2. Important Client Information
It is important that you understand the ways in which we conduct business and the applicable laws and
regulations that govern us. As a firm providing wealth management services to clients in the U.S., we are
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 we offer 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 that we provide to you about the products
or services we offer. While we strive to ensure the nature of our services is clear in the materials we publish, if at
any time you seek clarification on the nature of your accounts or the services you receive, please speak with your
Private Wealth Advisor or call 201-352-9999.
For more information, please visit our website at www.ubs.com/workingwithus.
3. Table of Contents
The Orcutt Fasano Wealth Management Group – Organizational Chart 1
About the Team 2
Our T
O Team Commitment to You – Mi i St t
C it tt Y Mission Statement
t 3
Client Centric Modeling 4
Our Process 5
Portfolio Management – Sample Core-Satellite Portfolio 6
Our Team – Bios 7
4. Orcutt Fasano Wealth Management Group
Organizational Chart
Client M anagement & Business Development Extended Team
John Straus, Managing Director
John E. Orcutt Mark R. Fasano Ian Goldey Private Wealth Management
Managing Director David Fahey, Executive Director
Managing Director Vice President
Encino Branch
Wealth Management Group Wealth Management Group Senior Portfolio Manager
Randy Grossblatt, Executive Director
Beverly Hills Area Manager
Michael Ban, Managing Director
, gg
Jason B. Krischer, CFP® Advanced Wealth Strategies, Private Wealth Management
Account Vice President Ray Dinunzio, Managing Director
Western Divisional Director, Private Wealth Management
Financial Advisor
Jim Layden, Managing Manager
Western Divisional Director
Michele Grossi, Executive Director
Structured Investment Specialist - Equity
Frances Cheng Gregory Trinks, Managing Director
Structured Investment Specialist - Fixed Income
Technical Analyst
Kevin Schmidt, Director
Structured Investments
Doug Lindgren, Managing Director
Alternative Investments Director
Client Support & Operations Peter Stevens, Executive Director
Alternative Investment Regional Manager
Mark McMillen, VP
Venetta L. Reyes Global Asset Management Specialist
Sean Murphy, Executive Director
Investment Associate
Municipal Portfolio Specialist
Team Operations Manager
Ruben Quezada Patti Lee, Executive Director
Sandra Villagran Municipal Trader, Los Angeles
Senior Client Service
Client Service Associate Niel Talbot, Director
Associate
Nancy Namise Municipal Trader, Los Angeles
John Blumberger, Divisional VP
Senior Registered Client
Taxable Fixed Income Specialist
Service Associate
Cinnamon Chaney, Associate Director
Chaney
TBD
Meridith Cadra Regional Lending Manager
Client Service Associate Client Service Associate Tiffany Brain, Director
Managed Account Consultant
Monica Wilson, Director
GAM PACE Select Specialist
1
5. About The Team
The Team focuses on clients with significant wealth and aims to understand your needs and
objectives.
♦ 1 of 3 Private Wealth Advisor teams in Southern California dedicated to individuals and families of
substantial wealth
♦ Founding partners, John Orcutt and Mark Fasano, promoted to Managing Directors in 2009
♦ Key members have successfully completed rigorous accreditation programs
♦ Key members serve on the Advisory Council of the UBS Alternative Investment Group (Hedge Funds,
Private E it )
P i t Equity)
♦ Seasoned practice with over 70 years of cumulative partner investment experience
♦ Advise on approximately $1 billion of client assets, $800 million custodied at UBS(1)
♦ Clientele comprised of private business owners, senior level executives at public corporations and members
of private equity / venture capital firms who value a comprehensive planning approach to managing
firms,
personal wealth
♦ Experienced in providing advice in the areas of alternative investments, single stock management, stock
options,
options estate planning, asset management philanthropy and tax
planning management,
(1) As of June 2008
2
6. Our Team Commitment to You
Mission Statement
♦ Understanding. We will listen intently to fully understand your situation and base our advice and asset
allocation recommendations on your unique goals, time horizon, risk tolerance, and family situation.
♦ Confidentiality. Your private and confidential matters will always be treated with the utmost respect and
care.
♦ Financial Planning. We will construct a detailed financial plan including projected cash flows and an
Planning
investment policy statement to assure your goals, retirement and income needs are met.
♦ Estate Planning. We will review and help you design or amend the architecture of your estate in
conjunction with legal counsel so that your personal, family, charitable and generational goals are met.
♦ Consultation/Coordination. We will work with your other trusted advisors (tax and legal) to solve complex
issues and, when necessary, introduce you to other experts to meet your needs.
♦ Transparency. We will clearly explain our process and fee structure.
♦ Review/Customization. We will periodically and systematically review your portfolio and make adjustments
based upon market conditions or as your goals change. Reporting will be extensive and often customized.
♦ Proactive. We will contact you when upcoming tax and other factors impact your investment portfolio, or as
a changing investment landscape dictates.
♦ Research. We will utilize objective and independent research from multiple resources enabling us to provide
the best investments for your portfolio in an open architecture platform.
♦ Fairness. If a mistake is discovered, we will work to correct it immediately.
♦ Service. We will always call you back promptly. Our 10 member team and staff are here to serve you at all
times.
3
7. Our Process
True wealth management integrates your investment objectives with your values to realize the
intended purpose of your wealth.
Review Understand
♦ Review to ensure portfolio is in line ♦ Understand goals and objectives
with risk, markets and objectives
♦ Assess current assets and liabilities
♦ Review manager selection
♦ Understand cash flow
♦ Monitor performance attribution
♦ Identify capital gains
♦ Rebalance portfolio strategically
♦ Identify trust and tax needs
and adjust tactically
♦ Understand wealth transfer needs
♦ Assess concentrated assets
Agree & Implement Propose
♦ Coordinate with client ♦ Define investment strategy
tax and legal advisors
♦ Determine wealth transfer plan
♦ Identify tactical opportunities
♦ Maximize return/risk trade-off
♦ Develop funding schedule
♦ Determine asset allocation
♦ Finalize investment vehicles
♦ Integrate investments with financial
♦ Finalize manager selection planning strategies
♦ Deploy funds
♦ Monitor initial funding
4
8. Personal Team Schematic
A dedicated team of professionals advise you and your family through a lifelong relationship by
working with your trusted advisors
UBS Private Wealth Management
Orcutt Fasano Group
Financial Planning
Strategic Estate Reviews
Philanthropic Consulting
Tax Minimization Strategies
Lending Solutions
Wealth Transfer Strategies
Concentrated Stock Positions
Independent
Independent
Attorney Network
Tax Firm(s)
Client's Family
Tax Advisory &
y Family Trust
y
Planning Irrevocable Life Trust
Tax Preparation
Life Insurance
Consultant Network
Insurance Solutions
5
10. Our Team – Orcutt Fasano Wealth Management Group
John E. Orcutt Mark R. Fasano
Managing Director, C S
a ag g ecto , C.S.F.A. Managing Director C S F A
Director, C.S.F.A.
(818) 377-8899 (818) 377-8895
john.orcutt@ubs.com mark.fasano@ubs.com
Ian Goldey Jason B. Krischer, CFP®
Vice-President, Senior Portfolio Manager Financial Advisor
(818) 377-8817 (
(818) 377-8860
)
ian.goldey@ubs.com jason.krischer@ubs.com
Venetta L. Reyes Frances Cheng
Investment Associate, Team Operations Manager Technical Analyst
(818) 377-8893 (818) 377-8862
venetta.reyes@ubs.com frances.cheng@ubs.com
Nancy Namise Ruben Quezada
Senior Registered Client Service Associate Senior Client Service Associate
(818) 377-8869 (818) 377-8876
katsue.namise@ubs.com ruben.quezada@ubs.com
Sandra Villagran Meridith CCadra
Client Service Associate Client Service Associate
(818) 377-8859 (818) 377-8877
sandra.villagran@ubs.com meridith.cadra@ubs.com
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11. Our Team
John E. Orcutt, Managing Director, C.S.F.A.
John is Managing Di t at th E i
Jh i M i Director t the Encino, C lif i office of UBS Fi
California ffi f Financial S i
i l Services. H received hi BS d
He i d his degree f
from
Rutgers University and is Series 7, 63,65, Series 8 (supervisory) and Insurance licensed.
John is a 30+ year veteran working with numerous corporations and individuals through various market conditions.
John is an accredited Private Wealth Advisor for UBS and serves on the board for UBS's Alternative Investment
Advisory Council. In 2007, he was recognized for excellence in the field of financial planning and asset allocation and
joined UBS's quot;Winner's Circle,quot; an honor reserved for a select group of advisors in the country In 2009 John achieved
UBS s Winner s Circle country. 2009,
the exclusive title of Managing Director,
He began his career at Merrill Lynch followed by his association with Oppenheimer, where he specialized in various
tax arbitrage strategies for corporate and individual clients.
John is a private instrument rated pilot, wine collector and enjoys golf. He is actively involved in the Angel Flight
organization,
organization helping ferry individuals in medical need He lives in Studio City with his wife Marcia and their daughter
need. wife, Marcia,
Erin.
Mark R. Fasano, Managing Director, C.S.F.A.
Mark is Managing Director at the Encino, California office of UBS Financial Services. He received his BS degree from
Elmira College and is Series 3, 7, 63, 65 and Insurance licensed.
Mark is a 23+ year veteran who began his career at E.F. Hutton in 1986. Mark conducts the performance analysis on
the universe of private and public portfolio managers and is an accredited Private Wealth Advisor for UBS. He also
serves on the board for UBS's Alternative Investment Advisory Council. In 2008, Mark was honored among a select
y , g
group of advisors in the country for UBS's quot;Winner's Circlequot; in recognition of excellence in the field of financial
planning and asset allocation. In 2009, Mark was named Managing Director; a title reserved for a select number of
accomplished Advisors.
He was a former youth counselor for troubled teens at the New York State Division for Youth. Mark is an avid
motorcyclist, water skier and enjoys cooking. He lives in Agoura Hills with his daughter Carina, and his son Vinny.
8
12. Our Team
Ian Goldey, Vice-President, Senior Portfolio Manager
Ian i
I is a Vi President, Investments at the Encino, California office of UBS Fi
Vice P id t I t t t th E i C lif i ffi f Financial S i
i l Services. H also i a S i
He l is Senior
Portfolio Manager under the firms discretionary portfolio managers program. He is Series 7, 63,65, and Insurance
licensed.
He filed his first patent at age 11 and has been involved in multiple start-up companies, and at an early age
developed a p
p passion for investing. He began his financial services career with Salomon Smith Barney where he
g g y
became a Senior Consulting Group Associate under the firms wealth platform. In Jan 2003 he joined UBS where his
focus has been in portfolio management and family investment advice. He likes to describe his practice as a financial
concierge for the affluent and high-net worth family.
Ian has lived in the immediate area for over 40 years, married with one son (age 4). His passions include; museums,
gardening, travel, history science, inventing, technology,
gardening travel history, science inventing technology movies and attending live concerts Two of Ian’s Higher
concerts. Ian s
Purposes are Environmental Capitalism and supporting the Southern Poverty Law Center in it’s goal to stop the
spread of hatred and violence.
Jason B. Krischer, CFP®, Financial Advisor
Jason Krischer is a Financial Advisor and CERTIFIED FINANCIAL PLANNER™ professional providing goal-based
investment planning and advice to high-net worth clients. Prior to joining UBS, Jason was a litigator at the law firm
Mitchell, Silberberg & Knupp LLP representing entrepreneurs, closely-held businesses, and Fortune 500 corporations
in complex business and securities disputes and some probate and estate matters. He also clerked for Chief Justice
Thomas L. Steffen of the Nevada Supreme Court and Judge Harry Pregerson of the United States Court of Appeals for
the Ninth Circuit. Jason received his B.S., Finance, with Honors, from the University of Illinois at Champaign-Urbana,
and his J.D. from Southwestern University School of law, Summa Cum Laude (top 1%), where he also served as a
Law Review Editor.
Jason is married to Autumn and they have two boys, Jackson (4) and Austin (2). He is an advisory board member to
the P
th Para Los Ninos Charter School and enjoys skiing, k
L Ni Ch t S h l d j kii kayaking and fi hi i hi spare ti
ki d fishing in his time.
9
13. Our Team—Client Support & Operations
Venetta L. Reyes – Investment Associate, Team Operations Manager
Venetta is an Investment Associate, at the Encino, California office of UBS Financial Services, and she heads up the
teams support and operations group. She received her degree from California State Northridge and is Series 7 and 63
licensed.
Venetta originally joined the team as the group’s operations manager. She started her career at Drexal Burnham
Lambert before becoming the operations manager at Apollo Securities. She lives in North Hollywood and is involved
deeply in her community- donating over eight years to the Maryvale Orphanage for abused girls’ charity.
Frances Cheng – Technical Analyst
Frances is a Technical Analyst at the Encino, CA office of UBS Financial Services. She graduated cum laude from
Loyola Marymount University with a Bachelor of Business Administration in Finance and was recognized as the top
graduate in the Finance department. She is also a member of the national honor society for business students, Beta
Gamma Sigma. Prior to joining UBS, Frances worked at the Private Banking and Investment Group at Merrill Lynch
for 4 years.
Nancy Namise – Senior Registered Client Service Associate
Nancy is a Registered Client Service Associate at the Encino, California office of UBS Financial Services. Nancy
y g y
attended Wisconsin State University, and she is Series 7 and 63 licensed. Nancy came to us from Merrill Lynch
International, where she worked for the Private Banking group for 12 years. She currently lives in Westwood.
10
14. Our Team—Client Support & Operations
Ruben Quezada – Senior Client Service Associate
Ruben is a Client Service Associate at the Encino, California office of UBS Financial Services. Ruben started his career
in the operations department at Smith Barney where he worked for 10 years, and later as a Client Service Associate at
Merrill Lynch’s Private Banking Group. Prior to joining the financial industry, Ruben serviced as a Legal Yeoman in the
US Navy for 8 years. Ruben was awarded the following commendations while in the military: Navy Achievement
Medal, Armed Forces Expeditionary Medal, Navy Expeditionary Medal, Good Conduct Medal, Navy “E” Ribbon, (two)
Meritorious Unit Commendations and Sea Service Deployment Ribbon.
Sandra Villagran – Client Service Associate
Sandra is a Client Service Associate at the at the Encino, California office of UBS Financial Services. Sandra started
her career in the operations department at Smith Barney where she worked for 8 years. She then worked for the Los
Angeles County office of Protocol providing assistance and information to the 98 member countries of the Los Angeles
Consular Corps. In addition, she assisted the program specialist in coordinating the Consular Corps Golf/Tennis
Invitational.
Meridith Cadra – Client Service Associate
Meridith is a Client Service Associate at the Encino, California office of UBS Financial Services. Meridith started her
,
career at the UBS branch in Santa Barbara, California in September of 2007. Simultaneously, she earned her B.A. in
Psychology at the University of California, Santa Barbara, graduating in June of 2008. She enjoys swimming, snow
skiing, and exploring her new surroundings in the Los Angeles area.
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