111 Wealth Management Group at Morgan Stanley

CDM Software Solutions, Inc.

Catering to the Unique Needs of Highly Affluent Investors

Spend a few minutes speaking with Kelly E. Dougherty, Kathleen M. Valentine and Andrew R. Clark, CFP®, Financial Advisors, about their wealth management practice, and you’ll get a sense of their values. “We strive to provide a client experience that produces a sense of contentment and confidence; we want our clients to feel we are caring and trustworthy,” says Dougherty.

Their practice, the 111 Wealth Management Group at Morgan Stanley, focuses on serving the needs of high- and ultra-high-net worth families, family offices, small institutions and foundations.

Brinen & Associates, LLC

CDM Software Solutions, Inc.

Law Firm Levels the Legal Playing Field for Small and Mid-Cap Businesses

Clients of Brinen & Associates, LLC are swimming with the big sharks. These small to midcap companies are directly competing with businesses many times their size, anywhere in the world, anytime. “Technology makes it possible for small businesses to enter the marketplace and gain share. But at the same time, executives of these companies report their most important problems are the growing burden of taxes and government red tape,” says Joshua Brinen, founder and principal of the New York City law firm that focuses on the needs of public companies, private companies, small businesses, startups and those who run them.

Bel-Air Wealth Management at UBS Financial Services Inc.

CDM Software Solutions, Inc.

Advice Beyond Investing

One of the significant effects of the Great Recession that began in late 2007 was a sobering change in the attitudes of individual investors. Many investors are now looking for trustworthy advisors. “Trust has become more important than performance because people recognize their advisors are professionals who help solve very personal problems affecting generations for decades ahead,” says John Acker, CFP®, CIMA®, senior vice president at Bel-Air Wealth Management in Century City, California. “As Financial Advisors, we often deal with individuals experiencing a transition in their lives such as retirement, selling a business, caring for a loved one or the transition of assets from one generation to the next. We act as a family’s CFO and help address life’s certainties: family members are getting older and health issues are likely to arise, children will need an education, outstanding obligations must be met, and meaningful legacies should be planned.”

Pollock Financial Group

CDM Software Solutions, Inc.

PFG™ Integrates Diversified Financial Services For Affluent Investors and Corporations The rural countryside of the South San Francisco Bay area was giving way to an industrial transformation in 1960. The world was about to be introduced to “Silicon Valley” and venture capitalism. With fortunes changing as quickly as the landscape, entrepreneurs, innovators, executives, stockholders and others in Northern California found a trustworthy source of exclusive financial services they needed as James M. Pollock founded Pollock Financial Group (PFG) that year. PFG has safely steered an elite clientele through 55 years of economic opportunities and downturns. “Of the more than 2,000 clients we’ve served, most are risk takers who energize our economy. We make sure they’re not taking unnecessary risks with their personal assets and business financial plans,” says Pollock, PFG President and CEO.

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The Bermont/Carlin Group at Morgan Stanley

CDM Software Solutions, Inc.

Wealthy Investors Need Trusted Advisors

Volatility may be the “new normal” in the investment world, but nothing is ordinary about the current marketplace. “This is not the time to ‘set it and forget it.’ Active management of portfolios is timeconsuming but crucial in the market environment we are seeing today,” advises Adam E. Carlin, Managing Director – Wealth Management of The Bermont/Carlin Group at Morgan Stanley in Coral Gables, Florida.

Founded in 1974, The Bermont/Carlin Group provides highly personalized wealth management advice, focusing on the complex needs of a limited number of families and organizations with considerable assets to invest.

 

Brunner Financial & Insurance Solutions

CDM Software Solutions, Inc.

Creating Efficiencies to Maximize Retirement Income

Most people above a certain age know that when E.F. Hutton talked, people listened. But how many people know why they listened to the legendary stockbroker?

“His clients loved him because they got a check every month and they had tax diversification and better tax treatment,” says Kevin Brunner, who still follows that model. “You earned a reasonable rate of return, compounded every year. His model gave them some consistency and some certainty in retirement.”

As Brunner explains, “Retirement is all about income. It’s not about assets, because not all assets generate the same income. Retirement is all about the efficiencies, safety and control of the accumulation of assets and converting those assets into income.”

Independent Capital Management, Inc.

CDM Software Solutions, Inc.

Unbiased Advice and Top-Rated Financial Services Continue ICM’s History of Growth

Today, many financial service firms are redefining themselves to meet the demands of increasingly wary investors and to attract top professionals in a shrinking talent pool. Independent Capital Management wonders, “What took them so long?” Long before economic and regulatory pressures forced the market reset, ICM President and CEO Drew Marloe proved that independence from the big brokerage houses is a win-win for investors and advisors alike. As others in his field retrench, Marloe’s organization is experiencing tremendous growth in terms of clientele, assets and number of offices. The 27-yearold firm has approximately 100,000 clients, far in excess of $1 billion under management and $5 billion in life benefits.

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Global Wealth Solutions Group of Raymond James

CDM Software Solutions, Inc.

Helping Families Grow Wealth, With Purpose

What separates the best financial advisors from the rest isn’t how impressive their resumes are. It’s how big an impression they make: the lives they touch in a meaningful way. This is what 25-year industry veteran Lisa Detanna, MBA/WMS®, managing director of Global Wealth Solutions Group of Raymond James, calls the “human element” of the financial services business. As an awardwinning author and former president of the Beverly Hills Chamber of Commerce who has been recognized as a toptier financial advisor by Barron’s and Financial Times, Detanna has done much to raise the bar in her profession. But the heartfelt connections she makes with clients is what she loves most about her career.

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O’Connor Portfolio Management, LLC

CDM Software Solutions, Inc.

Analytical Investing Puts the Focus Where It Belongs

Like many investment advisors, Catherine L. O’Connor, APMA®, CFP® began her advisory career at a large financial institution with a Series 7 stockbroker’s license and an insurance license. Her employer had no stock-quote machines or televisions to watch the market in real time—just a focus on marketing products for a commission. More a keen-eyed analyst than a marketer, O’Connor knew there was a better way to invest clients’ hard-earned savings and retirement funds.

DeDora Capital

CDM Software Solutions, Inc.

Intensely Loyal, Mission Driven

What does it take to create a thriving wealth management practice? How do you distinguish yourself in a world full of broker-dealers, wealth advisors, portfolio managers and investment planners? Financial savvy, education and experience are all essential, of course. And you have to offer high-quality products and services. But Paul DeDora believes the defining characteristic of his practice, what truly sets DeDora Capital apart from others and the reason it has been so successful, goes beyond asset allocation or estate planning strategies, certifications and years in business, as important as they are.