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BNY Mellon Wealth Management

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  • Introduction[1]

    1. 1. Introducing: The Bank of New York Mellon
    2. 2. The Bank of New York Mellon <ul><ul><li>Oldest private bank in the U.S., 1784 </li></ul></ul><ul><ul><li>Architect of U.S. financial system </li></ul></ul><ul><ul><ul><li>The Bank of New York Company’s founder, Alexander Hamilton, first Secretary of the Treasury under George Washington, 1789 </li></ul></ul></ul><ul><ul><li>Founder Andrew Mellon, Secretary of the Treasury in 1921 </li></ul></ul><ul><ul><li>First stock traded on the NYSE, 1792 </li></ul></ul><ul><ul><li>First trust created in U.S. history </li></ul></ul><ul><ul><li>First to issue loan to the U.S. government, 1789 </li></ul></ul><ul><ul><li>First computer used by financial corporation, 1955 </li></ul></ul>HISTORY Page Early Innovators Today’s Leaders 1 See footnote (b2) in the appendix. <ul><ul><li>Formed leading global provider of securities services and top 15 largest global asset manager 1 </li></ul></ul><ul><ul><li>(merger of The Bank of New York Company, Inc. and Mellon Financial Corporation, July 1, 2007) </li></ul></ul><ul><ul><li>Committed to ongoing leadership and excellence in financial services </li></ul></ul>
    3. 3. The Bank of New York Mellon LEADERSHIP <ul><li>The Bank of New York Mellon: A Global Leader </li></ul><ul><ul><li>Leading global provider of securities services </li></ul></ul><ul><ul><ul><li>More than $20 trillion in assets under custody and administration 1 </li></ul></ul></ul><ul><ul><li>Top 15 global asset manager 2 </li></ul></ul><ul><ul><ul><li>$1.1 trillion under management 1 </li></ul></ul></ul><ul><ul><li>Top 10 U.S. asset manager 3 </li></ul></ul><ul><li>BNY Mellon Wealth Management: A National Leader </li></ul><ul><ul><li>Top 10 U.S. wealth manager 4 </li></ul></ul><ul><ul><ul><li>$170 billion in private client assets 1 </li></ul></ul></ul><ul><ul><ul><li>$12 billion in deposits and approximately $7 billion in loans outstanding 1 </li></ul></ul></ul><ul><ul><ul><li>Among nation’s largest family office providers </li></ul></ul></ul><ul><ul><ul><li>#1 charitable gift services provider </li></ul></ul></ul><ul><ul><li>Two centuries of experience and perspective </li></ul></ul><ul><ul><ul><li>Oldest private bank in U.S. history </li></ul></ul></ul><ul><ul><ul><li>Among first to create dedicated family office business </li></ul></ul></ul><ul><ul><li>Expansive network of offices, close to our clients </li></ul></ul><ul><ul><ul><li>80 offices nationwide, in Europe, and in Asia </li></ul></ul></ul>Page 1 As of 12/31/07; 2 see footnote (b2) in the appendix; 3 see footnote (b1) in the appendix; 4 see footnote (b6) in the appendix.
    4. 4. Investment Management A COMMITMENT TO WHAT SERVES, NOT WHAT SELLS Page <ul><li>Objective </li></ul><ul><ul><li>To enhance returns and control risk in client portfolios across all market cycles </li></ul></ul><ul><li>Philosophy </li></ul><ul><li>We believe our clients’ investment goals can be met most effectively through: </li></ul><ul><ul><li>Global diversification and balance across asset classes </li></ul></ul><ul><ul><li>A total return orientation of total portfolio </li></ul></ul><ul><ul><li>A focus on after-tax results </li></ul></ul><ul><ul><li>A disciplined, long-term investment approach </li></ul></ul><ul><ul><li>Active, not passive, management </li></ul></ul><ul><li>Approach </li></ul><ul><li>To achieve these goals, we provide: </li></ul><ul><ul><li>Strategic oversight </li></ul></ul><ul><ul><ul><li>Strategic asset allocation </li></ul></ul></ul><ul><ul><ul><li>Strategic investment architecture </li></ul></ul></ul><ul><ul><li>Dedicated investment capabilities </li></ul></ul><ul><ul><ul><li>Designed for our private clients </li></ul></ul></ul><ul><ul><ul><li>Managed by our investment professionals </li></ul></ul></ul><ul><ul><li>Guided access to complementary strategies </li></ul></ul><ul><ul><ul><li>BNY Mellon Asset Management </li></ul></ul></ul><ul><ul><ul><li>Other specialized capabilities </li></ul></ul></ul>
    5. 5. Investment Decision Making BEST THINKING OF A GLOBAL LEADER, CUSTOMIZED FOR YOU Page Investment Strategy Committee Fixed Income Equity International Real Estate Private Equity Hedge Funds Portfolio Manager & Local Support Client’s Asset Allocation Strategy Implementation Ongoing Management Economic and Market Data Inputs <ul><li>Strategy </li></ul><ul><ul><li>Economic and market analysis </li></ul></ul><ul><ul><li>Asset allocation recommendations </li></ul></ul><ul><ul><li>Investment architecture </li></ul></ul><ul><li>Specialized </li></ul><ul><li>Management </li></ul><ul><ul><li>Strategy </li></ul></ul><ul><ul><li>Research </li></ul></ul><ul><ul><li>Investment management </li></ul></ul><ul><ul><li>Investment communication </li></ul></ul><ul><li>Client Portfolio Management </li></ul><ul><ul><li>Customized asset allocation recommendation </li></ul></ul><ul><ul><li>Investment structure decisions </li></ul></ul><ul><ul><li>Implementation and ongoing oversight </li></ul></ul><ul><ul><li>Adjustments in concert with client needs </li></ul></ul>Investment Policy Committee Capital Markets Analysis and Economic Research Risk/Return Forecasts by Asset Class Ongoing Monitoring of Performance and Market Conditions
    6. 6. Page Page Experience & Wisdom Professionals dedicated to serving families with unique requirements. Tom Hopper Wealth Advisor Geoff Seaman Wealth Mgmt. Specialist Maria Thieman Sr. Trust Officer Robin Kalota Sr. Port. Mgr. Team Leader Jim Fletcher Sr. Dir. Port. Mgr. Team Leader Ben McGloin Portfolio Officer Michael Silane Portfolio Officer Syndia Attardo Portfolio Officer Tom Hopper works with successful business owners in establishing a comprehensive personal Financial Plan. By listening to his clients, discussing their goals, analyzing financial matters and coordinating with existing advisors, Tom develops a comprehensive long-term financial strategy. Supported by Geoff Seaman, a 30 year veteran and expert in tax, trust and finance, the BNY Mellon Wealth Management team is sure to improve tax efficiency, perpetuate family goals and simplify the complicated universe of financial planning. Maria Thieman is an experienced Trust Officer with over 10 years serving clients. Knowledgeable in trust administration, tax and trust law, Maria is a valuable resource in assisting BNY Mellon clients who are trustees or beneficiaries of a trust. She reviews all Trust accounts and works closely with families and their Estate Planning advisors as they manage their financial affairs. The Newport Beach Portfolio Management Team is a dedicated group of Investment Professionals with many years experience serving wealthy clients. Preserving and growing wealth is a delicate balance of prudence and diversification. Supported by the BNY Mellon Strategic Investment Architecture, the Portfolio Manager builds personalized portfolios, manages asset allocation and maximizes after-tax portfolio returns.
    7. 7. <ul><li>97% Client Retention Rate 1 </li></ul><ul><li>93% of Clients Are More Than or Highly Satisfied 2 </li></ul><ul><ul><li>92% average, over three consecutive years 3 </li></ul></ul><ul><li>92% of Clients Would Refer Someone With Similar Needs 2 </li></ul>Commitment to Excellence CLIENT SATISFACTION RESULTS Page HIGH CLIENT SATISFACTION OVER MARKET CYCLES ACROSS GENERATIONS OF FAMILIES 1 Three year average for Mellon clients from 2004-2006 2 Based on Mellon’s 2006 Annual Client Satisfaction Study 3 Three year average results based on Mellon’s 2004, 2005, and 2006 Client Satisfaction Survey
    8. 8. Local Presence CALIFORNIA <ul><li>History </li></ul><ul><ul><li>Our firm has offered wealth management services in California since 1987 </li></ul></ul><ul><li>Practice Areas </li></ul><ul><ul><li>Wealth and estate planning </li></ul></ul><ul><ul><ul><li>Fiduciary services, wealth protection and transfer, philanthropy, asset-specific analysis and planning, estate settlement and administration, and family governance </li></ul></ul></ul><ul><ul><li>Investment management </li></ul></ul><ul><ul><ul><li>Domestic equity, taxable and tax-exempt fixed income, international equity and alternative investments, including private equity and hedge funds </li></ul></ul></ul><ul><ul><li>Private banking and finance </li></ul></ul><ul><ul><ul><li>Banking, credit, mortgage and brokerage services, risk assessment and management </li></ul></ul></ul><ul><ul><li>Global custody and information management </li></ul></ul><ul><ul><ul><li>Global custody, information reporting, performance measurement and analysis, and cash processing </li></ul></ul></ul><ul><li>Commitment </li></ul><ul><ul><li>Firm commitment to California communities and clients </li></ul></ul><ul><ul><li>Four portfolio teams plus fiduciary staff </li></ul></ul><ul><ul><ul><li>More than 50 investment and wealth management professionals </li></ul></ul></ul><ul><li>Locations </li></ul>Page 400 South Hope Street Suite 400 Los Angeles, CA 90071 213-553-9500 1600 Newport Center Dr Suite 200 Newport Beach, CA 92660 949-253-5043 525 Market Street 35 th Floor San Francisco, CA 94105 415-951-4100 Century City 1800 Avenue of the Stars Los Angeles, CA 90067 310-788-9500 10250 Constellation Blvd Suite 2710 Los Angeles, CA 90067 310-551-7600