values, key relationships, total assets, preferred manner of communication, as well as identify the other professional advisors with whom you work. That way, our team can help you determine how all the facets of your financial situation could dovetail effectively. 2 Analysis and recommendation Based on our discussion, the team will analyze your personal and financial information, including liabilities, and assess risks and identify potential threats to your financial health. We will present you with a personalized plan that can help address your income and cash flow needs, borrowing requirements, asset protection, retirement planning, wealth transfer, philanthropy and other areas beyond investment management. By taking the additional time to carefully review these topics, we hope to make you comfortable with proposed investment strategies and service providers before implementing your wealth plan. 8 Morgan Stanley Smith Barney
9 3 Implementation After you have approved your wealth plan, we will work closely with you to implement it, bringing an objective approach, and paying special attention to how the various parts of your plan can affect, enhance and integrate with each other. Wherever appropriate, we will suggest seeking additional, in-depth advice on particularly complex issues we have identified, including familydynamics, estate planning, lending, tax planning strategies and more. Whatever approach we decide on, the team will help you keep your investments on track. 4 Reviewing objectives We believe that ongoing communication is a vital component of our ongoing relationship, and we are committed to keeping abreast of your changing financial needs. Your financial documents provide the foundation for regular meetings, and the team will review your portfolio at your request and whenever you feel that your circumstances have changed. We will then seek to make certain that your assets are positioned according to your evolving needs. If necessary, we will suggest adjustments to your strategy to address changes in your circumstances or your objectives.
10 For Life s Most Important Goals With an experienced professional and the right resources, reaching your most important goals can be less challenging and more rewarding. We are ready to help you meet your goals, by combining our insight into your needs with the resources of Morgan Stanley Smith Barney. Setting a confident course Thorough, thoughtful planning planning that analyzes where you are as well as where you want to go is the most important step in establishing a path to your goals. We will work with you to explore and define your objectives and needs, and then structure a plan that is uniquely your own. Balance sheet analysis Retirement planning Education planning Multigenerational planning Managing the rewards of success Managing an investment portfolio should be a consultative, disciplined process that balances your attitudes and goals as an investor with careful analysis of the financial markets and the risks and opportunities they hold for you. You can rely on us for objective strategic advice in structuring your portfolio and for careful analysis of any investments we consider together. Asset allocation Investment management Traditional investments Alternative investments Shaping your retirement Together, we can work to make decisions that could help you move toward the retirement you expect. Whether you are building retirement wealth or making the transition to generating income from your assets, we can help you develop and implement a strategy based on your vision of retirement. IRAs: Traditional Roth IRA rollovers Roth conversions 10 Morgan Stanley Smith Barney
11 Building a unique legacy Estate planning typically brings together the dimensions of life: personal, family, financial and charitable. We will work with you to understand the connections between your life and legacy goals, and work with your accountant and attorney to help you develop a strategy to position your portfolio appropriately. Strengthening your business The links between business ownership and personal wealth are many and complex. Whether your objective is to grow your business, realize its value through a succession strategy or sale, or maintain family ownership by the next generation, we can examine your alternatives in light of both business and personal objectives. And, should circumstance require it, we can use the access to banking services of Morgan Stanley Smith Barney. Retirement plans Strategic consulting and transactions
12 Morgan Stanley Smith Barney strives to offer clients the finest in financial thinking, products and execution to help them meet their individual needs and achieve their personal financial goals. When we work together, you ll benefit from personalized advice, objective guidance and dedication to your success as an investor. With access to Morgan Stanley Smith Barney s renowned global resources and investment opportunities, we can help you develop and maintain an optimal investment strategy. Our wealth management strategy will address key areas of your financial life beyond traditional investments and may incorporate diverse recommendations for building and protecting your wealth. 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, its affiliates and Morgan Stanley Smith Barney Financial Advisors 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 ( 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. Member SIPC /11
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