Cwm Booklet


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Cwm Booklet

  1. 1. abCampeau Wealth ManagementUBS Financial Services Inc.1 Century Tower, 4th and 6th Floors265 Church StreetNew Haven, CT
  2. 2. Advice and Guidance to Last Your LifetimeSo much of your future relies on our ability to understandyou and the things that are important in your life.That is why our first priority is to spend time listening to you and learningabout your goals and aspirations. We will work to create a partnershipwith you that facilitates ongoing dialog so that we can use our firm’sglobal expertise and experience to develop personalized strategies foryour individual needs and goals. From giving advice when you ask for it,to anticipating your changing needs, we are dedicated to helping youpursue your goals. After all, isn’t that what matters most?John C. Campeau Jr. David L. Ivanovich Jr.Senior Vice President–Investments Vice President–InvestmentsAdvisory & Brokerage Services Advisory & Brokerage ServicesSenior Managed Accounts Consultant Corporate Services Financial AdvisorWealth Advisor 203-498-3302203-498-3375 david.ivanovich@ubs.comjohn.campeau@ubs.comChristopher A. Cavallaro Rhonda L. Lisbon-KendallFinancial Advisor Senior Registered Client Service Associate203-498-3328 rhonda.lisbon-kendall@ubs.com2
  3. 3. Campeau Wealth Management team members, clockwise from left, David L. Ivanovich Jr., John C. Campeau Jr.,Christopher A. Cavallaro and Rhonda L. Lisbon-KendallOur Focus and Experience John C. Campeau Jr. I am a Senior Vice President–Investments of Campeau Wealth Management for UBS Financial Services, Inc. in New Haven, Connecticut, with over 23 years of experience in the financial services industry. I provide investment management and consulting services with a focus on retirement planning and education funding. My clients include well-known entertainers and medical practitioners, as well as foundations, nonprofitJohn C. Campeau Jr. organizations and several major publicly traded corporations. A majority of our clientele is concentrated in the greater New York City and Los Angeles entertainment communities. I graduated cum laude from Susquehanna University, double majoring in economics and finance and minoring in communications. I am a Wealth Advisor here at UBS—a distinction only earned by a small percentage of the consultants at our firm. I am a nationally recognized public speaker. Bayer, Pfizer Pharmaceuticals and Amgen have requested me on an ongoing basis to teach groups of physicians how to manage and understand their investments. For 10 years, I hosted the Business Brief segment of Good Morning, Connecticut and produced and hosted Your Money. Both programs were shown on the Connecticut ABC affiliate. I have periodically appeared as a financial expert on nationally syndicated programs, most recently appearing as a financial expert on MSNBC’s Buchanan & Press. 3
  4. 4. In addition to my finance-related activities, I have an extensive background in athletics. I was a nationally ranked competitive freestyle skier. I had the privilege of announcing the FIS World Cup Ski Tour. I announced the Freestyle Skiing events at the 2002 Winter Olympics Games in Park City, Utah. I am also involved in numerous charities and boards in the greater New Haven area, including St. Francis Home for Children. David L. Ivanovich Jr. I have over 21 years of experience assisting high net worth individuals pursuing their investment and estate planning goals. I analyze investment portfolios, provide tactical and strategic asset allocation advice as well as ongoing performance evaluation. I also hold the title of Corporate Services Financial Advisor and spent the past 15 years advising both publicly traded and privately held corporations on managing their cashDavid L. Ivanovich Jr. and retirement plans. My clientele is a broad-based collection of executives and small- to mid-size business owners across the country. I am a graduate of Nichols College in Massachusetts, where I obtained a bachelor of science degree in general business with a concentration in finance and economics. I also studied abroad at Regent’s College in London, England. I am an avid saltwater fly fisherman who enjoys kayaking, biking and jogging. I reside in Milford, Connecticut, with my wife and two daughters. Christopher A. Cavallaro I am a Financial Advisor with Campeau Wealth Management for UBS Financial Services Inc. in New Haven, Connecticut. I have been in the financial services field locally for about five years; however, my financial knowledge expands across our borders, as I have greatly contributed to international projects in both Asia, specifically Japan, and Central America. I am a graduate of Hawaii Pacific University with a double major in internationalChristopher A. Cavallaro business and Japanese, and a minor in Asian studies. I have lived and worked in Japan for four years as a financial controller as well as living in Belize for three years in the same capacity.4
  5. 5. I am very active in the not-for-profit community in New Haven and have been recognized for my efforts by the receipt of various community awards. I provide financial planning, investment advice and consulting services with a focus on estate planning and wealth transfer. I have recently been recognized by UBS Financial Services Inc. as a Pacesetter Council Member, recognition of the firm’s more successful advisors. My wife, Randima, and I spend our free time traveling, cycling, skiing and expanding our efforts for the recognition of humane canine treatment in lesser-developed countries. Rhonda L. Lisbon-Kendall I am our lead Registered Client Service Associate. I attended the University of New Haven and began my career in the financial industry with Merrill Lynch in 2000 before joining our team in 2007. I currently hold Series 7 and 66 and insurance producer licenses. I am dedicated to the handling of all operational, compliance and client relationship aspects of our business, as well as overseeing our junior associate and intern staff.Rhonda L. Lisbon-Kendall I am married and live with my husband, Robert, in New Haven, Connecticut. 5
  6. 6. Your Future Begins with a ConversationWe take the time to understandyou, your values and what you’dlike your finances to do for you.Our conversations will focus on helpingyou make appropriate financial choicesfor today and for the future.Whether it’s specific goals you have foryourself, your business, your family orthe legacy you hope to leave behind,we’ll help ensure that you have accessto our full range of wealth planning,investment, banking services, andfinancing opportunities here in the Growing your wealthU.S. and globally—all focused on your Your personalized investment strategybest interests. is only the first step in helping you grow your wealth. The relationshipAligned with these powerful global we develop with you will be ongoing,resources among a comprehensive and we will use the global resourcesselection of products and services of UBS to not only address youravailable and complete dedication to evolving investment strategy, butyou and your needs, we will be your continually review its role in yourpersonal advocates throughout your overall wealth management plan.relationship with UBS. Whatever expectations you have for the future, we will work with you to help keep you on track toward your goals. The UBS Client Experience In delivering the UBS Client Experience, our Financial Advisors take the time to understand your needs and goals and proactively provide appropriate solutions. We keep you informed on a periodic basis, and can monitor and update strategies, as appropriate, to respond to ever-changing markets and your evolving needs.6
  7. 7. Preserving your wealth Generating income throughOver time, you have planned and retirementinvested prudently to build your wealth. What does retirement mean to you?We understand how important it is to Your retirement vision is the basis ofpreserve what you’ve worked so hard to your retirement strategy, and we willachieve. That’s why we will work with spend time exploring the life youyou to review your investment plan on imagine. Then we can assess whetheran ongoing basis, making adjustments your retirement assets are sufficientthat take into account factors such as to generate income for day-to-daytaxes*, inflation and unforeseen events retirement expenses, fulfill thethat could undo a lifetime of work. retirement dreams you hope to make a reality, keep pace with inflation andMaintaining your lifestyle meet healthcare costs. Together, we canYour vision of retirement is unique. develop a personalized strategy to helpWhatever your retirement goals are, fund the retirement you envision.we will work with you to create apersonalized investment plan designed Caring for othersto address your income requirements The decisions you make regarding yourand to help maintain the lifestyle you wealth can have a significant impactdesire. on the people and causes you care about. Whether you are planning for loved ones or your favorite charities, we will work with you to establish a personalized strategy to help you provide for them now and in the future. 7
  8. 8. Focusing on Your IndividualityFrom years of listening to our clients, we have developedour practice with a focus on your specific needs.Wealth management and estate hand with your business managersplanning for entertainment and have a comprehensive monitoringprofessionals process to keep you abreast of bothAt Campeau Wealth Management, market activity and, more important,we offer exclusive specialized planning whether or not you are on track tofor those in the creative world. We meet your personal goals.have managed assets in the artisticcommunity for over 22 years and You are unique, and yourtruly understand the challenges and money and financial life deservevagaries your passion and vocation the attention of those whopresent when it comes to managing understand.your money. Whether you are awriter, actor, producer, director, artist, Estate planning strategiesphotographer, agent or business You have spent your life accumulatingmanager, we can make the process of assets, and now you want to helpgrowing your assets both manageable secure the future of your loved ones.and understandable. Together with your professional advisors, we focus on identifyingWith close to 50 years of combined personalized estate planning strategiesexperience, we are well equipped to that can help minimize the effect ofhandle all of your investment and estate taxes* while ensuring that yourplanning needs. We work hand in estate will be distributed according to your wishes. * Neither UBS Financial Services Inc. nor any of its employees provide legal or tax advice. You must consult with your legal or tax advisor regarding your personal circumstances.** Attorneys in the Attorney Network program are independent of, and unaffiliated with, UBS Financial Services Inc.8
  9. 9. In addition, with the help of our Personalized financial strategies fornationwide Attorney Network womenprogram,** we can introduce you Since women often find themselvesto an independent, experienced trust solely responsible for their financialand/or estate attorney. There are more well-being at some point in their lives,than 350 attorneys in this established we will work with you to create anetwork with no fee for an initial personalized investment strategy thatconsultation. With the guidance of will help preserve your assets now,an experienced attorney, we can help as well as help you create a wealthyou establish a comprehensive estate management plan for the future. Weplanning and philanthropic planning understand how important it is to youstrategy. You have worked hard to build to live comfortably, independently andyour wealth over time, and we want to without the worry that you will outlivehelp you address the needs of those your care about. Wealth management for domesticTransferring wealth to others partnershipsThere are people in your life who you Our experience working with domesticcare about, and you may have one partners provides insight into theor more favorite causes you want to unique issues and challenges yousupport financially. How do you balance face. We understand the complexitiescaring for yourself, your loved ones and involved in navigating a wealthmaking a difference in your community management plan and, togetheror the world at large? And how can with your professional advisors, focusyou position your assets to continue on helping domestic partners designproviding financial support after you’re personalized strategies that addressgone? items such as wills, living trusts and estate planning strategies. As you planTogether with our team of dedicated your shared life together, we will workspecialists in strategic estate planning, with you to help make sure your goalswealth transfer and gifting techniques, stay in focus.we can help you identify personalizedfinancial strategies to support the All couples seek a financially securepeople and causes you care about future. As your life changes andwhile continuing to provide for your legislation evolves, we will work toown needs now and in the future. keep your strategies up to date. WeWorking with your attorney and other are committed to helping you createprofessionals, we can determine how a future you can depend on.these strategies can also reduce theimpact of taxes on your estate.* 9
  10. 10. Structuring an investment program Investment strategies tailored tofor your healthcare practice your small businessWith many years of experience helping As a small business owner, it’shealthcare professionals, we can design important that you work with aa personalized investment program that firm that understands the financialwill address any cash flow concerns requirements, risks and rewards of awhile providing you access to small business. We are familiar withinformation about your practice’s strategies for meeting start-up costs andfinances. We’ll also present retirement overhead charges, as well as fundingand insurance alternatives for you and capital expenditures. We can help youyour employees and can help you plan grow your business by appropriatelyfor the succession or transfer of your balancing your investment and liquiditypractice. needs and providing you with access to current account information at all times.Managing the finances of your lawpracticeAs an attorney, you’re often subjectedto an unpredictable income stream.Case loads vary, appeals can delay thepayment of your fees and any fees maybe contingent on amounts awarded toyour client. These and other factors canpresent challenges for your practice.Having worked with many attorneys,we know how to design personalizedinvestment strategies to help youpursue your long-term goals whileaddressing liquidity and financingconcerns as they arise.10
  11. 11. UBS: Our Global Strength. Your Individual Vision. As a UBS client, you benefit from the experience of one of the world’s leading wealth management firms. We have been serving affluent individuals, corporations, institutions and governments for over 150 years. Through our teams of professionals around the globe and their diverse expertise across a range of disciplines, we are committed to helping each client realize their own vision forFinancial management for real financial professionalsGiven the changing nature of the real Our relationship with youestate market, perhaps you are looking Our work ethic is simple and powerful.for ways to unlock the earning power It is based on the value of collaboration.of your cash and investments or seek We work side by side with our clients,simpler, more flexible ways to manage taking the time to understand theiryour cash flow. In addition, you may individual needs and goals and thebe interested in identifying creative dreams they have for themselves, theirfinancing strategies to help fund future families and their future. This deepgrowth. understanding, combined with the powerful global resources we areAt UBS, we work with you to develop able to access on your behalf, lay theappropriate strategies specific to your foundation for your relationship withreal estate business. We can assist you UBS.with cash management and financingrelevant to the changing real estatemarket, identify financial strategies foryou and your employees, and help youplan for transfer and successionopportunities to help preserve yourbusiness now and in the future. 11
  12. 12. UBS Wealth Management ResearchUBS Wealth Management Research is dedicated to providing the information andinsights you need to make informed financial decisions. Backed by the internationalresources of one of the world’s leading wealth management firms, we have developeda global network of analysts who conduct research on markets and trends relevantto individual investors. And at UBS, you have direct access to these experts throughour team†.Important Information about Advisory & Brokerage ServicesIt is important that you understand the ways in which UBS Financial Services Inc. (UBS) conductsbusiness and the applicable laws and regulations that govern the firm. As a firm providing wealthmanagement services to clients in the U.S., UBS is registered with the U.S. Securities and ExchangeCommission (SEC) as an investment adviser and a broker-dealer, offering both investment advisoryand brokerage services. Though there are similarities among these services, the investment advisoryprograms and brokerage accounts UBS offers are separate and distinct, differ in material ways andare governed by different laws and separate contracts.It is important that you carefully read the agreements and disclosures UBS provides to you aboutthe products or services offered. While UBS strives to ensure that these materials clearly describethe nature of the services provided, please do not hesitate to contact your Financial Advisor team,Campeau Wealth Management, if you would like clarification on the nature of your accounts orservices you receive from us.For more information, please visit our web site at† Two sources of research are available to UBS Financial Services Inc. clients. One source is written by UBS Wealth Management Research (WMR). WMR is part of UBS Global Wealth Management & Business Banking (the UBS business group that includes, among others, UBS Financial Services Inc. and UBS International Inc.), whose primary business focus is individual investors (Private Clients). The other source is written by UBS Investment Research. UBS Investment Research is part of UBS Investment Bank, whose primary business focus is institutional investors. The Private Client report style, length and content are designed to be more easily used by Private Clients. Because both sources of information are independent of one another and reflect the different assumptions, views and analytical methods of the analysts who prepared them, there may exist a difference of opinions between the two sources. Neither the Institutional report nor the Private Client report is necessarily more reliable than the other. The various research content provided does not take into account the unique investment objectives, financial situation or particular needs of any specific individual investor. If you have any questions, please consult your Financial Advisor. UBS Wealth Management Research is provided by UBS Financial Services Inc. and UBS AG. UBS Financial Services Inc. is a subsidiary of UBS AG.©2010 UBS Financial Services Inc. All Rights Reserved. Member SIPC. All other trademarks, registered trademarks,service marks and registered service marks are of their respective companies.17986094UBS Financial Services Inc. is a subsidiary of UBS AG.