Our Mission. About Morgan Stanley Wealth Management

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1 Our Mission Our Approach About Morgan Stanley Wealth Management As an affluent investor, you seek greater simplicity, customized strategies and a high level of service. As your committed financial advisors, we will provide you with experienced and knowledgeable financial advice and quality service, delivered with integrity. We are more than just a wealth management team: it s a distinct philosophy about both money management and the processes by which we help you protect and grow your hard-earned wealth. We believe that all investments must start with a financial plan and that this financial planning process must first and foremost start with you. We will: 1 Understand and define your goals and objectives 2 Develop a customized and transparent financial plan 3 Tailor asset allocation and select appropriate investments 4 Monitor your investments for performance and risk 5 Review your financial plans for changing needs and concerns Morgan Stanley Wealth Management is run as a stand-alone organization within Morgan Stanley, with its own balance sheet, broker dealers and senior management. The Morgan Stanley Global Wealth Management Group combines businesses that have: 1 16,284 highly skilled s. 691 offices around the world. $3.5 billion in quarterly net revenues. $597 million in quarterly income before taxes. $1.8 trillion in client assets. $126 billion in bank deposits. Whether you re looking for simple financial solutions or the most sophisticated kinds of investments and financial planning, Morgan Stanley Wealth Management serves as your gateway to some of the most robust intellectual capital and global resources in the industry, 1 As of March 31, The Financial Strengths of Morgan Stanley Wealth Management 225 West Santa Clara Street, Suite 900, San Jose, CA Tel Fax Morgan Stanley Smith Barney LLC. Member SIPC.

2 Your Team at Morgan Stanley Wealth Management Raised in Europe and Asia and fluent in several languages, Alma Guimarin brings an expansive view and enduring passion to her 26 years as a financial advisor. As a Certified Financial Planner (CFP ), Certified Investment Management Analyst (CIMA ), and members of the Morgan Stanley Wealth Management President s Council and Business Owner Executive Council, she has the resources to meet the complex needs of wealthy individuals and businesses. Alma provides her clients with a wide range of services, including estate planning strategies, retirement, education planning, and charitable giving. In her view, managing risk goes beyond the financial markets. For example, she helps her clients have the appropriate legal and financial arrangements in place designed to help achieve their stageof-life and investment goals. Perhaps this is why many of them have been with Alma for a decade or more. Likewise, Alma has built a loyal and tight-knit support team at Morgan Stanley Wealth Management. Alma Guimarin, CFP, CIMA Senior Vice President Portfolio Management Director She is a member of the Investment Management Consultant Association and the Association of Professional Investment Consultants. Alma studied Economics at Syracuse University and graduated cum laude, and with honors. Outside of work, Alma sits on the executive board of the Santa Clara County Council of the Boy Scouts of America. A former captain in the U.S. Air Force and California native, Michael Ross takes a disciplined approach to investing and managing client relationships for 26 years at Morgan Stanley. Michael joined Morgan Stanley Wealth Management s Portfolio Management Program in 1997 and earned his Certified Investment Management Analyst designation from the Wharton School of Business in Two years later Citigroup Trust Company tapped him for the role of Fiduciary Portfolio Manager. He co-found the Portfolio Management Institute (PMI), of which he is a past president. He is also co-founder of the Academy of Certified Portfolio Managers and current President. He works extensively on portfolio management topics with Columbia University. Michael P. Ross, CPM Senior Vice President Senior Portfolio Management Director Michael has earned a seat on the Morgan Stanley Wealth Management President s Council and the 2009 Bill Eager Award as Portfolio Manager of the Year from the Portfolio Management Institute based on his dedication and commitment to the client and passion for the markets. He is also a member of the Chartered Financial Analysts Institute and the Investment Management Consultant Association. Michael holds a Bachelor of Science Degree from the U.S. Air Force Academy, Colorado Springs, Colorado, and a Master of Arts Degree from State University of New York.

3 Scott McCoy, CFP, Director - Wealth Management/Portfolio Manager, is a member of Morgan Stanley Wealth Management s 2012 Chairman s Club. He also holds the title of Portfolio Manager and brings over 20 years of fixed income experience to The Tribeca Group s clients. Before joining the firm in 2008, Scott was a Senior Managing Director and institutional fixed income salesperson in the Middle Markets Group at Bear Stearns. There, he served the fixed income needs of institutional clients, including depository institutions, money managers, insurance companies, and hedge funds. Prior to that, he traded government bonds at Citicorp Securities where he was responsible for the short coupon sector. Scott McCoy, CFP Executive Director Portfolio Manager A graduate of Holy Cross College, Scott holds a J.D. from St. John's University and an M.B.A. from New York University. Jordan Eisenberg, CFA, Senior Vice President of Wealth Management/ Portfolio Manager, is a member of Morgan Stanley Wealth Management s 2012 Chairman s Club. He also holds the title of Portfolio Manager and brings over 10 years of fixed income experience to The Tribeca Group s clients. Before joining the firm, Jordan was an Director at Bear Stearns, where he helped institutional clients develop fixed income strategies utilizing high yield and investment grade corporate bonds, as well as interest rate products including treasuries and mortgage-backed securities. Jordan Eisenberg, CFA Senior Vice President Portfolio Manager He holds the Chartered Financial Analyst designation, and is a member of the CFA Institute and the New York Society of Security Analysts. Jordan is a graduate of the University of Florida where he received a B.S. in Business Administration.

4 Scott Anderson Senior Registered Client Service Melissa Harrington Senior Registered Laurie Heinly Group Administrator Arnell Land Portfolio Management Malissa Magallanez Senior Client Service Lisa Morse Senior Client Service Greg Tuck Registered

5 This image cannot currently be displayed. Yunjin is the Tribeca Group s dedicated Consulting Group Analyst. She provides in-depth credit as well as technical analysis of investment grade and high yield bonds. Ms. Lee helps to provide recommendations on individual security selection, particularly concerning capital structure decisions. In addition, Ms. Lee has earned the prestigious Morgan Stanley Wealth Management Consulting Group Analyst designation and researches outside money managers whom we might recommend for various components of your portfolio. Jeff Tinker is a at Morgan Stanley Wealth Management. Jeff has over 7 years of fixed income experience and is responsible for managing relationships between the Tribeca Group and its institutional and high net worth clients. He works with clients to help determine appropriate asset allocations and fixed income strategies. Before joining Morgan Stanley Wealth Management, Jeff was an account executive at a boutique investment bank specializing in municipal bonds. Yunjin Lee, CFA Consulting Group Analyst Ms. Lee joined Morgan Stanley Wealth Management in 2009 after working in Barclay Capital s High Yield Credit Research Department as a trading desk and publishing analyst. Previously, she served as a management consultant at Bain & Co, formulating corporate strategies globally. A graduate of Korea University, Ms. Lee received an M.B.A. with a concentration in Finance from the Wharton School of the University of Pennsylvania. Jeff Tinker Prior to that, he spent 4 years at Bear Stearns working in fixed income sales, advising third party portfolio managers on treasuries, high-grade corporate bonds, municipal bonds and mortgage-backed securities. Jeff graduated from Colgate University and received Bachelor of Arts degrees in Economics and Sociology. He currently holds Series 7, Series 63 and Series 65 registrations. Nick Troiano is a at Morgan Stanley Wealth Management. Nick brings over 12 years of financial services experience to the Tribeca Group. His responsibilities include managing high net worth client relationships and developing and implementing asset allocation and fixed income strategies on behalf of Tribeca Group clients. Nick earned his J.D. at Brooklyn Law School and passed the New York Bar in He earned his undergraduate degree at Boston University where he majored in Political Science. He Nick Troiano currently holds Series 7, Series 63 and Series 65 registrations. Adam Waldman Portfolio Management Adam Waldman is a Registered and has earned the designation of Financial Planning. He provides important assistance to our Portfolio Managers in the areas of portfolio analytics, trade executions and market data tracking. In addition, he works directly with The Tribeca Group s institutional clients to help provide them with trade executions, greater understanding of market conditions and reporting services. Adam joined Morgan Stanley Wealth Management in 2007 after working with a family office where he assisted senior advisors with investment research, performance reporting and asset allocation analysis. He is a graduate of Stephen M. Ross School of Business at the University of Michigan where he received a B.S. in Business Administration.

6 Relationships are built over many years. We want to establish an association with individuals, families and businesses with long term perspectives. The selection of an advisor is one of great importance and should be made with as much data as is available. There are many advisors. Hire based on the people and their experience because they are who you will be working with. We are looking forward to a prosperous and long-lived relationship. The investments listed may not be suitable for all investors.