HAYNES BARKER INVESTMENT MANAGEMENT LLC Portfolio Management Analysis
HAYNES BARKER INVESTMENT MANAGEMENT, LLC Portfolio Management & Analysis, Financial Planning, & Wealth Transfer Strategies 233 D Oil Well Road Jackson, TN 38305 731 -664 -2808 (P) 731 -664 -3174 (Fax) www. haynesbarker. com Securities & Asset Management Offered Through LPL Financial, A Registered Investment Advisor, Member FINRA/SIPC
We are: • A boutique firm – Owners have over 25 years of combined experience as investment advisors • A Registered Investment Advisor with state of Tennessee Securities Offered Through LPL Financial, Member SIPC
Our clients are: • High net-worth individuals & families • Trusts & foundations • Business owners • Retirement plans Securities Offered Through LPL Financial, Member SIPC
Our services include: • • • Investment management & analysis Retirement plan consulting for new & existing plans Estate planning & wealth transfer strategies Asset allocation strategies Concentrated stock & risk management strategies Retirement accumulation & distribution planning Education planning Tax minimization strategies Stock option exercise planning Securities Offered Through LPL Financial, Member SIPC
Our Managing Directors & Founders: William E Haynes, III • 20 years experience in financial services industry • Expertise in portfolio management, financial planning, & insurance analysis • Currently serves on the advisory boards of Youth Town & The Salvation Army • Member & Paul Harris Fellow of the Jackson Rotary Club • Member of Leadership Jackson • Union University, BS in Business Administration (economics & finance) • Holds 7, 63, & 65 securities registrations & Life & Variable Contracts licenses Securities Offered Through LPL Financial, Member SIPC
Our Managing Directors & Founders: James H Barker, Jr. , CFA • Over 15 years experience in corporate finance & investment advisory • Expertise in portfolio management, financial analysis, & investment analysis • Earned Chartered Financial Analyst designation in 2003 • University of Denver, MBA with emphasis in finance • Washington & Lee University, BA in history • Member of CFA Society of Memphis • Holds Series 24, Series 7, Series 63, & Series 65 securities registrations Securities Offered Through LPL Financial, Member SIPC
Our process: • Initial consultation – Assess financial situation – Determine planning needs & assets to be managed – Identify investment goals & risk tolerance Securities Offered Through LPL Financial, Member SIPC
Our process: • Investment management – Perform asset allocation analysis – Develop investment policy statement (IPS) – Invest according to IPS – Monitor, update, & report on performance Securities Offered Through LPL Financial, Member SIPC
Our process: • Ongoing counseling – Face-to-face meetings & conference calls – Quarterly performance updates – Quarterly strategy implementation – Annual update of asset allocation analysis – Annual update of IPS Securities Offered Through LPL Financial, Member SIPC
What is an investment policy statement (IPS)? • Serves as strategic investment plan • Outlines investor’s – – – – Return objectives Risk tolerance Time horizon Liquidity issues Legal & regulatory issues Tax issues Unique circumstances Securities Offered Through LPL Financial, Member SIPC
Our fee schedule for investment management: Minimum account size is $250, 000 - Exceptions can be made by referral • • • Up to $249, 999 $250, 000 to $499, 999 $500, 000 to $999, 999 $1, 000 to $2, 499, 999 $2, 500, 000 to $4, 999 $5, 000 + ……………. 1. 50% 1. 25% 1. 10% 1. 00% 0. 85% 0. 65% • Up to $200 per hour for financial planning services Securities & Asset Management Offered Through LPL Financial, Member SIPC & A Registered Investment Advisor
Why fee based? • Common goals with no conflict of interest • Compensation for advice not trading • Professional, ongoing portfolio management & risk monitoring • Independent, unbiased research & analysis • A higher level of service Securities Offered Through LPL Financial, Member SIPC
Strategic Alliances • LPL Financial • The Advisory Trust Company of Delaware • Lawyers • Accountants Securities Offered Through LPL Financial, Member SIPC
LPL Financial: • Serves as our “back office” • Is the largest independent broker/dealer in the nation (Based on total revenues as reported in Financial Planning Magazine, June 1996 -2010) • Provides safe & secure custody of assets • Has no proprietary product (no investment banking) • Gives us access to: – – – State-of-the-art technology Open architecture advisory platforms Efficient execution of stock, bond, & mutual fund trades Unbiased research (no investment banking) Trust services through The Private Trust Company N. A. Securities Offered Through LPL Financial, Member SIPC
How we differentiate ourselves: • A team of professionals assist you • Offer unbiased, fee based advice & analysis • Develop a strategic investment plan to provide guidance in up & down markets • Build customized portfolios suitable to your unique needs & goals • Monitor portfolios closely & communicate performance frequently • Provide detailed reports on a consistent basis • Deliver a higher level of service Securities Offered Through LPL Financial, Member SIPC
HAYNES BARKER INVESTMENT MANAGEMENT, LLC Portfolio Management & Analysis, Financial Planning, & Wealth Transfer Strategies 233 D Oil Well Road Jackson, TN 38305 731 -664 -2808 (P) 731 -664 -3174 (Fax) www. haynesbarker. com Securities & Asset Management Offered through LPL Financial, A Registered Investment Advisor, Member FINRA/SIPC
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