The Princi Group at Morgan Stanley

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1 The Princi Group at Morgan Stanley

2 53 State Street 39th Floor, Boston, MA / MAIN / TOLL-FREE / FAX peter.b.princi@morganstanley.com

3 Our practice offers the intimacy of a boutique, coupled with the resources of one of the premier investment firms in the world. We help high net worth clients and institutions navigate the noise that purveys Wall Street and build customized investments strategies within the context of each client s goals, objectives and risk tolerance. Together, we will explore a broad range of topics that are likely to influence your financial future from your family situation to your career aspirations, from likely education expenses to the retirement you ultimately envision. What we learn will become the foundation for a financial and investment strategy based on who you are and where you want to go. Only then will we talk with you about the details of investing: how much risk makes sense, your asset allocation, and which investments are right for your portfolio. We believe that working together helps to provide you with access to possibilities of potential solutions, and helps to ensure that you benefit from high levels of service. THE PRINCI GROUP 3

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5 Meet the Professionals Peter B. Princi, CIMA Senior Portfolio Management Director Managing Director - Wealth Management Financial Advisor Peter graduated from Wake Forest University with a degree in Business Finance and has earned the designation of Certified Investment Management AnalystSM from The University of Pennsylvania Wharton School of Business. He joined Smith Barney in 1997 as an intern and had the opportunity to observe and learn from a 30-year veteran how to best serve clients and engage them in all areas of the asset management process. This opened Peter s eyes to the sense of empowerment and the potential rewards of building a business in wealth management. After finishing his baseball career with the NY Mets in their minor league system Peter joined Smith Barney full time in Over the last 14 years he has built from the ground up a wealth management team, The Princi Group at Morgan Stanley, consisting of nine members managing over $3.0 billion in assets (as of 10/29/2014) for 150 clients made up of individuals, families and institutions. He was most recently named in Barron s 2015 Top 100 Financial Advisors and in On Wall Street s listing of Top 40 Advisors Under 40 for 2014, where he ranked #1 in the country. From 2009 to 2014 he has been ranked on the prestigious Barron s Magazine Top 1200 Financial Advisors list (ranking 9th in MA in 2014). He has also been named in Registered Rep s Top 40 Wirehouse Advisors Under 40 for 2013 where he was ranked #1. As a Senior Portfolio Management Director, Peter is an avid student of the capital markets allowing him to define his investment process involving a focus on investment research, security and manager selection, asset allocation and portfolio construction. The result is individual tactical portfolios tailored specifically to each of his clients goals, risk parameter and time frames. THE PRINCI GROUP 5

6 Scott R. McEwan, CFP, CRPS Corporate Retirement Director Senior Vice President - Wealth Management Financial Advisor Scott grew up in Southern California and in his early years worked at his family s successful transportation and logistics company in Santa Ana, CA, where he learned from his father that great customer service and honesty are main factors in creating strong relationships. A college education at Boston University brought Scott to Massachusetts and he joined Smith Barney in 2006 after completing four workmanships at various financial institutions including a hedge fund and three leading wealth management firms. These experiences helped him to realize the personal nature of a client/advisor relationship and the massive responsibility of helping clients reach their financial goals. Scott joins the Princi Group as a partner with a focus on creating comprehensive wealth management strategies for affluent and high net worth individuals. He assists his clients in completing detailed investment policy statements and manages all aspects of the fiduciary responsibilities for corporate and institutional clients. His focus and deep knowledge of the capital markets and alternative investments helps to differentiate himself from the competition. In 2010, Scott successfully completed his CERTIFIED FINANCIAL PLANNER and in 2012 he earned the designation of Corporate Retirement Director (CRD) at Morgan Stanley, a designation that is shared by a select few in the firm. In addition, he has been awarded 2 Blue Chip Council achievements from Citi Smith Barney , and has been a member of the Morgan Stanley Smith Barney Pacesetter s Club 2009, 2010, He sits on the Board of Directors at the Wang Theaters Citi Performing Arts center where he focuses much of his time utilizing various networks to help fund art education programs for the neighboring communities. 6 MORGAN STANLEY

7 Michael is a graduate of Providence College with a Bachelor of Science in Marketing. He has over 17 years experience in the investment industry and is The Princi Group s CFP professional focusing on financial and estate planning strategies for our clients. As a former executive for one of the nation s largest mutual fund companies, he has conducted retirement education seminars throughout the U.S. and was a guest speaker at conferences in Europe and in Central America. He has also hosted financial radio programs on Boston area radio stations. Michael educates clients on strategies for retirement, estate planning and elder care planning. By working with clients other professional advisors, such as attorneys and tax professionals, he is able to help orchestrate the design and implementation of a comprehensive financial plan that encompasses asset allocation, retirement strategies, and trust and estate planning strategies. Michael J. Landers, CFP Financial Planning Specialist Associate Vice President Financial Advisor Michael is very active in the community and is the chairperson of a school board as well as serving on two other non-profit boards. He and his wife currently live in the suburbs of Boston with their 4 young children. In his free time Michael enjoys spending time with his family, running skiing and fishing. THE PRINCI GROUP 7

8 Patrick F. Donnelly Director of Business Strategy Patrick graduated Cum Laude with a Bachelor of Arts in Economics from the University of Massachusetts Amherst and his Master s in Business Administration from Bentley University and has over 15 years of experience in the investment industry. Patrick is responsible for assisting in the management of client portfolios by developing and implementing asset allocation strategies, securities selection & analytics, manager selection, manager due diligence and performance monitoring. He is a Chartered Financial Analyst and member of the Boston Security Analyst Society, Inc. Prior to Morgan Stanley, Patrick was employed by one of the world s largest asset management companies as a senior equity analyst focusing on fundamental long-only equity strategies and fundamental long/short products. Patrick began his investment career at a private equity firm specializing in commercial real estate and then transitioned to the securities world in the role of Associate Portfolio Manager running a long-only dedicated REIT fund. Patrick and his wife reside in the suburbs of Boston with their 2 young children. He is a self-described enthusiastic if not frustrated golfer who enjoys coaching his daughter s soccer team and hiking in the mountains of New Hampshire. 8 MORGAN STANLEY

9 Bradley R. Scioletti Associate Vice President Financial Advisor Brad graduated from Wake Forest University with a Bachelor of Science in Business and has over 8 years experience in the financial services industry. He is a former account executive and four time Chairman s Council winner for one of the premier insurance companies in the nation. Brad was responsible for educating clients on strategies for their business insurance needs, succession planning and risk management. Brad joined Morgan Stanley in December of 2009 and is responsible for business development, relationship management and assisting in the implementation of strategies designed to help clients manage and preserve their wealth. Brad lives in Boston and enjoys spending his free time golfing and traveling. Katrina L. Lastih Institutional Consulting Analyst Assistant Vice President Katrina is a graduate of Boston University with a Bachelor of Arts in Political Science and Business Administration and has over 6 years experience in the investment industry. She works alongside our Portfolio Management Associate to conduct investment manager searches and due diligence reviews. Katrina is responsible for all investment operations for our institutional and private wealth clients and oversees performance monitoring, portfolio holdings and generating customized client reports. Katrina also manages all aspects of syndicate trading and operations for our institutional and private wealth client accounts. Additionally, she facilitates the RFP process for our institutional business development. THE PRINCI GROUP 9

10 Jamie L. Racine Group Director Vice President Relationship Manager Jamie graduated from Bay Path College with a Bachelor of Science in Business and has over 15 years experience in the investment industry. She is responsible for all aspects of the client service experience for The Princi Group at Morgan Stanley by overseeing our Client Service Associates who coordinate all client meetings, client communication and client account maintenance for both institutional and private wealth clients. She facilitates the relationships of all of the client s financial professionals such as their attorneys and tax advisors and is the primary service contact for our largest relationships. Jamie currently resides in the suburbs of Boston with her husband and their two active boys. In her free time she enjoys triathlons, skiing and gardening. 10 MORGAN STANLEY

11 Alexandra A. Russo Client Service Associate Alexandra is a graduate of Boston College with a Bachelor of Arts in Economics and Spanish and has over 3 years experience in the investment industry. She has a dual role in working with our Regional Marketing Associate in executing any and all service related matters for our clients as well as assisting our CFP professional with the creating and monitoring of financial plans. Alexandra, who is fluent in Spanish, also oversees the client service experience for our bilingual and international clients. Alexandra currently lives in the suburbs of Boston and enjoys spending time with her family and friends, traveling and running. Rachael Christensen Registered Client Service Associate Rachael graduated from The University of Massachusetts with a Bachelor of Science in Environmental Science and has over 3 years experience in the investment industry. She works with our Regional Marketing Associate in executing any and all service related matters for our institutional and private wealth clients. Rachael is fluent in Spanish and also works with our bilingual and international clients. Additionally, she works with our Consulting Group Analyst with operations matters related to our syndicate business. Rachael currently lives in the suburbs of Boston and enjoys travel and spending time outdoors. THE PRINCI GROUP 11

12 Developing Your Wealth Management Strategy Individuals work hard to build wealth in pursuit of a meaningful life for themselves and their family. Your achievements reflect substantial effort, and we will work just as hard on your behalf, committing our experience and skills to helping you achieve your unique goals for your wealth. Moreover, we will support you and your strategy by accessing the resources and perspective of one of the world s largest financial firms. Before our team offers specific advice, however, we must understand who you are and what you want your wealth to accomplish. Working with you, we will complete a four-step process: 1 Setting your financial objectives We will begin our relationship by listening discussing a range of topics related to your financial needs and investment objectives: long-term life goals and expectations, possible major purchases, and legacy and charitable goals, if you have them. We will discuss your current financial resources, your time horizon for various goals, your tolerance for risk even how your liabilities are structured. If you own a business, we also might discuss your current banking and cash management needs. 2 Developing your wealth management strategy Based on your input, our advice will likely help address income and retirement planning, asset protection, investment management, strategic borrowing, wealth transfer and business succession. Of course, your plan will include an asset allocation strategy designed to help achieve your financial goals in light of your risk tolerance and investment time horizon. 12 MORGAN STANLEY

13 3 Implementing your strategy After we have discussed and refined your strategy, the team works closely with you to bring the elements to life. Should we decide together that outside money managers are appropriate for you, we will draw on in-depth research and analysis to help you select from the hundreds of investment management firms available to you. If you prefer to invest in individual securities, we can help identify specific stocks, bonds and other securities that may be suitable for your portfolio. Whatever approach we decide on, the team will help you keep your strategy on track. 4 Reviewing your performance You will receive a quarterly review that outlines your portfolio s performance, helping you track progress toward your objectives. Moreover, when your personal situation or market conditions change significantly, we can suggest appropriate adjustments to your portfolio to help it remain aligned with your goals. 13

14 Start the Conversation We are dedicated to providing you with the strategies and resources that can help you achieve your retirement goals in today s changing financial environment. The Retirement Standard is meant to help connect all the pieces of your financial life with a comprehensive plan of action designed to help put you on a path to the retirement you envision. 14 MORGAN STANLEY

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16 This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it. The strategies and or investments discussed in this material may not be suitable for all investors. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments and strategies, and encourages investors to seek the advice of a Financial Advisor.The appropriateness of a particular investment or strategy will depend on an investors individual circumstances and objectives Morgan Stanley Smith Barney LLC. Member SIPC /2015 CRC