Celebrating our dedication to our community and our clients.

Transcription

1 SEVENBRIDGE FINANCIAL GROUP Celebrating our dedication to our community and our clients. Investments Advice Wealth Management n n SevenBridgeFinancial.com

2 ON AUGUST 28, 2015, we relaunched our firm as SevenBridge Financial Group. Reflecting our dedication to the prosperity of both our community and our clients, SevenBridge celebrates the seven bridges that personify our historic city. It reaffirms our pride at being your neighbor, friend and trusted advisor. It also reaffirms our commitment to serving our clients with exceptional personal attention and the utmost in professional planning and wealth management. WE INVITE YOU to review the questions and answers in this brochure to understand why we have created SevenBridge Financial Group and how this benefits you.

3 New name. New capabilities. Same dedication to you. Where will my assets be held? As a registered investment adviser, we do not hold your assets. We have chosen Schwab Advisor For many years we have worked to build our business by seeking to provide Services as our new custodian for your assets. Schwab s size, financial strength and years of experience our clients with strategic guidance, expert recommendations and personal make it a most compelling choice to safeguard your funds. attention. The ongoing evolution of financial services, technology and Schwab open-architecture is a leading provider resources of custodial, has operational given us and the trading unique support opportunity to 7,000 independent to take registered our business investment even advisors further, like us. enabling With 1,800 a dedicated more innovative professionals approach currently managing to wealth $1.13 trillion in assets, Schwab represents safety and security. By tapping its streamlined functionality, we re management that results in more comprehensive service for our clients. free to focus on what matters most to you secure custody and outstanding service and not backoffice administration. As SevenBridge Financial, though our name is new, our value commitment, Will financial I have practice regulatory team oversight and carefully of my assets? orchestrated advisory process are Absolutely. the same. We We are registered remain dedicated with the SEC and to providing subject to strict our rules clients regarding the our most fiduciary attentive responsibility. You can be confident that we follow the most prudent investor practices and represent service, deep respect and familiarity with their goals and risk preferences your best interests at all times. as well as a unique, and now growing, combination of ideas and solutions How that does help an preserve independent capital, firm create provide wealth comprehensive and enable services? our clients to achieve As their SevenBridge most important Financial Advisors, goals. we re able to tap the widest scope of resources available, from institutional asset manager research to state-of-the-art consolidated reporting. We then leverage and customize those strategies and solutions to assure you a focused, boutique-level client experience. Who is managing operations while you re focused on serving clients? We use the services of Dynasty Financial Partners to automate many of the back-office administrative processes, freeing us to focus on what s most important: you, our valued client.

4 Count on continued exceptional service and newly expanded capabilities. What are the benefits of your new business model? As SevenBridge Financial Group, we are more optimally positioned to help you achieve your goals with complete objectivity and transparency, as well as with expanded capabilities and more focused service. Now that we are free to work with any of the financial industry s leading companies in order to meet your needs, we have formed partnerships with those we believe are the best, including Schwab Advisor Services, a division of the Charles Schwab Corporation, as custodian for your assets. These strategic partnerships with best-in-class companies assure you of greater opportunities and enhanced access to more and better resources. How does this change affect the financial services you offer? We now offer you a wider range of products and services, unencumbered by where and from whom they originate. Our integrated financial approach still encompasses areas such as investments, insurance, estate planning and charitable giving, but we have a wider spectrum of opportunity and products. Now, instead of being captive to one firm, you are a client of Wall Street as we seek the right solutions for your comprehensive wealth management and planning needs. Our new business partners provide best-in-class capabilities and service. Where will my assets be held? As a registered investment advisor, we do not hold your assets. We have chosen Schwab Advisor Services as our new custodian for your assets. Schwab s size and experience, financial strength and its range of outstanding services make it a compelling choice to safeguard your funds. Schwab is a leading provider of custodial, operational and trading support to 7,000 independent registered investment advisors like us. With 1,800 dedicated professionals currently managing $1.13 trillion in assets, Schwab represents safety and security. By tapping its streamlined functionality, we re free to focus on what matters most to you secure custody and outstanding service.

5 Does the custodian offer banking and cash management services? Our custodial firm offers account servicing and reporting services such as direct deposit, online bill pay, customized operational alerts, instant online access to detailed account information and online cash management. In addition, our custodian offers comprehensive reporting that includes cost-basis reporting, realized gain or loss data, electronic delivery of statements, trade confirmations and tax reports. You have full access to all of these services when you open an account with the custodian. Will there still be regulatory oversight of my assets? Absolutely. We are registered with the SEC and subject to strict rules regarding our fiduciary responsibility. You can be confident that we follow the most prudent investor practices and represent your best interests absolutely and always. How are you managing firm operations? We are using the services of Dynasty Financial Partners to automate many of the back-office administrative processes, freeing us to focus on what s most important: you, our valued client. We selected Dynasty because it is an established leader and innovator in its field; it assembles the operational resources, technological solutions and broad selection of products and services required to deliver a seamless experience to our clients. Moreover, Dynasty allows us to preserve our autonomy, flexibility and entrepreneurial vision. Though we no longer work for Wells Fargo Advisors, our operations and back-office are completely supported. You can be assured of a smooth and seamless transition. How will this impact my relationship with you? Our name has changed, but our people, our dedication and attention to you have not. You can be confident that our new partners provide outstanding service and that the conversion to them will be transparent to you. Rest assured that our commitment to the core principles that have defined our practice and to a culture of integrity, family values and enduring relationships remains a hallmark of our firm. With this move, as in everything else we do, we will be with you every step of the way. Our sole purpose in effecting this business change is to provide our clients the very best in service, capabilities and care. We are excited for the opportunities ahead, and look forward to continuing our relationships indeed, expanding them into the future.

6 3401 NORTH FRONT STREET / SUITE 301 / HARRISBURG, PA / / info@sevenbridgefinancial.com SevenBridgeFinancial.com IMPORTANT NOTICE Schwab Advisor Services provides custody and trading, as well as technology and other support services to independent investment advisors. It includes the custody, trading and related support services of Charles Schwab & Co., Inc. ( CS&Co ), a registered broker-dealer and member SIPC. It also includes the technology and related products and services of Schwab Intelligent Technologies ( SIT ). CS&Co and SIT are affiliated as separate subsidiaries of The Charles Schwab Corporation, but their respective products and services are independent of each other. Schwab Advisor Services is not affiliated with SevenBridge Financial or any advisor(s) whose name(s) appear(s) here. SevenBridge Financial is independently owned and operated. Regardless of any referral or recommendation, Schwab Advisor Services does not endorse or recommend the investment strategy of any advisor. Schwab Advisor Services has agreements with SevenBridge Financial under which Schwab Advisor Services provides SevenBridge Financial with services related to your account. Schwab Advisor Services does not review the SevenBridge Financial materials, and makes no representation regarding information contained in the SevenBridge Financial marketing materials, which should not be considered to be either a recommendation by Schwab Advisor Services or a solicitation of any offer to purchase or sell any securities. SevenBridge Financial Group, LLC ( SevenBridge Financial Group or the firm ) is an SEC registered investment adviser with its principal place of business located in Pennsylvania. The firm and its representatives are in compliance with the current registration and notice filing requirements imposed upon SEC registered investment advisers. SevenBridge Financial Group may only transact business in those states in which it is notice filed, or qualifies for an exemption or exclusion from notice filing requirements. This brochure is limited to the dissemination of general information pertaining to the firm s investment advisory services. For information pertaining to the registration status of the firm, please contact the SEC on their web site at A copy of the firm s current written disclosure brochure discussing the firm s business operations, services, and fees is available from SevenBridge Financial Group upon request. There is no guarantee that the views and opinions set forth herein will come to pass.