Learn about our team’s proprietary investment process.

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The Humphrey Group
UBS Financial Services Inc.
2 Union Plaza
New London, CT 06320
800-504-6020
860-447-9407 fax
ubs.com/team/humphreygroup
The focus of our relationship Building relationships to last a lifetime
Customization The Humphrey Group has been a solid presence at UBS in New London,
Observation CT for over 25 years, serving clients throughout the United States. Our
Market Awareness professionals have more than 160 years of collective experience in the
Financial Expertise financial services industry, with expertise in wealth, retirement and estate
Opportunity planning as well as investment and risk management. We have come
Respect together to provide our clients with customized and comprehensive
Teamwork financial planning, responsive and singular investment solutions developed
through our asset management arm, Mooring Wealth Management, and
dedicated, personalized service. We believe it is a privilege to be given
our clients’ trust—a privilege we carefully guard and nurture. In turn,
our clients value our advice and counsel to the extent that virtually all
of our relationships are the result of referrals. We consider our clients
to be an extension of the Humphrey Group family, and are committed
to maintaining close contact while working with them to establish a
comfortable transition through life’s many financial stages.
Investment philosophy
Traditional investment solutions begin and end with fundamentals.
Our proprietary investment process, though built on a foundation of
sound fundamentals, more intensively incorporates technical analysis in
recognition of the role technology plays in driving today’s volatile markets.
The “Buy-and-Hold” approach of old has proven sorely inadequate in
addressing individual investors’ needs for absolute, positive returns-- a
particularly dire omission, given that most individuals cannot easily replace
losses with current cashflow. Always striving to provide good relative
returns, we maintain an acute awareness of our clients’ absolute return
needs. We therefore believe it is essential to be more sensitive to managing
risk in order to preserve wealth, and we do so by defensively raising cash as
dictated by changing market conditions. One unarguable truth about the
markets: Change is constant. As such, our vigilance in risk management is
equally constant.

2. At the heart of our risk management approach, the with each client the precise level of interface most
irrefutable law of supply and demand informs all we amenable, be it monthly, quarterly or semi-annual
do. To determine the supply/demand environment at face-to-face sessions. However frequent, these reviews
any given moment, we deploy multiple tools, including are always augmented by phone contacts, mailings
UBS’s proprietary research together with other and seminars, as well as on-line communications.
extensive information sources. To our way of thinking,
periods exhibiting excess Supply (or the willingness of Mooring Wealth Management
investors to sell securities at lower and lower prices) Through our asset management arm, Mooring
indicate higher risk, warranting caution and higher Wealth Management, we actively manage
cash levels, while periods of excess Demand (or the portfolios after determining those investment vehicles
willingness of investors to pay higher and higher most appropriately aligned with a client’s goals and
prices) can offer opportunity and are to be exploited. objectives. We offer a number of different styles,
At all times and in all investment environments, we specifically formulated to address a client’s need for
look to hold those securities that exhibit and maintain income generation, a balance of income and growth,
high relative strength characteristics from market cycle and pure capital appreciation. Time horizon, risk
to cycle. tolerance and a client’s overall comfort are always
taken into account. Our goal is to be the primary
source of wealth management advice for every
‘We see the client relationship we undertake, by providing unparalleled
support and service. We would like nothing better
through all life’s than to have the privilege of welcoming you to the
Humphrey Group family!
financial stages’ About UBS
With more than 150 years of wealth management
expertise at its core, and drawing upon an integrated
mix of investment banking and asset management
A time-tested methodology businesses, UBS focuses on providing relevant
Our investment process represents the culmination guidance, differentiated global perspectives and
of many years’ experience managing portfolios diverse strategies and solutions for private, corporate
when markets are up, down and flat, together with and institutional clients worldwide.
a distinct sensitivity to clients’ needs. We take a
holistic approach, and are committed to attentive UBS Financial Advisors are dedicated and passionate
consideration of each of our clients’ individual professionals who recognize that financial goals
circumstances, discovering goals and objectives and life goals are uniquely intertwined. Through
through heart-to-heart discussion. Cashflow a comprehensive, yet customized approach,
requirements, investment preferences, familial and they access the deep resources and wealth
charitable concerns, and risk/reward parameters management expertise of this firm, and deliver
are prominent among the many considerations that the trusted financial advice clients seek today to
further govern our recommendations and the eventual confidently move forward.
implementation of a clients’ plan.
Once initiated, clients’ investment portfolios are
subjected to rigorous monitoring to help ensure assets
are achieving goals in the manner expected and are
not encountering unexpected risks. Early on, the
Humphrey Group’s client service platform establishes

3. Meet our team
Peter S. Humphrey Wharton School of Business, holds Series 7, 63 and
Senior Vice President–Investments 65 securities licenses, and is a licensed Life, Health and
Senior Portfolio Manager Variable Annuity Agent.
peter.humphrey@ubs.com
Peter has more than 40 years of R. Chris Damon, CFP®
experience in the financial services First Vice President–Investments
industry. As a founding member Portfolio Manager
of The Humphrey Group–Mooring christopher.damon@ubs.com
Wealth Management, Peter consults and advises Chris has worked in the financial
corporations, foundations, and high net worth families services industry for more than 25
around the country. He is a charter member of UBS years. He is a Certified Financial
Financial Services Inc. National Managed Accounts PlannerTM, offering portfolio
Advisory Council and the UBS Financial Services Inc. management, insurance and investment planning to
Retirement Planning Consultant Network. Peter holds individuals, charities, small businesses and institutions.
Series 7, 8, 63 and 65 securities licenses, is a Registered Chris is a keen observer of the markets and incorporates
Options Principal, and holds Insurance and Variable his extensive knowledge in the management process,
Annuity licenses. helping the team with portfolio construction and risk
management. Chris holds Series 7, 63 and 65 securities
Harrison H. Buxton III, “Cal”, CTFA® licenses, as well as life and health insurance licenses.
Senior Vice President–Investments
Senior Portfolio Manager Jason Macaluso
cal.buxton@ubs.com Vice President–Investments
For nearly three decades, Cal has been Managed Accounts Consultant
assisting clients in developing dedicated jason.macaluso@ubs.com
financial strategies, guiding high Jason brings more than 13 years
net worth individuals and families of financial services experience in
through complex situations, such as major life transitions providing wealth management advice
and liquidity events. A co-founder of Mooring Wealth and personalized service for affluent
Management, Cal holds the Certified Trust and Financial investors and their families. Jason is particularly adept
Advisor (CTFA®) designation and Series 7 and 66 securities at generating detailed financial plans and works closely
registrations, and is a graduate of the ABA National with clients and staff to accurately depict a client’s goals
Graduate Trust School. Cal is a member of the CFA and objectives. He is invaluable in integrating changing
Institute as well as the Hartford CFA Society (formerly the market technology and communications. Jason holds
Hartford Society of Financial Analysts.) Series 7, 63, and 65 securities registrations, and is a
licensed life insurance and variable annuity agent.
Jeanne Roccon Rohm
Divisional Vice President Richard Matthew Roccon
Senior Portfolio Manager Wealth Strategy Associate
jean.humphrey@ubs.com richard.roccon@ubs.com
During her 25 years with UBS, and Richard has more than two decades of
nearly 30 years in the Industry, Jeanne financial services industry experience.
has built a successful practice specializing He enjoys empowering investors
in retirement and estate planning and through education and has used
investment management consulting. A founding partner of his financial services knowledge to
the Humphrey Group-Mooring Wealth Management, she develop numerous educational modules. He has often
has also served multiple terms on UBS Financial Services been a featured speaker at financial symposiums across
Inc.’s National Managed Accounts Advisory Council and is the country. Richard has received several professional
a charter member of UBS Financial Services Inc. Retirement designations, including the Fiduciary 360 Accreditation
Planning Consultant Network. Jeanne completed the from the University of Pittsburgh. He holds Series 7 and
Executive Education Program on Pension Funds and 66 securities licenses.
Money Management from the University of Pennsylvania’s

4. ubs.com/team/humphreygroup
Important information about Advisory & Brokerage Services It is important that you understand the ways in which UBS Financial Services Inc. (UBS)
conducts business and the applicable laws and regulations that govern the firm. As a firm providing wealth management services to clients, UBS is registered
with the U.S. Securities and Exchange Commission (SEC) as an investment adviser and a broker-dealer, offering both investment advisory and brokerage
services. Though there are similarities among these services, the investment advisory programs and brokerage accounts UBS offers are separate and distinct,
differ in material ways and are governed by different laws and separate contracts. It is important that you carefully read the agreements and disclosures UBS
provides to you about the products or services offered. While UBS strives to ensure that these materials clearly describe the nature of the services provided,
please do not hesitate to contact your Financial Advisor team, The Humphrey Group, if you would like clarification on the nature of your accounts or services
you receive from us. CFP® is a certification mark owned by Certified Financial Planner Board of Standards, Inc. Certified Financial Planner™ is a certification
mark owned by Certified Financial Planner Board of Standards, Inc. For more information, please visit our web site at ubs.com/workingwithus. UBS
Financial Services Inc. is a subsidiary of UBS AG. ©2010 UBS Financial Services Inc. All rights reserved. Member SIPC. SPE_BIO_11x17_CO1126_Humphrey