GET TO KNOW US
OUR COMMITMENT TO YOU PRESTIGE WEALTH MANAGEMENT GROUP WAS FOUNDED WITH THE GOAL OF ASSISTING OUR CLIENTS IN EVERY ASPECT OF THEIR FINANCIAL LIVES. 2
Prestige Wealth Management Group was founded in 1994, and our wealth managers have over 70 years of combined experience. Our staff consists of experienced professionals including CFP s, ChFC s, CRPCs and CPAs with a hands on approach to financial guidance, and we provide comprehensive wealth management advice to over 400 families. Not only are our team members knowledgeable, but our staff truly cares about making our clients dreams a reality. We do everything in our power to keep our clients focused on where they want to go, advise them on how to get there and continually remind them of the importance of maintaining a disciplined approach to realizing their dreams. At Prestige Wealth Management Group, we take our responsibility to our clients very seriously. In addition to providing investment advice, we always remain available to conduct regular meetings with clients, and we provide newsletters, reports and other communications to clients to keep them informed of the markets, tax laws and other issues that may affect them. That s our job, and we do it well. Roy Williams, ChFC Chief Executive Officer Steven Linden, CPA/PFS Chief Financial Officer Thomas McCabe, CPA/PFS Chief Operating Officer 3
OUR PROCESS 4 We take great care to understand our clients lifestyles, wishes, goals and family dynamics. After we develop a reasonable understanding, based on the information provided to us, we construct a detailed plan that is specific to our clients wealth management and life goals. However, that is just the start of the process. In order to be effective, the plan must be monitored and updated to reflect new developments in our clients lives. Our team of professionals remains available to our clients to proactively address questions and ensure that every aspect of the plan is clearly understood, closely monitored and effectively implemented. Communicate with you through regular meetings, events, reports and webcasts to keep you informed HOW Monitor Your Progress LET MONITOR Provide You With A Plan portfolio that is independent and tailored to your needs prepare your customized financial plan COMMUNICATE LET US SHOW YOU HOW YOU CAN HAVE A SECURE FINANCIAL FUTURE PROVIDE YOU LISTEN US ANALYZE Listen to you and help you define your goals SHOW Analyze Your Entire Financial Situation: (reviewed by our in house CPAs)
PERSONALIZED CFO SERVICES OUR STANDARD IN PERSONALIZED WEALTH MANAGEMENT SERVICES Investment Management Retirement Planning Tax Planning Family Wealth Planning Risk Management Independence PERSONALIZED CFO SERVICES Prestige Wealth Management Group provides customized planning solutions and a first-class client experience to high net worth individuals, families and business executives. PERSONALIZED CFO SERVICES: At Prestige, we believe that no other wealth management firm in the area offers the combination of experience and comprehensive services all under one roof. It is what we call our Personalized CFO Services. SOME OF THE WAYS PRESTIGE WEALTH MANAGEMENT GROUP DIFFERS FROM OTHER FIRMS: management strategies, retirement distribution plans, tax planning & reduction strategies, family wealth planning and risk management strategies discuss your personal situation webcasts, financial updates, media announcements and other articles suggestions and solutions 5
OUR SERVICES INVESTMENT MANAGEMENT RETIREMENT INCOME & DISTRIBUTION PLANNING TAX PLANNING & PREPARATION * 6
COMPARE THE LIST OF SERVICES WE PROVIDE AS YOUR PERSONALIZED CFO TO THE SERVICES YOU RECEIVE TODAY FAMILY WEALTH PLANNING RISK MANAGEMENT & INSURANCE PLANNING CLIENT SERVICES & COMMUNICATIONS 7
RECOGNITIONS Roy Williams, CEO of Prestige Wealth Management Group, is ranked as one of the top Independent Advisors by leading publications. Highly regarded in his field, Roy has achieved numerous industry accolades. 1 For the second year running, Roy was named one of the Top 100 Independent Advisors in America by Registered Rep. Magazine. 2 Roy is often sought out by the national and local media for his experience and knowledge of financial matters. His insights appear in The Wall Street Journal, MarketWatch.com, 8
RANKED AS ONE OF THE TOP INDEPENDENT ADVISORS BY LEADING PUBLICATIONS PRESTIGE WEALTH MANAGEMENT GROUP RECOGNITIONS: Prestige Wealth Management Group has also been recognized by national and state publications for excellence: Monthly magazine. 3 Wealth Managers. 4 9
OUR TEAM ROY WILLIAMS, ChFC CHIEF EXECUTIVE OFFICER & WEALTH ADVISOR Roy is CEO and a principal owner of Prestige Wealth Management Group. With nearly 30 years of professional experience in financial planning and investment management, he holds the Chartered Association and the Society of Financial Service Professionals. Nationally-recognized for his knowledge and experience in the financial industry, Roy s insight is regularly Throughout his impressive career, Roy has achieved numerous industry accolades, including being named 1. In addition, Roy was ranked as one of the Top Financial Advisors in America by Research Magazine s Winner s Circle. 5 In the recent issue of Registered Rep. Magazine, he was named #18 nationally of the Top 100 Independent Advisors in America. 2 Roy was also recently named a 2012 Five-Star Wealth Manager by New Jersey Monthly Magazine. 3 10 Roy enjoys family travel, and is also passionate about horses, fine wine, fine dining and barbecuing at home. He participates in CrossFit, spinning and hiking, and is active in fund raising activities for local Center. Roy is very involved in the community of Flemington, and Hunterdon County in general, as an Flemington and as a board member of SAFE in Hunterdon.
STEVEN LINDEN, CPA/PFS CHIEF FINANCIAL OFFICER & WEALTH ADVISOR Steve is CFO and a principal owner of Prestige Wealth Management Group, and has nearly 30 years of professional experience in the financial industry. He has extensive knowledge of accounting principles and tax code, and provides clients with direction in financial planning and investment strategies. Steve is a member of the American Institute of Certified Public Accountants and the New Jersey Society of Certified Public Accountants. a CPA designation. He is highly regarded by his clients and colleagues, and is an indemand public speaker, frequently addressing educational workshops throughout the region. Steve was recently named as a 2012 Five-Star Wealth Manager by New Jersey Monthly Magazine. 3 He enjoys cruises with his family, great food at niche specialty restaurants and bakeries, and a variety of sports, including kayaking and fresh water fishing. Steve also volunteers his time and talents to local charitable work. He is a member of the Hunterdon County School & Residential Treatment Center and the Hunterdon Medical Center. 11
OUR TEAM THOMAS McCABE, CPA/PFS CHIEF OPERATING OFFICER & DIRECTOR OF ACCOUNTING 20 years of experience in preparing tax returns and advising high-net-worth individuals and small businesses on tax and accounting matters. Tom obtained his CPA license in 1988 and has earned the American Institute of Certified Public Accountants PFS (Personal Financial Specialist) credential. A CPA/PFS is a CPA with the powerful combination of extensive tax expertise and comprehensive knowledge of financial planning. fiduciary investment and tax oversight and guidance to high net worth clients with a particular focus on alternative investments such as real estate, hedge funds, insurance, annuities and outdoor sports such as surfing and snowboarding. He is a teacher at heart and loves to share his knowledge with others. He is devoted to his five daughters and places a high value on giving back to the community through his charitable work with local organizations such as the 12
STEVEN MULA, CFA CHIEF INVESTMENT OFFICER Steve is the CIO of Prestige Wealth Management Group and has 30 years of diverse experience in the financial services industry. He has extensive knowledge in strategy research and analysis, asset allocation and portfolio construction for institutional and individual clients. He works with PWMG s wealth advisors on investing issues related to client accounts and directs the firm s research and trading groups. right to use the CFA (Chartered Financial Analyst ) designation. He is currently serving works with other local societies and the CFA Institute on leadership issues affecting the financial services industry. Previously, Steve worked as an analyst and portfolio manager border collie, cooking great meals for their friends, traveling, live music and enjoying wine from around the globe. 13
GET TO KNOW US WE GUIDE AND EMPOWER YOU TO MAKE INFORMED DECISIONS FOR YOUR FINANCIAL FUTURE THROUGH EDUCATION, COMMUNICATION AND EXCELLENCE IN SERVICE. AT PRESTIGE, WE BELIEVE THAT NO OTHER WEALTH MANAGEMENT FIRM IN THE AREA OFFERS THE COMBINATION OF EXPERIENCE AND COMPREHENSIVE SERVICES ALL UNDER ONE ROOF. 1. Ranking based on factors including assets under management, revenue produced for the firm, client satisfaction, regulatory record, and philanthropic 2. Ranking based on assets under management August 2010, Registered Rep. Magazine. charged and overall satisfaction. The overall evaluation score is based on an average of all respondents and may not be representative of any one client s evaluation. selected exceed the following criteria: RIA or IAR, fee-only or fee-based, 15+ years of experience, advanced certificates held, no unresolved lawsuits or grievances, comprehensive range of wealth management & financial planning services offered and previously included on regional wealth manager listing. 5. Since the FAs in The Winner s Circle represent each firm s cream of the crop, and may represent their respective firm accordingly in the press and otherwise, each firm participates in the selection of their FAs according to The Winner s Circle criteria. In the interests of promoting best practices within the industry and serving the investing public, Firms are encouraged to nominate Financial Advisors that have proven to best serve their clients needs with the highest levels of integrity and client focus. Services may include; effecting disciplined asset allocation models and providing services that cater toward individuals broad financial planning needs. 14
investment strategy (including the investments and/or investment strategies recommended and/or undertaken by Prestige Management Group) or any investment-related or financial planning consulting services, will be profitable, equal any corresponding indicated historical performance level(s), or prove successful. It remains the client s your responsibility to advise Prestige, in writing, if there are any changes in the client s personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising Prestige s previous recommendations and/or services, or if the client would like to impose, add, or to modify any reasonable restrictions to Prestige s services. A copy of Prestige s current written disclosure statement discussing its advisory services and fees is available upon request. Please Note: Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser.
31 State Route 12, Flemington, New Jersey 08822 A registered SEC investment advisory firm. Securities offered through Triad Advisors, Inc. Member FINRA/SIPC