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2015 OCT 10 02 - Compass IWM Presentacion Clientes borrador numero 6 English Version 11-2015

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Company Presentation November 2015
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Page 1: 2015 OCT 10 02 - Compass IWM Presentacion Clientes borrador numero 6 English Version 11-2015

Company PresentationNovember 2015

Page 2: 2015 OCT 10 02 - Compass IWM Presentacion Clientes borrador numero 6 English Version 11-2015

The Company• Compass International Wealth Mangement, LLC (“CIW”) was founded in 2014, in the

State of Florida, USA.

• CIW is an independent investment advisory business specialized in managing financial investment to improve their performance in accordance with our client’s interest

• CIW, as an advisor, follows each client’s individual objectives, risk parameters and strategies. We do not keep custody of their assets. Each client chooses their custodian.

• CIW has been licensed to operate as a Registered Investment Adviser (“RIA”) by the Florida Office of Financial Regulation on May 4th, 2015.

• With over 50 years of combined financial market experience, the founders of CIW have the expertise to guide you along the treacherous waters of financial markets, much like a trusted compass to a sailor

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What can CIW do for you

• As an independent RIA, CIW’s first priority is to provide advice in accordance to the objectives and investment needs of the client.

• The relationship between CIW and it’s clients is based on mutual trust and the suitable structuring and implementation in accordance to the financial objectives and individual needs of the client.

• CIW charges fees calculated on the amount of assets under management. This means that the success of our management and the benefit of our clients are deeply interwined.

• CIW has access to information, operations and, financial investment products in order to succesfully satisfy our client’s investment objectives.

• In addition, the investment advisory activity allows us to offer, through third party providers, a diverse range of wealth management related services.

• In the North American market, RIA’s have experienced a growth well above the orgánic one of financial institutions, in the last 5 years. (see Appendix A)

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Target Market

• For the near to medium term our target is the Hispanic market of South Florida. For the immediate term, our target market is the mid-segment of Venezuelan individuals and companies, who are not being taken care of or, are being dropped, by the large financial institutions.

• Given the present economic circumstances of Venezuela, it has become essential to have financial investments outside the country, especially in the United States, which allow for the mitigation of country risk and preserve wealth by investing in hard currency denominated assets.

• Having the necessary information and guidance about the North American financial markets given its size and sophistication, is of vital importance for prospective international clients . CIW is fully prepared to provide this support.

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Custodians(IB, Pershing) Clients

The RIA model

Business Model

Turnkey Asset Management Programs (TAMPS)

Related services

Page 6: 2015 OCT 10 02 - Compass IWM Presentacion Clientes borrador numero 6 English Version 11-2015

The Client

InvestmentAdvice

Asset allocation and

management

Retirementplanning

Asset protection

Estate planning

Tax planning

Risk management

Our client’s needs

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International services

Immigration advice

Immigration planning

Medical insurance

Government programs

Housing

Portfolio management

Investment policy design and asset

allocation

Selection and monitoring of investments

Administrative services

Preparation of account

statements

Cash flow and projections

Risk management

Documents and records

management

Tax services

Tax planning

Presentation of fiscal

documentation

Wealth transfer

Wealth planning

Estate planning

Planning for seniors

Other services

Retirement planning

Education planning

Concierge services and other support

The Client

Our Service Offering*

Offshore structures

*Accounting, tax and ,legal services offered through third party providers.

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• The Custodian is the financial institution responsible for safeguarding customer’s financial assets . The custodian is not engaged in commercial banking operations. Because the amounts of financial assets in custody tends to be extremely large, custodians are generally very large and very strong institutions.

• Interactive Brokers is CIW’s custodian:www.interactivebrokers.com/es/home.phpwww.interactivebrokers.com/es/index.php?f=6552

• This is information regarding the quality of Interactive Brokers as a custodian :https://www.interactivebrokers.com/en/index.php?f=riaCompliance&p=duediligencehttps://www.interactivebrokers.com/download/due-diligence-info.pdf

Custodian

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Management team• Christian J. Mendes

C.J. Mendes is a 25 year veteran of the financial services industry. Prior to co-founding CIWM, Mr. Mendes owned and managed "Trading Options For Income“, an options trading newsletter and trading service. Prior to TOFI, Mr Mendes worked for some of the most prestigious firms on Wall Street including UBS/PaineWebber, Citi, HSBC and Wells Fargo. Mr. Mendes has held Senior level positions within the client advisory and private wealth management divisions of these firms and has extensive experience in structured product development, derivatives/options and portfolio construction/management. Mr. Mendes has held many regulatory licenses including the FINRA series 7, series 56, series 65, the NYSE series 9/10, FINRA series 24, and the variable life insurance, health and annuity license in the state of Florida. Mr. Mendes is fluent in English, Spanish and Portuguese.

• Alejandro G. Lara Mr Lara, co founder of CIWM, has compiled an impressive resume. With over 35 years in financial services, Mr Lara has built a solid reputation both in his native country of Venezuela and abroad in the area of capital markets and diversified financial services. Mr Lara's ability to build and grow financial services companies has been widely recognized both in Venezuela and here in the U.S. Mr. Lara has a B.S. degree in business administration and an M.B.A. from Syracuse University in N.Y. He speaks English, Spanish and French.

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Management team• Rolando Araujo Mr. Araujo got his Venezuelan Law degree at the Central

University of Venezuela in 1971, with Post Graduate Degree in Commercial Law at the UCV in 1978. Became a partner at the law firm Tovar, Lange, Caracas, 1971-1985. Board of Directors member 1972-1976 at Seguros La Paz. Law COUNSEL for Seguros Nuevo Mundo C.A., 1979-1988. Law COUNSEL for Sociedad Financiera MetroAmerica C.A., 1976-1980. Legal Coordinator of Banco de Venezuela C.A., 1994-1998. Adviser for arbitration proceedings, Miami, USA, 2010-2013.

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Partner team• Gabriela Planchart

Gabriela has over 28 years of international experience as a professional in different leading positions in Finance, Banking, Marketing, Customer Service, foreign company registration on the NYSE, Latin American Markets and Investor Relations in companies like Santander and Corimon. She has worked in various countries in the Americas. She is currently responsible for Agent Health Insurance planning at Blue Cross Blue Shield for Blue Texas, Montana, New Mexico, Oklahoma and Illinois. She is an Electronics Engineer graduate of Universidad Simon Bolivar, Caracas, has advanced studies for MAcc and MSM HU-FL, an MBA from IESA, Instituto de Estudios Superiores de Administracion.

• Diana EspinoDiana is a managing partner at Negocios en Florida LLC, a member of the Association of Business Brokers in Florida. She has been a successful business executive with extensive experience in investment banking and trading. She developed her professional career in institutions like Citibank, Bank of America and Banco Santander-Venezuela. In this position she was EVP and member of the executive committee and the board of directors. She holds an MBA from IESA and, is a civil engineer graduate of Universidad Catolica Andres Bello. She has the following licenses: 215 , series 6 and 63.

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Partners• International Compliance Solutions: Is an external consulting compliance company,

established in Miami, which has a team of professionals who together have accumulated more than 20 years experience in the financial markets of USA, Europe and Latin America. Here we present information on its main partner:

– Juan Carlos Riera: with over 20 years experience in the international financial industry, which includes managerial and leadership positions in areas of Risk, Compliance, International Operations, Sales and Service, working for some of the most important international financial institutions such as Merrill Lynch, Wachovia Securities & First Clearing LLC, serving in Venezuela, Panama, United States and Switzerland. Mr. Riera is a graduate of the Law School of the Catholic University Andres Bello (UCAB) in Caracas - Venezuela and has done graduate studies in areas of administration, international management and regulation of the financial industry at the Instituto de Estudios Superiores de Administración (IESA) in Caracas - Venezuela, the University of Richmond in Virginia and the School of Global Management Thunderbird University. Additionally, he has obtained different securities licenses in the United States. Mr. Riera speaks several languages including English, Spanish and French.

• Nestor Guillen P., MBA CPA. is founder of GlobalBiz Tax and, very recently has partnered to create the company GS & A, Guillen, Serrano & Associates. He was a partner in charge of tax practice at Grant Thornton Venezuela (Gomez Guillen, Garnier y Asociados.) Mr. Guillen completed the Graduate School of Management at DeVry University. He is also a chartered accountant, CPA, licensed in Florida, Georgia and Venezuela

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Annex A- about RIA’s

• The RIA sector is growing at an anualized rate of 8% and an increase of $600 millions over the base of $1 trillion (Source: “The Cerulli Edge: U.S. Asset Management Edition”, December 2014)

• The market share expanded 11,9% in 2013, compared to 9,2% in 2007 (Source: Diecember 2014, Cerulli Associates )

• In 2013, RIAs was the largest growth sector with a rate of 17.1%, equivalent to $1.67 trillion of total assets under management (Source: December 2014, Cerulli Associates )

• In 2010, there were $1.2 trillion managed by 27.930 RIAs. (Source: April 2013, Cerulli Associates)

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Annex A- about RIA’s

• In 2011, the figure grew to $1.4 trillion managed by 28,715 RIAs. (FSource: April 2013, Cerulli Associates)

• RIAs have been able to hire 1,500 professionals coming from the entire spectrum of the financial sector, managing an average of $48 million per adviser (Fuente: Abril 2013, Cerulli Associates)

• Comparatively, Independent Broker- Dealers grew at a rate of 1.4% annually. Other financial asset management businesses decreased by 1.9% ( Source: “The Cerulli Edge: U.S. Asset Management edition” December 2013)

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• Adress: 2690 Weston Rd., Suite 200, Weston, FL 33331 USA• Phone: 954 400 5641• E-mail: [email protected]• Web site: www.ci-llc.com• Whatsapp: 001 786 973 6556• Skype: alar1949 – By appointment only

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DISCLOSURES


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