Partnervest
Financial
Group
COMPANY PROFILE
We help Advisors and their clients
navigate change in a complex
environment…
888-991-9969
www.partnervest.com
Partnervest Financial Group headquartered in Santa Barbara, California is independently owned and operated by its founders. Partnervest was created in 2001 to provide business solutions and mentoring for financial advisors to serve the needs of their clients better.
Through Financial Professionals, we offer an alternative to “Investing as Usual”. We believe investors can benefit from the rigor and sophistication that typically characterize Institutional Portfolio Management without the conflicts of interest. Our goals and those of our clients are one in the same. We understand the challenges and responsibilities that come with growing and protecting a client’s wealth. Today, Partnervest is a proven well diversified firm with solid operating platforms. Partnervest believes their Investment Management expertise offer advisors and their clients’ a viable alternative to larger institutions by delivering superior service and complete transparency on a personal level. Partnervest’s comprehensive approach coupled with a high-touch service model has produced loyal advisors and very satisfied clients. Partnervest is proud of their flawless reputation. The principals of the firm believe the opportunity to deliver sound proven strategies has never been better.
Partnervest creates strong client relationships built
on trust.
Partnervest Financial Group is powered by creative
thinking, entrepreneurial spirit, and commitment to
our mutual success. They honor the true definition of
the word “Partner.”
Partnervest Financial Group
Partnervest Financial Group
Partnervest Advisory Services manages investments using a
rigorous, disciplined approach that emphasizes
consistency of
returns rather than attempting to beat a given benchmark in a
given quarter.
We believe that while markets are generally
efficient, by structuring a targeted outcome we are more likely to
achieve our goals.
We are Flexible, Independent and Unbiased in our manager and
strategy selection process.
With less than 5% of money managers
utilizing options we are part of a select group of managers that
use options to protect, diversify and repair portfolios.
We adhere to disciplined portfolio construction based on the
specific needs of each client. Existing client holdings can be either
incorporated or transitioned into each model or strategy with an
emphasis on
tax efficient management when applicable.
STAR INVESTMENT PHILOSOPHY & METHODOLOGY
PRODUCT & SERVICES OVERVIEW
STAR I
Advisor Managed PortfoliosSTAR II
Proprietary Asset Allocation StrategySTAR III
Structured Target ReturnsPortfolio
Management
Services
Performance
Reporting
Billing
Strategic & Tactical
Portfolios
Alpha utilizes three
non-correlated
ETF’s, S&P 500,
Gold and Treasury
Bonds to offer
protection of
principal across all
market cycles
Vega utilizes a
global diversified
ETF portfolio with
an overwriting
income strategy
PRODUCT & SERVICES OVERVIEW
Partnervest Financial GroupSTAR ™ Investment
Management Platform
Emphasis on
Risk-Adjusted Returns
Quantitative
Modeling Process
Tactical Satellite
Investments
Market Neutral
Global Macro
Aggressive Income
Specialty Bonds
PRODUCT & SERVICES OVERVIEW
Partnervest Financial GroupPartnervest Insurance Services, LLC
is full serviceinsurance agency. Providing advisors and their clients with comprehensive insurance and estate planning solutions for business owners, families, charitable giving and long term care.
Our advisors work side by side with a team of in-house advanced-advice planning specialists who are in the field with up-to-date planning ideas, representing the top rated insurance carriers in the country.
Partnervest Division of Sorrento Pacific Financial
Services member FINRA/SIPC
is a full service broker-dealerthat provides a complete paperless work flow and account management system for independent advisors and their clients
In this day of "too much information" and "not enough value" Partnervest works to guide and support advisors to make appropriate decisions as they relate to the needs of their clients.
Our back-office professionals have extensive experience and understand what it means to "serve" and provide service. This gives Partnervest a unique advantage in the ability to understand, design, and offer comprehensive integrated financial solutions, products, systems, and procedures with advisors and their clients in mind.
EXECUTIVE MANAGEMENT
FIRM OVERVIEW
Kenneth R. Hyman, founder and visionary of Partnervest Financial Group, is responsible for the direction and oversight of its business, financial, and operational affairs.
Prior to establishing Partnervest, he was the Senior Executive and Financial Officer for Integral Securities, Inc. (Predecessor of Partnervest Securities Inc.) and Integral Securities Europe Ltd. the regulated entities of software developer Integral Development Corp. (IDC). He was also the President and Sole-Proprietor of Partnervest, a financial services consulting firm specializing in operations, e-commerce, financial operations, compliance and regulatory issues, product and service development, and business strategies.
Prior to Partnervest and Integral, Mr. Hyman was the Managing Principal and Chief Operating Officer of Mercer Global Securities and the Director of Operations for Mercer Global Advisors, one of the nation's largest fee-only financial planning and investment management firms. He was also the Vice-President of Trading for Associated Financial Group, a financial services company providing support to more than 328 representatives in over 179 branch and satellite offices.
Mr. Hyman received a Bachelor of Science Degree in Economics/ Business Administration from the University of Arizona in 1984. He served as a member (2005-2008) and Chairman (2007-2008) of FINRA District 2 Committee and a member of FINRA Advisory Council, an arbitrator for FINRA Dispute Resolution since 1991 and as panelist for FINRA Disciplinary proceedings. He is a member of the CEO Founders Leadership Group, Santa Barbara Executive Roundtable and Business Alliance, and Santa Barbara Business Leaders. He is licensed as an Investment Advisory Representative, a Financial Operations Principal, a General Securities Principal, a Municipal Securities Principal, an Options Principal, and a General Securities Representative.
Kenneth R. Hyman
President and Chief Executive Officer
FIRM OVERVIEW
Timothy J. Mahota
Chief Compliance Officer
Timothy J. Mahota is responsible for compliance of Partnervest.
He was General Counsel and Chief Compliance Officer for Integral Securities, Inc. (Predecessor of Partnervest Securities Inc.) and Integral Securities Europe Ltd., and currently serves as General Counsel to software developer Integral Development Corp. (IDC). Mr. Mahota provides comprehensive legal advice concerning contract, compliance, intellectual property, employment, corporate governance, ERISA, and sales and marketing issues.
Prior to joining Integral and Partnervest, he was General Counsel and Chief Compliance Officer for Mercer Global Advisors and Mercer Global Securities, one of the nations largest fee-only financial planning and investment management firms, and he was an Enforcement Attorney with the U.S. Securities and Exchange Commission.
Mr. Mahota holds a bachelors degree in economics and philosophy from John Carroll University, earned his Juris Doctor from Ohio State University College of Law, and obtained a Masters of Law from Georgetown University specializing in investment regulation. He is a member of the bar in California, Ohio and the District of Columbia, chairman of the National ERISA subcommittee for the American Corporate Counsel Association, and serves on the ERISA Advisory Council to the U.S. Department of Labor. He is licensed as a General Securities Principal, a Municipal Securities Principal, an Options Principal, and a General Securities Representative.
Marcy Burton
Chief Sales & Marketing Officer
Marcy Burton is responsible for all Sales, Marketing, and Business Development activities of Partnervest Financial Group and its affiliated companies. Marcy is a recognized expert in new product development, marketing and distribution strategies through the independent financial planner channel. She has over twenty five years of executive experience building and managing effective teams with growing companies.
In 2008 she was recognized as one of the top 50 Women in Business by the Pacific Coast Business Times. She serves on the board of the Financial Planning Association of Southern California. A graduate from University of Texas, with a Masters in Business and Organizational. Psychology, she began her career at Merrill Lynch and has served as Director of Sales and Sr. Regional Vice President for Axa Financial, LLC , Fred Alger Management, Van Eck Global Inc. and Cigna Financial Services.
FIRM OVERVIEW
Jim Herrell, CFA
Director of Investments
Jim has extensive experience in managing investment portfolios across a diverse universe of styles. He was most recently a partner at Santa Barbara Quantitative Strategies where he developed and managed non-correlated hedge fund strategies. Prior to that he was a Portfolio Manager at Pacific Capital Bancorp (Santa Barbara Bank & Trust), managing over $250 million in trust assets specializing in value asset classes, and was the co-founding partner of Strome Investment Management a $1 billion Global-Macro Hedge Fund Group.
Jim is a graduate of UC Santa Barbara and earned his Chartered Financial Analyst (CFA) designation in 1994.
Partnervest Financial Group
Gunnar Sundstrom
Chief Financial Officer
Gunnar Sundstrom is the Chief Financial Officer of Partnervest Financial Group and its affiliated companies. He is responsible for the day-to-day accounting and financial activities of the firm. He also provides direct support for the Business Operations and Compliance groups at Partnervest.
Prior to joining Partnervest, he was Vice President Controller at Mentor Corporation, where he spearheaded efforts to develop sales & financial analysis systems and implement manufacturing control systems. Other prior experiences include positions of VP Operations & Controller at Gold Crest, Inc., Chief Financial Officer at The Plastic Surgery Company, a Senior Manager position at Ernst & Young and a Manager position Deloitte & Touche.
Mr. Sundstrom graduated from Fairleigh Dickinson University with a BS and an MBA in Accounting.
Carolyn S. Bishop, CFP
Director of Financial Planning
Carolyn S. Bishop is responsible for Advanced Advice and Financial Planning and Life Planning Programs of Partnervest Financial Group and its affiliated companies. Prior to joining Partnervest, Ms. Bishop was owner of Omni Financial Advisory Services, a full-service, fee-based financial planning and consulting firm. With 20 years in the practice, her expertise includes portfolio development and design, retirement planning, insurance, estate planning, cash management, charitable trusts and foundations, business continuation, fringe benefits and income tax planning.
Ms. Bishop has served as an advisor for the USA Today Personal Finance Hotline, speaker for local and national organizations and is former president of the Ventura County chapter of the Financial Planning Association. She has also served on the Board of Directors of two international non-profit organizations and currently is on the Board of Directors of the New West Symphony of Ventura County, CA. As a top ranked international basketball referee, Ms. Bishop has officiated the United States Olympic try-outs and the World University Games in Japan and Croatia. She has also lectured on sportsmanship and ethics for the National Collegiate Athletic Association at Pepperdine University.
Ms. Bishop has earned undergraduate and master degrees from Michigan State University and achieved the Certified Financial Planner designation. She is licensed as a life and health insurance agent, General Securities Representative and Uniform Investment Advisor.
Partnervest Clearing Relationships
Partnervest’s assets are held by Pershing. - a division of The Bank of New York
Mellon
Pershing, LLC is a leading global provider of clearing and financial service outsourcing solutions to nearly 1,100 institutional and retail financial organizations and investment advisors who collectively represent more than 5 million individual investors. Located in 23 offices worldwide. Pershing LLC The Bank of New York Mellon has equity capital of $11.53 billion and total assets of $99.85 billion. Pershing has a staff of more than 4,700 experienced financial professionals who are focused on supporting our firm and individual investors.
Account Protection: Pershing provides excess SIPC protection for account net equity in excess of $500,000. Visit www.sipc.org for more information about SIPC
Custodial Relationships
Partnervest has made the pragmatic decision to support the custodial relationship that best serve the needs of the advisor and their clients’.
FIRM OVERVIEW
PARTNERVEST IN THE NEWS
The Partnervest team has been featured in a variety of industry publications and has appeared on several national broadcasts to discuss issues facing financial advisors and their clients. Following is just a sampling of these accomplishments.
Additional news and articles can be found on Partnervest's website at:
http://www.partnervest.com/News.html
Partnervest Financial Group
