The Spiro Group at Morgan Stanley

Transcription

1 The Spiro Group at Morgan Stanley

2 1100 Poydras Street Suite 1900, Energy Centre, New Orleans, Louisiana / Main / Toll-Free / fax spirogroup/ James.M.Spiro@morganstanley.com David.K.Butscher@morganstanley.com Romi.Gonzalez@morganstanley.com Marc.H.Miller@morganstanley.com Michael.L.Gagliardi@morganstanley.com Marc.Clark@morganstanley.com John.Gebbia@morganstanley.com Emile.Louapre@morganstanley.com

3 As your portfolio has grown, so too has its complexity and the resources needed to manage it. As Financial Advisors, we have the knowledge, experience and commitment necessary to manage your investments on an ongoing, fully discretionary basis, providing you with objective advice on critical financial matters. Working closely with you, we will develop an investment strategy focused clearly on your objectives one that reflects your lifestyle expectations, cash flow needs, risk tolerance and aspirations for your family. From there, we will help you build a portfolio informed by the resources and insight available from Morgan Stanley, one of the world s largest financial firms. When you look at wealth management from a long-term perspective, one thing becomes clear: it s your future, not just your money. And over time, we can help you navigate the noise and distractions of challenging markets, providing a disciplined sense of focus on what s most important your progress toward your goals. The SPIRO GROup 3

4 Meet the Professionals From left to right: Emile Louapre, Marc Miller, Marc Clark, Romi Gonzalez, James Spiro, David Butscher, Michael Gagliardi, JP Gebbia 4 Morgan Stanley

5 James M. Spiro Managing Director Financial Advisor Jim Spiro established The Spiro Group in He has 27 years of consecutive tenure on the Directors Council, the Firm s highest level of achievement. As a licensed investment professional, Jim leads the Spiro team in implementing wealth-management strategies for high net worth clients through effective portfolio management, with over $1 billion dollars under management as of April A graduate of Wesleyan University, Jim furthered his educational training with a Masters in Business Administration from Tulane University s A.B. Freeman School of Business, where he further achieved Beta Gamma Sigma, a nationally-recognized award for academic excellence. Jim focuses on equity research, portfolio hedging strategies and new business planning development. The Spiro Group, under Jim s leadership, has maintained a continuous commitment to long-term client relationships, exceptional client service and assistance in achieving financial objectives. Jim currently serves on the Board of Directors of the Jewish Endowment Foundation of Louisiana; he is a member of the Foundation s investment committee. Jim s extracurricular pursuits include traveling, golf and most outdoor activities. His biggest passion outside of his work is an active interest and involvement in the field of vintage automobiles. Having owned many significant vintage automobiles, including many classic sports and sports racing cars, he regularly participates in shows, rallies and various symposia dedicated to the preservation of these special vehicles. The SPIRO GROup 5

6 David K. Butscher Portfolio Manager Senior Vice President Financial Advisor David Butscher, Senior Vice President & Portfolio Manager, is a registered investment professional with 20 years of service with The Spiro Group. He is currently a member of Morgan Stanley Smith Barney s President s Council. While attending Tulane University, David was recruited by Jim Spiro to form The Spiro Group. He currently concentrates his efforts on assembling taxable and tax-free fixed-income client portfolios. David s responsibilities include overseeing the majority of institutional relationships for clients of The Spiro Group at Morgan Stanley Smith Barney, as well as corporate cash management and servicing trust department and insurance company clientele. A graduate of Tulane University s A.B. Freeman School of Business with a degree in Management, David is a lifelong resident of the greater New Orleans area. David served as president of the Delachaise Neighborhood Association and was instrumental in neighborhood planning after Hurricane Katrina. David enjoys travel and is an avid tennis player. He is an active member of the American Saddlebred Horse Association, stemming from his daughter s love of equestrian riding. He currently lives in Uptown New Orleans with his wife and two daughters. 6 Morgan Stanley

7 Romi Gonzalez, III Financial Planning Specialist First Vice President Financial Advisor Romi Gonzalez, III, Vice President & Financial Planning Specialist, is a registered investment professional who joined The Spiro Group in 1996, serving the group s highest net worth clients and corporations. Romi specializes in financial planning, asset allocation, retirement, estate and education planning, as well as the use of tailored and strategic lending. In addition to retirement plan and investment services, Romi handles Alternative Investments for The Spiro Group outside of traditional markets, from Private Equity, Fund of Hedge Funds, Managed Futures, and Real Estate. Romi is also a member of the exclusive International Private Client Group managing assets of clients outside the U.S. He played a key role in establishing a charter school in New Orleans in 2004, serving as chairman of the founding board. Romi attended the University of the South at Sewanee, TN and earned a Bachelor of Science in Management degree from A.B. Freeman School of Business at Tulane University in New Orleans. Romi, his wife and two sons enjoy living in New Orleans. The SPIRO GROup 7

8 Marc H. Miller Investment Management Consultant Vice President Financial Advisor Marc H. Miller, Vice President, is a registered investment professional who joined The Spiro Group in Marc concentrates on fixed-income management and Client Experience responsibilities for high net-worth clients. In addition to his client investments duties, Marc utilizes his in-depth knowledge of the Smith Barney Access & Trading Systems to assist clients in all aspects of their finances, including accessing account holdings, establishing on-line trading, and setting up direct electronic payments. After moving to the New Orleans area from New Jersey, Marc attended the A.B. Freeman School of Business at Tulane University where he earned dual degrees in both Finance and Economics. Marc, his wife Debbie and their three daughters live in Metairie. Michael L. Gagliardi, CPM Second Vice President Financial Advisor Michael L. Gagliardi, Second Vice President, Certified Portfolio Manager & Financial Advisor, is a registered investment professional who joined Morgan Stanley Smith Barney in 2006, having worked in the financial services industry since A graduate of St. Lawrence University in Canton, New York, Michael left a successful career in the financial services industry in New York after meeting his wife. Michael focuses on creating and managing customized portfolios for high net-worth clients. Michael is an automotive, motorcycle, and boating enthusiast and enjoys playing hockey and lacrosse, as well as attending college football and Saints games. He lives in Mandeville with his wife, son, and daughter. 8 Morgan Stanley

9 Marc A. Clark Financial Advisor J.P. Gebbia Senior Registered Associate Marc A. Clark is a registered Financial Advisor who joined the Spiro Group at Morgan Stanley in 2012 having worked for Morgan Stanley and its predecessor firms since After earning a Bachelor of Science in Finance at the University of New Orleans, he attended the Hough Graduate School of Business at the University of Florida where he earned a MBA with concentrations in both Finance and Management. Marc focuses on managing client wealth, while maintaining client investment objectives, cash flow needs, and legacy considerations. Marc lives in New Orleans with his wife and three children. J.P. Gebbia, Senior Registered Associate, joined The Spiro Group in 2011, bringing over 7 years of previous global wealth management and financial investment experience. J.P. focuses on client service, marketing, and financial analytics, and has earned investment adviser and securities broker Series 7 & Series 66 licensing credentials. J.P. earned a Master s degree in Finance from Tulane University s A.B. Freeman School of Business in 2004 and a Bachelor of Science degree in Finance from Fordham University in New York in J.P. is actively involved in the local art community and resides in downtown New Orleans. The SPIRO GROup 9

10 Emile Louapre Registered Associate Emile Louapre, Registered Associate joined the Spiro Group in He graduated from the University of Colorado in 2003 with a BA in Political Science and Mathematics. As a Series 7 and 63 General Securities Representative, he brings over 4 years of client service experience involving securities products. Emile is a multi-talented musician who also enjoys the New Orleans restaurant scene, exercise, and travel. He lives in Bayou St. John. 10 Morgan Stanley

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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. 12 Morgan Stanley

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14 For Life s Most Important Goals With an experienced professional and the right resources, reaching your most important goals can be less challenging and more rewarding. We are ready to help you with your goals, by combining our insight into your needs with the resources of Morgan Stanley. Managing the rewards of success Managing an investment portfolio should be a consultative, disciplined process that balances your attitudes and goals as an investor with careful analysis of the financial markets and the risks and opportunities they hold for you. You can rely on us for objective strategic advice in structuring your portfolio and for careful analysis of any investments we consider together. Asset allocation Investment management Traditional investments Alternative investments Structured investments Separately managed accounts 14 Morgan Stanley

15 Morgan Stanley strives to offer clients the finest in financial thinking, products and execution to help them meet their individual needs and achieve their personal financial goals. When we work together, you ll benefit from personalized advice, objective guidance and dedication to your success as an investor. With access to Morgan Stanley s renowned global resources and investment opportunities, we can help you develop and maintain an optimal investment strategy. Our wealth management strategy will address key areas of your financial life beyond traditional investments and may incorporate diverse recommendations for building and protecting your wealth.

16 Alternative investments are speculative and include a high degree of risk and are suitable only for long-term investors willing to forego liquidity and put capital at risk for an indefinite period of time. Investors could lose all or a substantial amount of their investment. Structured Investments involves risks, which can include but are not limited to: fluctuations in the price, level or yield of underlying instruments, interest rates, currency values and credit quality; substantial loss of principal; limits on participation in appreciation of underlying instrument; limited liquidity; conflicts of interest; and Morgan Stanley credit risk for Morgan Stanley Structured Investments. 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 investor s individual circumstances and objectives. Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please visit us at or consult with your Financial Advisor to understand these differences. Asset Allocation does not assure a profit or protect against loss in declining financial markets. Morgan Stanley Smith Barney LLC is a registered Broker / Dealer, not a bank. Where appropriate, Morgan Stanley has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services. Banking and credit products and services are provided by Morgan Stanley Private Bank, National Association., Morgan Stanley Bank, N.A. or other affiliates. Investment services are offered through Morgan Stanley Smith Barney LLC, member SIPC. Unless specifically disclosed in writing, investments and services offered through Morgan Stanley are not insured by the FDIC, are not deposits or other obligations of, or guaranteed by, the Bank and involve investment risks, including possible loss of principal amount invested. Borrowing against securities may not be suitable for everyone. You should be aware that securities-based loans involve a high degree of risk and that market conditions can magnify any potential loss. Most importantly, you need to understand that: The loan can be called at any time and for any reason. Sufficient collateral must be maintained to support your loan(s) and to take future advances. You may have to deposit additional eligible securities or funds for investment on short notice. Some or all of your securities may be sold without prior notice in order to maintain account equity at required maintenance levels. You will not be entitled to choose the securities that will be sold. These actions may interrupt your long-term investment strategy and may result in adverse tax consequences or in additional fees being assessed. Morgan Stanley or its affiliates (the Firm) reserves the right not to fund any advance request due to insufficient collateral or for any other reason. Your collateral maintenance requirements can be increased at any time without notice. Tax laws are complex and subject to change. Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial 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 trusts, estate planning and other legal matters Morgan Stanley Smith Barney LLC. Member SIPC. CRC /14