The Tribeca Group at Morgan Stanley Smith Barney

Transcription

1 The Tribeca Group at Morgan Stanley Smith Barney November, 2011 Morgan Stanley Smith Barney LLC One Penn Plaza, 43rd Floor New York, NY Scott McCoy Director Portfolio Manager Yunjin Lee, CFA Consulting Group Analyst Melissa Harrington Registered Associate Nick Troiano Financial Advisor Associate Jordan Eisenberg, CFA Senior Vice President Portfolio Manager Adam Waldman Portfolio Management Associate Jeffrey Tinker Financial Advisor Associate Morgan Morgan Stanley Stanley Smith Smith Barney Barney LLC. LLC. Member Member SIPC. SIPC. Consulting Consulting Group Group and and Investment Investment Advisory Advisory Services Services are are divisions divisions of of Morgan Morgan Stanley Stanley Smith Smith Barney Barney LLC. LLC.

2 The Tribeca Group at Morgan Stanley Smith Barney Over 60 years of combined fixed income experience Team features 2 JD s*, 2 CFA s, 2 MBA s and CFP** Over $340 Million in client assets as of 10/31/11 Advise both high net worth individuals and institutions Members of Morgan Stanley Smith Barney s Portfolio Management Group ( PM ) platform Seven Member Team: Credit Research Trading Marketing Client Service Scott McCoy, Director, Team Leader, Portfolio Manager Jordan Eisenberg, CFA, Senior Vice President, Portfolio Manager Yunjin Lee, CFA, Consulting Group Analyst Adam Waldman, Portfolio Management Associate Jeff Tinker, Financial Advisor Associate Nick Troiano, Financial Advisor Associate Melissa Harrington, Senior Client Service Associate -Colored Box indicates Functional Head *Does not perform this function at Morgan Stanley Smith Barney ** Please see team biographies beginning on page 6 2

3 What We Do Fee-based separate account fixed income management Leverage our institutional fixed income experience Manage four taxable strategies along with national and state specific municipal portfolios, as well as custom portfolios Transparency, access and customization Clients can identify and view exact security holdings Each account contains individual bonds No mutual funds or pooled vehicles Design portfolios for specific client needs Provide analysis and in-depth review of both current and prospective portfolios Trade as agent rather than as principal We do not transact through our firm s inventory Securities are bought and sold from broker dealers outside the firm Clients are charged a single management fee with no other transaction costs or fees 3

4 Who We Work With Trusted Advisors Registered Investment Advisors Family Offices Fee-Only Financial Planners Certified Public Accountants Trusts and Estate Attorneys High Net Worth Families Investors seeking to protect their wealth and generate income Institutions Foundations and endowments Insurance companies Corporations 4

5 Client Service Monthly strategy updates Quarterly newsletter discussing economic and market outlook Periodic client portfolio reviews Semi-annual meetings Operational support from our relationship managers Advisor Support Electronic or physical statements delivered with desired frequency to interested parties Data feeds designed to interface with each advisor s record keeping system Online access to client accounts (updated real-time) Business development Working With Us Resource for trusted advisors who want to offer fixed income management to clients and prospects Available to travel to client meetings Creating A Relationship Direct client communications will only occur at advisor s discretion Morgan Stanley Smith Barney Financial Advisors will not prospect your clients for additional business 5

6 The Tribeca Group at Morgan Stanley Smith Barney Scott McCoyis a Director of Wealth Management and a member of Morgan Stanley Smith Barney s Chairman s Club. He holds the title of Portfolio Manager and brings over 20 years of fixed income experience to The Tribeca Group s clients. Mr. McCoy heads the Tribeca Group, co-managing client portfolios and heading up the Group s marketing efforts. Before joining the firm in 2008, Mr. McCoy was a Senior ManagingDirector 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. Previously, he traded government bonds at Citicorp Securities where he was responsible for the short coupon sector. Mr. McCoy is a graduate of Holy Cross College with a joint B.A. degree in English and History. He also holds a J.D.* from St. John's University and an M.B.A. from New York University. Jordan Eisenberg, CFA, is a Senior Vice President of Wealth Management and a member of Morgan Stanley Smith Barney s President s Club. He holds the title of Portfolio Manager and brings over eight years of fixed income experience to The Tribeca Group clients. Mr. Eisenberg is the lead manager for the Group s client portfolios, and heads up institutional transactional account business. Before joining the firm, Mr. Eisenberg was an Associate Directorat Bear Stearns where he helped institutional clients develop fixed income strategies with treasuries, investment grade and high yield corporate bonds, as well as municipal securities. 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. 6 *Does not perform this function at Morgan Stanley Smith Barney

7 The Tribeca Group at Morgan Stanley Smith Barney Yunjin Lee, CFA, CMA,is The Tribeca Group s dedicated Consulting Group Analyst. She provides the Group with 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 decision. In addition, Ms. Lee has earned the prestigious Morgan Stanley SmithBarney Consulting Group Analyst designation and researches outside money managers whom we might recommend for various components of your portfolio. Ms. Lee joined Morgan Stanley Smith Barney in 2009 after workingin 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. She holds the Chartered Financial Analyst designation and is a member of the CFA institute and the New York Society of Security Analysts. 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. Adam Waldman is a Portfolio Management Associate and has earned the designation of Financial Planning Associate. 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 Smith Barney and predecessor firms in2007 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. 7

8 The Tribeca Group at Morgan Stanley Smith Barney Jeff Tinkeris a Financial Advisor Associate at Morgan Stanley Smith Barney. Jeff has over 6 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 Smith Barney, Jeff was an account executive at a boutique investment bank specializing in municipal bonds. 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 a Bachelor of Arts degrees in Economics and Sociology. He currently holds Series 7, Series 63 and Series 65 registrations. Nick Troianois a Financial Advisor Associate at Morgan Stanley Smith Barney. 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 2007*. He earned his undergraduate degree at Boston University where he majored in Political Science. He holds Series 7 and 63 Securities registrations. Melissa Harrington is a Senior Registered Client Service Associate with 20 years of financial services industry experience, joining the Tribeca Group in In this role she works closely with the Group s high net worth clients as well as administrative departments within the firm to help facilitate client service, trade settlement, account maintenance, and marketing. Melissa previously worked at Morgan Stanley Smith Barney and its predecessor firms for 9 years. Prior to joining The Tribeca Group, Melissa was a separate account product wholesaler with Northern Trust and Wilmington Trust. Melissa attended High Point College in High Point North Carolina, majoring in Economics. She currently holds Series 7 and Series 63 registrations. 8 *Does not perform this function at Morgan Stanley Smith Barney

9 Bonds are subject to interest rate risk. When interest rates rise, bond prices fall; generally the longer a bond's maturity, the more sensitive it is to this risk. Bonds may also be subject to call risk, which is the risk that the issuer will redeem the debt at its option, fully or partially, before the scheduled maturity date. The market value of debt instruments may fluctuate, and proceeds from sales prior to maturity may be more or less than the amount originally invested or the maturity value due to changes in market conditions or changes in the credit quality of the issuer. Bonds are subject to the credit risk of the issuer. This is the risk that the issuer might be unable to make interest and/or principal payments on a timely basis. Bonds are also subject to reinvestment risk, which is the risk that principal and/or interest payments from a given investment may be reinvested at a lower interest rate. The investments listed may not be suitable for all investors. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, and encourages investors to seek the advice of a financial advisor. The appropriateness of a particular investment will depend upon an investor's individual circumstances and objectives. Portfolio Management is an advisory program in which the client's Financial Advisor invests the client's assets on a discretionary basis in a wide range of securities. Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Smith Barney Financial Advisors or Private Wealth 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. The views expressed herein are those of the author and do not necessarily reflect the views of Morgan Stanley Smith Barney or its affiliates. All opinions are subject to change without notice. Neither the information provided nor any opinion expressed constitutes a solicitation for the purchase or sale of any security. Past performance is no guarantee of future results. (c) 2011 Morgan Stanley Smith Barney LLC Member SIPC 9