This document provides an overview of St. James's Place, a UK-based wealth management firm. It discusses that St. James's Place representatives operate under the "St. James's Place Partnership" marketing term. It also notes that the Shanghai office is a wholly foreign-owned enterprise regulated in China. The document summarizes St. James's Place's client-focused investment approach, which includes using independent consultants to select and monitor third-party fund managers rather than using in-house managers. It also highlights client satisfaction surveys that show most clients would recommend and invest with St. James's Place again.
Morgan Lewis TCN presentation - seed and venture financing in three actsThe Capital Network
Term sheets got you tearing your hair out?
Come to Understanding Angel & Venture Term Sheets: A Play In 3 Acts where you will experience an in-depth discussion hosted by some of Boston’s most experienced attorneys. Through re-enactment of negotiations, you’ll understand how all parties: entrepreneurs, engineers and investors understand this process from their own perspectives.
High growth investments are complex: but rest assured this workshop will cut through it all to help you understand what it means for you.
Not all angel groups are created equal. Hear from the leaders of the top angel groups in Boston on where to begin when you are approaching angel groups. Learn what to expect, what they like to see, and how to make your application and pitch stand out.
Questions answered will include:
– How do you approach angel groups?
– What are the most important parts of the application?
– What is the best way to prepare for your pitch to an angel group?
– What about the JOBs act and the new solicitation rules, how does that change the landscape?
Morgan Lewis TCN presentation - seed and venture financing in three actsThe Capital Network
Term sheets got you tearing your hair out?
Come to Understanding Angel & Venture Term Sheets: A Play In 3 Acts where you will experience an in-depth discussion hosted by some of Boston’s most experienced attorneys. Through re-enactment of negotiations, you’ll understand how all parties: entrepreneurs, engineers and investors understand this process from their own perspectives.
High growth investments are complex: but rest assured this workshop will cut through it all to help you understand what it means for you.
Not all angel groups are created equal. Hear from the leaders of the top angel groups in Boston on where to begin when you are approaching angel groups. Learn what to expect, what they like to see, and how to make your application and pitch stand out.
Questions answered will include:
– How do you approach angel groups?
– What are the most important parts of the application?
– What is the best way to prepare for your pitch to an angel group?
– What about the JOBs act and the new solicitation rules, how does that change the landscape?
You did it: you’ve got some customers, you’ve pitched, you’ve networked, you’ve grown… but now what?
There’s a whole lot to understand between pitching to an Angel Group and the final handshake. We’ll walk you through the post pitching inquiry process, due diligence rounds and how they differ from group to group: from high level overviews, to in-depth analyses of every number, customer and flaw, our Angel experts will let you in on what they expect, hope for and get turned off by so you can be prepared.www.thecapitalnetwork.org
Startup founders -- this is your chance to get real answers to your real questions.
When you're seeking VC funds, it boils down to: What are venture capitalists really looking for -- and how can you show them you've got it?
In this presentation, Sean Foote, Founder and Managing Director of Co=Creation=Capital, and Gadiel Morantes, Chief Revenue Officer with Early Growth Financial Services discuss:
- What questions VCs will ask
- How to impress VCs
- Questions you should ask potential investors
- What NOT to ask investors
Co=Creation=Capital: Entrepreneurs + Money + Management = Co=Creation=Capital - because startups need all the help they can get!
EGFS is an outsourced financial services firm that provides accounting, CFO, tax, and valuation services and support to companies at all stages of the development process.
United Advisory Partners, Inc. is one of Asia most prominent investment banking firms serving middle-market companies, recording hundreds of successful transactions in many years of service.
Introduction to Business Angel Investing'Tomi Davies
This presentation is Based on the book “Angel Investing - The Gust Guide to Making Money & Having Fun Investing In Startups” by David S. Rose @davidsrose CEO of Gust and Founder of New York Angels angelinvesting.com
It is for a Masterclass designed for practising and potential business angels who want to understand the basics of angel investing. It is a comprehensive guide that walks students through every step of the way to becoming a successful angel investor.
The class exposes students to fundamental strategies and specific tools required to take full advantage of this rapidly growing asset class, from building your reputation as a smart investor, to negotiating fair deals and adding value to your portfolio of companies through to helping them implement smart exit strategies.
Fundraising 101 : Are You Ready for an Investment Round? David Ehrenberg
Why raise funds?
What are your funding options?
How much should you raise?
What do you need to do to show investors you're ready for their investment?
These questions are explored in this presentation from Shayne Vermallay from DLA Piper and Sirk Roh of Early Growth Financial Services.
Takeaways include:
- Your fundraising options at every stage of the development process
- Milestone funding
- What investors want to see
- Crafting your financial projections
- Expert pitching tips
- Financial modeling
- and more!
You did it: you’ve got some customers, you’ve pitched, you’ve networked, you’ve grown… but now what?
There’s a whole lot to understand between pitching to an Angel Group and the final handshake. We’ll walk you through the post pitching inquiry process, due diligence rounds and how they differ from group to group: from high level overviews, to in-depth analyses of every number, customer and flaw, our Angel experts will let you in on what they expect, hope for and get turned off by so you can be prepared.www.thecapitalnetwork.org
Startup founders -- this is your chance to get real answers to your real questions.
When you're seeking VC funds, it boils down to: What are venture capitalists really looking for -- and how can you show them you've got it?
In this presentation, Sean Foote, Founder and Managing Director of Co=Creation=Capital, and Gadiel Morantes, Chief Revenue Officer with Early Growth Financial Services discuss:
- What questions VCs will ask
- How to impress VCs
- Questions you should ask potential investors
- What NOT to ask investors
Co=Creation=Capital: Entrepreneurs + Money + Management = Co=Creation=Capital - because startups need all the help they can get!
EGFS is an outsourced financial services firm that provides accounting, CFO, tax, and valuation services and support to companies at all stages of the development process.
United Advisory Partners, Inc. is one of Asia most prominent investment banking firms serving middle-market companies, recording hundreds of successful transactions in many years of service.
Introduction to Business Angel Investing'Tomi Davies
This presentation is Based on the book “Angel Investing - The Gust Guide to Making Money & Having Fun Investing In Startups” by David S. Rose @davidsrose CEO of Gust and Founder of New York Angels angelinvesting.com
It is for a Masterclass designed for practising and potential business angels who want to understand the basics of angel investing. It is a comprehensive guide that walks students through every step of the way to becoming a successful angel investor.
The class exposes students to fundamental strategies and specific tools required to take full advantage of this rapidly growing asset class, from building your reputation as a smart investor, to negotiating fair deals and adding value to your portfolio of companies through to helping them implement smart exit strategies.
Fundraising 101 : Are You Ready for an Investment Round? David Ehrenberg
Why raise funds?
What are your funding options?
How much should you raise?
What do you need to do to show investors you're ready for their investment?
These questions are explored in this presentation from Shayne Vermallay from DLA Piper and Sirk Roh of Early Growth Financial Services.
Takeaways include:
- Your fundraising options at every stage of the development process
- Milestone funding
- What investors want to see
- Crafting your financial projections
- Expert pitching tips
- Financial modeling
- and more!
Toledo Multi Family Office, Zurich SwitzerlandAdina Krausz
Toledo is an owner-managed, multi-family office. We believe that every wealthy family must have an independent and
professional advisor.
Since its inception, TOLEDO, true to traditional principles
and aims, has committed to be: conservative, solid and trustworthy.
PKF Francis Clark is delighted to present our 13th annual Finance in Cornwall event on Tuesday 25th June 2019.
Delegates will hear from more than a dozen sources of funding and business support via short presentations and panel discussions, with the opportunity to ask questions and network with other local business owners and directors and professional advisers.
This year we have also teamed up with Cornwall Lenders Forum (a Cornwall Chamber of Commerce initiative), Acceleration Through Innovation and Cornwall Trade and Investment.
We have welcomed over 150 people to the event each year and we recommend that you reserve a place if you are thinking about expanding or investing further in your business in Cornwall.
1. “What it means to be a client”
The ‘St. James’s Place Partnership’ and the titles ‘Partner’ and ‘Partner Practice’ are marketing terms used to describe
St. James’s Place representatives.
Members of the St. James’s Place Partnership in Shanghai represent St. James’s Place (Shanghai) Limited, which is a Wholly Foreign Owned
Foreign Owned Enterprise (WFOE). St. James’s Place (Shanghai) Limited is part of the St. James’s Place Wealth Management Group.
Group.
2. Contents
• About us 3
• Our investment management approach 9
• What our clients think 15
• Appendices 21
2
3. About my practice
• Part of the award-winning St. James’s Place Wealth Management
• Face-to-face wealth management advice designed to suit your individual long-term
requirements
• Access to a wide range of products and services that can be tailored specifically to your
needs, making it easier and simpler for you to manage your wealth
• Provision of holistic financial planning and the very best client service - includes the
use of trusted third parties to provide everything from pension and Inheritance Tax
planning, through to investment management that offers direct access to many of the
top fund management teams across the globe
The St. James’s Place approach to investment management only applies to St. James’s Place
products.
3
4. About St. James’s Place
• A leading UK wealth management organisation
• Founded in 1991
• A FTSE 100 company with a market capitalisation of c.£5 billion
• £65 billion client funds under management
• Over 2,100 Partner Practices of the St. James’s Place Partnership
• Supported by over 1,000 employees
• In Asia since 1990, previously as The Henley Group, with offices in Hong Kong,
Shanghai and Singapore
All information as at 30 September 2015
4
5. Our Covenant
• We are committed to helping clients manage their wealth in a way that reflects their
personal circumstances now and in the future
• We put our clients firmly at the centre of everything we do
• We provide face-to-face wealth management advice clients can trust
• We are a financially strong group; solvent, profitable and with the resources, capital, people
and expertise to support clients
• We underwrite our advice with a guarantee*
* St. James’s Place guarantees the suitability of the advice given by members of the St. James’s Place
Partnership when recommending any of the wealth management products and services available
from companies in the group.
5
7. What we provide
• Long-term, face-to-face provision of high
quality advice from a highly qualified financial
adviser you can trust
• The security of knowing the advice is backed by
a guarantee* provided by a FTSE 100 company
• A business model that includes succession
planning, ensuring our clients have support and
service over the years to come from their adviser
and from us
• Use of trusted internal and third party experts to
provide high quality specialist pensions, tax and
trust advice
• Annual and online Wealth Account
• Ongoing management of investments by leading
global investment professionals**
• Regular investment updates
• Monitoring by the St. James’s Place Investment
Committee**
• Fund manager monitoring and assessment by
Stamford Associates, Redington and other
respected independent consultants**
7
8. What is your investment management
approach?
There are some important questions we think all clients need to carefully consider when it comes to investing:
• How will you choose an investment manager?
• How safe are your investments? (And how will you know?)
• How will your investments be monitored, and by whom?
• Which individual is managing your money?
• Who is monitoring them?
• What would you do if they changed jobs and how would you know?
• When is a good time to invest?
• When should you say ‘no’?
• Governance – who is on your Investment Committee?
The value of an investment with St. James’s Place will be directly linked to the performance of the funds selected
and may fall as well as rise. You may get back less than the amount invested.
The St. James’s Place approach to investment management only applies to St. James’s Place products.
8
9. Our investment management approach
9
The St. James’s Place approach to investment management only applies to St. James’s Place products.
10. Our approach to investment management
10
The St. James’s Place approach to investment management only applies to St. James’s Place products.
12. Stamford Associates and Redington:
independent investment consultancy
12The St. James’s Place approach to investment management only applies to St. James’s Place
products.
14. Benefits of our approach
• No in-house managers, so no conflict of interest
• Benefit from Investment Committee experience & expertise
• Global research capability
• Ability to appoint the best fund managers with wholesale purchasing power
• Continuous monitoring, plus quarterly reviews
• Any manager change is implemented for all clients at the same time at no additional cost and
no tax implications
• No capital-intensive products, performance guarantees, options or overly complex,
fashionable or high risk funds
• Whole of market for specialist products
14
The value of an investment with St. James’s Place will be directly linked to the performance of the funds selected and
may fall as well as rise. You may get back less than the amount invested.
The St. James’s Place approach to investment management only applies to St. James’s Place products.
15. What our clients think
15
The key findings were:
• 83%
1
are highly satisfied with their relationship with St. James’s Place
– a third scoring us 10 out of 10
• 81%
1
are highly satisfied with the relationship they have with their adviser
• 88%
1
agreed that we provide excellent client service
• 82%
1
are satisfied in the way in which we communicate with them
• 98%
2
have recommended or would recommend St. James’s Place to others
• 84%
1
would definitely invest with St. James’s Place again if making that decision today
1
Research carried out by Ledbury Research (600 surveyed) – November/December 2014. Scoring 8 or more
out of 10.
2
Wealth Account Survey (47,000 responses) – January 2015.
16. What my clients say about us
*
6
“I have had the privilege of knowing Peter for around 3 years now. I very much appreciate the way in
which Peter conducts himself and his day to day business. Peter is professional throughout and
somehow manages to strike the right balance between proactive client management whilst at the same
time respecting personal boundaries. I have no qualms at all in recommending Peter. A pleasure to
know and work with. Thank you.”
“I met Peter several years ago in his capacity as an investment advisor when my account was handed
to him after a veritable conga line (and I mean that in every sense of the phrase) of other advisors had
moved on. As a long time resident of Shanghai, this was an understandable yet disconcerting fact of life
that Peter soon remedied.
Our family investments have remained with Peter for several years based on his ability to provide
accurate, professional and empathetic advice that has my family's interests at the heart of things.
I cannot stress enough how important and rare this ability is. In a world of fast and loose relationships,
Peter stands out clearly in my mind as a welcome alternative”
17. Award-winning
18
2016
• Personal Finance – Best financial adviser
• Britain's Most Admire Company
• Wealth Management Company of the Year
• Best Private Client Manager
2015
• City of London Wealth Management Company of the Year
• Best in class Private Client Manager
• Best in Class for managing Trusts
• Best in Class Financial Adviser
•
2014
• Britain’s Most Admired Companies Awards (Top in Sector)
• The Personal Finance Awards – Best Financial Adviser
• Wealth Adviser – Best Private Client Investment Manager
• City of London Wealth Management Awards – Best Performing Fund
• Morningstar UK Fund Awards – Best Global Equity Fund
2013
• Britain’s Most Admired Companies Awards (Top in Sector)
• Shares Awards – Best Wealth Manager
• Wealth Adviser – Best Private Client Asset Manager UK
• City of London Wealth Management Company of the Year
(2013 continued)
• FT & Investors Chronicle – Best Wealth Manager for Tax Efficient Investments
• The Personal Finance Awards – Best Financial Adviser
2012
• FT & Investors Chronicle – Wealth Manager of the Year
• City of London Wealth Management Company of the Year
• UK Stock Market Awards Winner
• The Personal Finance Awards – Best Financial Adviser
2011
• FT & Investors Chronicle – Best Wealth Manager for Tax
• The Personal Finance Awards – Best Financial Adviser
2010
• Daily Telegraph – Wealth Manager of the Year
19. Treating clients fairly
A total commitment to treating our clients fairly and placing their interests at the centre of
everything we do:
• 30 days cooling off period for all products
• client illustrations which disclose the cost of advice prior to becoming a client
• transparent illustrations which are shown net of all charges (including product, fund and
annual management charges)
• personal Suitability Report written for all clients explaining the advice they have received
20
21. Our Executive Board
We are an independently quoted company with a Board of Directors which in turn has a
majority of Independent Non-Executive Directors
22
22. Governance
The strength of our governance is fundamental to our high standards and the longevity
of our business:
• Compliance with regulatory and legal responsibilities
• Entrepreneurial leadership setting strategy, vision and values
• Ensuring strong management and succession plans
• Implementing controls to safeguard against risks
• Employing the necessary financial and human resources to deliver value to our clients
• Operating a financially strong business
• Avoiding capital intensive products, options, complex, fashionable or high risk structures
23
24. Registered Office: St. James’s Place House, 1 Tetbury Road, Cirencester, Gloucestershire, GL7 1FP, United Kingdom. Registered in England Number 4113955.
