The Texas Capitol Group at Morgan Stanley Smith Barney When the Details Matter
The Texas Capitol Group at Morgan Stanley Smith Barney will be the wealth advisory group of choice recognized for its exceptional service to our clients. 2/MORGAN STANLEY SMITH BARNEY
Our Mission The Texas Capitol Group at Morgan Stanley Smith Barney is made up of specialists who come together as a team to help design an individualized strategy for you. Our team approach not only helps with effective wealth management, it also helps provide responsive service. Our focus is on helping preserve the wealth our clients have created and on moving towards each client s unique financial goals. Our resources in this area are as sophisticated as the needs of our high-net-worth clients. We begin by putting together a comprehensive financial plan based on your estate, charitable and family goals. We then evaluate your current portfolios and develop an asset-allocation strategy that is based on your income needs, risk tolerance and goals. Next, we build customized portfolios and create a diversified, conservative investment plan towards your financial goals. After the investment strategy is determined, we oversee implementation and diligently monitor the portfolio. MORGAN STANLEY SMITH BARNEY/3
Meet the Professionals TERESA FINNEY Vice President Wealth Management Senior Investment Management Specialist Senior Portfolio Manager RICHARD A. FUNK, CFP Second Vice President Wealth Management Senior Investment Management Specialist Senior Portfolio Manager Teresa takes pride in developing personal and professional relationships with each of her clients by offering a personalized approach to professional investing. With knowledge and experience gained from being in the financial services industry since 1982, Teresa specializes in Portfolio Management, Individual Retirement Planning, Estate Planning, Family Wealth Management and working with Foundations and Endowments. She is well-suited to educate clients about their portfolios and assist with an investment plan according to their goals and objectives. Teresa is the fixed-income specialist for the Texas Capitol Group at Morgan Stanley Smith Barney. In addition, she serves as the Morgan Stanley Smith Barney Austin Branch s Insurance Specialist-Coordinator. Honors and achievements include Vice President Titles, Century Council Award, Superior Business Development and Chairman s Council Award. A native of California, Teresa is an alumna of Babson College and the University of Houston. She has spent most of her life in Texas and the Austin area has been her home since 1994, where she lives with her husband, Russ, and where they have raised their two children: Jennifer, and Erika. Outside of the office, Teresa enjoys running for relaxation whenever possible, fly-fishing, water and snow skiing, horseback riding, and spending time with her family. She is a member of the Dell Children s Hospital Circle of Friends, the Austin Women s Chamber of Commerce and the Development Committee for St. Theresa s School. Richard is dedicated to putting his clients and their financial goals into the forefront, and building long-term relationships. He consults with high-net-worth clients on developing and implementing well-devised financial plans that emphasize long-term asset allocation and risk management. He helps clients with all aspects of wealth and retirement planning, including estate and trust planning, cash management and philanthropic services. Experienced in other areas of the financial industry, Richard brings a wealth of knowledge to the Texas Capitol Group at Morgan Stanley Smith Barney. After returning to Austin in 2005 to form The Texas Capitol Group at Morgan Stanley Smith Barney, Richard earned his Certified Financial Planner designation in 2007. Following business school, Richard worked as an investment analyst with a hedge fund company running multi-manager hedge funds for Qualified US and offshore institutional and private investors. In 2002, he transitioned to the buy side joining John McStay Investment Council, now Brazos Capital Management. As senior research analyst, Richard was a generalist and responsible for research, idea generation and buy/sell recommendations. A native of Austin, Richard graduated from the McCombs School of Business at the University of Texas where he received a Bachelor of Business Administration in finance. He lives in Austin with his wife, Rachael. Richard enjoys playing golf and boating on the lake.
Portfolio Management There comes a point when managing your assets can easily become a full-time job. As your life evolves, not only does your financial plan get more complex, but your options for implementing it increase as well. Frequently, evaluating these options and choosing wisely among them require more time and expertise than you may have to give. Charting a prudent course to financial independence is a difficult task that many investors try to navigate alone. Our objective is to design personalized investment strategies that can help you meet your long-term financial goals. Like a growing number of our clients, it makes sense to partner with experienced investment professionals who understand your financial needs and have the time and resources necessary to help you achieve them. Through the Morgan Stanley Smith Barney Portfolio Management Group program, our clients have access to portfolio management services that once were only available to large institutions and ultra- high-net-worth individuals. Our professional investment management approach focuses on the long-term financial needs of clients and strives to deliver a high level of personal comfort. Acting as your portfolio managers, approved to construct and manage customized strategies within this program, you ll find that our training, experience, commitment to service and investment philosophy can prove invaluable, not only in managing your portfolio, but also in helping you understand its inherent risks. We adhere to a well-conceived, three-step investment process that encompasses setting financial objectives, creating a tailored strategy and monitoring your portfolio continuously on a fully discretionary basis. In addition, all transactions executed at the Firm, plus a full range of investment services, are wrapped in one asset-based unified fee structure. Portfolio management has afforded us rewarding client relationships, based on a joint commitment to pursue our clients financial goals within the framework of our long-term investment discipline. MORGAN STANLEY SMITH BARNEY/5
The Texas Capitol Group Difference OUR VISION The Texas Capitol Group at Morgan Stanley Smith Barney aims to provide the highest quality of wealth management services and comprehensive investment advice possible to our clients, their families and advisors. Our strength lies in our combination of objectivity, knowledge and service. We have built our philosophy around the ability to provide unbiased ideas where merit is the primary decision criterion. We further enhance our ability to provide personalized service to our clients by limiting the number of relationships we maintain. This allows us to effectively manage a comprehensive wealth management plan that encompasses all critical aspects of our client s financial life. OUR VALUES We believe that integrity is the #1 driving force utilized to gain the full faith and trust of our clients. We strive to provide an uncompromising level of service to our clients, their families and advisors in order to help them meet their short- and long-term investment needs. We will act in the best interests of our clients by applying the principles of respect, diligence and commitment at all times. The Texas Capitol Group at Morgan Stanley Smith Barney will be the wealth advisory group of choice recognized for its exceptional service to our clients. 6/MORGAN STANLEY SMITH BARNEY
To us, being Financial Advisors is all about building relationships with our clients. By learning more about you and your needs, we are able to offer more personalized advice and service. The Texas Capitol Group differs from other financial service teams in several ways. Independence Most important are our resolute independence and objectivity and our deep understanding of the unique needs of those with a high net worth. Family Security We work to build strong, long-term relationships with each of the families we serve, that we want to continue beyond your lifetime with your family members. Customer Service There are still a few advocates of classic customer service in the world today and we are committed to remaining one of them. With us, every aspect of service is customized from the offerings themselves to the manner in which we deliver them. MORGAN STANLEY SMITH BARNEY/7
The Texas Capitol Group at Morgan Stanley Smith Barney 301 Congress Avenue, Suite 1400 Austin, TX 78701 TELEPHONE: 512.370.0435 FACSIMILE: 512.370.0475 richard.a.funk@mssb.com fa.smithbarney.com/thetexascapitolgroup Morgan Stanley Smith Barney LLC, Citigroup Global Markets, Inc. and Morgan Stanley Smith Barney s Financial Advisors do not provide tax or legal advice, and are not fiduciaries (under ERISA, the Internal Revenue Code or otherwise) with respect to the services or activities described herein, except as otherwise agreed to in writing by Morgan Stanley Smith Barney. This material was not intended or written to be used for the purpose of avoiding tax penalties that may be imposed on the taxpayer. Individuals are urged to consult their tax or legal advisors before establishing a retirement plan and to understand the tax, ERISA and related consequences of any investments made under such plan. 2010 Morgan Stanley Smith Barney LLC. Member SIPC. 6424854 8/10