Haynes Barker Investment Management, LLC - Financial Services Overview
Boutique investment firm based in Jackson, TN, providing portfolio management, financial planning, and wealth transfer strategies to high-net-worth individuals, families, trusts, foundations, and business owners. Services include investment management, retirement planning, estate planning, asset allocation, risk management, and education planning. Managed by experienced directors with expertise in financial services and advisory roles.
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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 $1,000,000 to $2,499,999 $2,500,000 to $4,999,999 $5,000,000 + . 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
