Sample Pitchbook
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Baird 777 E Wisconsin Ave Milwaukee, WI 53202 414-298-6232 The GRK Group
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Transcript of Sample Pitchbook
Baird
777 E Wisconsin Ave
Milwaukee, WI 53202
414-298-6232
The GRK Group
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The trust that’s so crucial to what we do for you is something we take very seriously. And our commitment to earning
it every day is ingrained in the culture we’ve created together.
The ideas behind this culture aren’t revolutionary or difficult to understand. They may even sound familiar:
• Clients come first
• Integrity is irreplaceable
• Quality is our measure of success
• The best financial advice is the result of expertise and teamwork
• How we succeed is as important as if we succeed
But what makes our culture different is that these aren’t just ideas to us. They’re beliefs we had in common before we
ever came here. They’re values that we live when we go home at night. They’re behaviors that nearly a century of
practice has demonstrated to best support our mission:
“To provide the best financial advice and service to our clients and be the best place
to work for our associates.”
Our Culture
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How Can We Serve You?
Baird does not provide tax or legal advice. Please consult with your tax or legal advisors.
Serving as your financial partner requires not only a complete understanding of your values and priorities, but also
the planning expertise to create a wealth management solution that’s right for you. That’s why we supplement our
own deep financial knowledge with that of a broad and diverse team of in-house advanced planning specialists.
Financial
Planning
Estate and Tax
Planning
Retirement
Planning
Investment
Management
Risk and Liability
Management
• Asset Allocation
• College Funding
Strategies
• Insurance Needs
Analysis
• Executive Benefit
Planning
• Business Succession
Planning
• Estate Plan Reviews
• Modeling of Planning
and Wealth Transfer
Techniques
• Charitable Giving
Strategies
• Tax Return Reviews
• Technical Research
Analysis
• Savings Strategies
• Goal Setting
• Distribution Planning
• Tax Strategies
• Planning Strategies
for Social Security
and Healthcare
• Portfolio Management
• Comprehensive
Advisory Solutions
• Brokerage Services
• Alternative
Investments
• Cash Management
• Annuities
• Life and Long Term
Care Insurance
• Lending Services
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Asset Allocation
Source: Baird Asset Manager Research, Barclays Capital, MSCI, Standard and Poor’s, Russell. Large Growth represented by Russell 1000® Growth Index; measures the performance of those Russell 1000®
companies with higher price-to-book ratios and higher forecasted growth values. Large Value represented by Russell 1000® Value Index; measures the performance of those Russell 1000® companies with
lower price-to-book ratios and lower forecasted growth values. Mid Cap represented by Russell Midcap® Index; measures the performance of the 800 smallest companies of the Russell 1000® Index, which
represent approximately 25% of the total market capitalization of the Russell 1000® Index. Small Growth represented by Russell 2000® Growth Index; measures the performance of those Russell 2000®
companies with higher price-to-book ratios and higher forecasted growth values. Small Value represented by Russell 2000® Value Index; measures the performance of those Russell 2000® companies with
lower price-to-book ratios and lower forecasted growth values. Fixed Income represented by Barclays Capital Aggregate Bond Index, which comprises approximately 6,000 publicly traded bonds, including
U.S. Government, mortgage-backed, corporate and Yankee bonds with an average maturity of approximately 10 years. Int’l Stocks represented by The MSCI EAFE Index, which is an international index
measuring market performance of 21 countries in Europe, Australasia, and the Far East. Indices are unmanaged and are used to measure and report performance of various sectors of the market. Past
performance is no guarantee of future results, and diversification does not ensure a profit or protect against loss. Direct investment in indices is not available. Indices are unmanaged. The Russell Indices are
a trademark of the Frank Russell Company. Russell® is a trademark of the Frank Russell Company.
DIVERSIFICATION WITHIN TRADITIONAL EQUITY AND FIXED INCOME ASSET CLASSES
20 Years of the Best and Worst Performing Asset Classes | Calendar Year Returns, 1999 – 2018
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Wealth Management Consultative Process
DISCOVERY MEETING
Complete discovery process
INVESTMENT PLAN MEETING
Presentation of investment plan
MUTUAL COMMITMENT
MEETING
Confirmation of commitment
45-DAY FOLLOW-UP MEETING
Organization of account paperwork
REGULAR PROGRESS MEETINGS
Review of progress and implementation
of advanced plan
INVESTMENT PLAN AND IPS
Diagnostic of current situation, our recommendations for mobbing
forward and details on our investing approach
THE ADVANCED PLAN
Comprehensive evaluation of the entire range of financial needs with our recommendations for moving
forward
THE PROFESSIONAL
NETWORK
Team of carefully selected professionals, each with a
high level of knowledge and skill in key financial areas
PROFESSIONAL
NETWORK MEETING
Our team of specialists applies its expertise to evaluate all aspects of your
financial situation and devise
appropriate solutions
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Wealth Management Formula
WM = IC + AP + RM
WM (Wealth Management) =
IC (Investment Consulting)
+ AP
(Advanced Planning) +
RM (Relationship Management)
AP = WE + WT +WP + CG
AP (Advanced Planning) =
WE
(Wealth Enhancement: tax mitigation and cash-flow planning) +
WT
(Wealth Transfer: transferring wealth effectively; may not be within a family) +
WP
(Wealth Protection: risk mitigation, legal structures and transferring risk to insurance company)
+ CG
(Charitable Giving: maximizing charitable impact)
IC = INVESTMENT CONSULTING
Management of all investment elements to maximize the probability of clients achieving all that is important to them.
Portfolio performance analysis
Risk evaluation
Asset allocation
Assessment of impact of costs
Assessment of impact of taxes
Investment policy statement
RM = CRM + PNRM
RM (Relationship Management) =
CRM (Client Relationship Management)
+ PNRM
(Professional Network Relationship Management)
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The GRK Group
The GRK Group believes it is vital for investment decisions be made within the framework of a
clearly defined investment philosophy by using a highly disciplined and consistent investment
management process. Each client's return requirement, risk tolerance, and investment time horizon
are assessed in the planning process to determine the appropriate asset allocation and asset
selection. The team's primary objective is to minimize risk first, then to achieve a reasonable rate of
return within the given risk parameters.
PRIVATE WEALTH MANAGEMENT
THE GRK GROUP
JOHN (J.R.) RICHARDS, AAMS®
Financial Advisor
414-765-3542
ROGER KLUMB, CFP®
Vice President
414-298-1728
JEFFREY H. GAWELSKI
Director
414-765-7025
MICHELLE HERNANDEZ, CFP®
Assistant Vice President
414-298-6232
LINDA DAVIS
Client Specialist
414-765-1464
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Comprehensive Financial and Estate Planning
We know the future you want for yourself and the people you care about is important to
you. That’s why we offer broad planning services that can help make that future a
reality, including:
• Exploring potential streams of income in retirement.
• Funding a child’s education.
• Providing for the people and causes you care about.
• Managing the impact of estate taxes.
• Making sure you are adequately insured against such risks as premature death,
disability or the costs of long-term medical care.
COMPREHENSIVE FINANCIAL PLANNING
KEY HIGHLIGHTS
Our Focus Is on You.
Together we can explore your
long-term financial goals and
customize an investment
solution that’s right for you.
Comprehensive Solutions.
Baird has expertise in tax,
estate, financial, retirement
and investment planning, as
well as executive services.
Benefit From Our Experience.
Our team has decades of
combined industry
experience and has advised
clients through all kinds of
market environments.
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Scott Grenier, CFP®, AEP®
PRIVATE WEALTH MANAGEMENT
Scott Grenier, CFP®, AEP®
Senior Vice President
Manager of Financial & Estate
Planning
Scott Grenier joined Robert W. Baird & Co. in 2010. Scott is currently the Manager of
Financial & Estate Planning for Baird’s Private Wealth Management Group.
Prior to joining Baird in 2010, Scott was responsible for providing financial planning
solutions to high net worth individuals and families at Cleary Gull, Inc. Scott works with
clients and their advisors on business succession, tax and estate planning strategies,
focusing on tax efficient wealth transfer opportunities.
Scott graduated from Hamilton College with a Bachelors Degree in Economics and earned
a Master of Science in Financial Services Degree from The American College.
Scott is an Accredited Estate Planner through the National Association of Estate Planning &
Councils, Chartered Advisor in Philanthropy through The American College and a CFP®
Professional.
Scott served on the Board of Milwaukee Estate Planning Forum and is a current member of
the Milwaukee Estate Planning Forum, member of the Society of Financial Service
Professionals and a member of the Financial Planning Association in Southeastern
Wisconsin.
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Customized Estate Tax Analyses
Baird does not provide tax or legal advice. Please consult with your tax or legal advisors.
Baird’s knowledgeable specialists in estate and tax planning can help you:
• Understand the intricacies of the estate tax system and how it may impact you
• Review existing estate documents and work with your other professionals to make sure
they meet your needs
• Appreciate the impact of particular strategies for your situation and wealth transfer goals
And as estate tax policy or regulations change, you can be sure the wealth management
solutions we design with you change accordingly.
CUSTOMIZED ESTATE TAX ANALYSES
Whether you’re
transferring assets to
family or providing
for favored charities,
our financial
planners will work
with you and your
attorney to create a
plan designed to
ensure your legacy.
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Brian Ellenbecker, CFP®, CPWA®, CIMA®
PRIVATE WEALTH MANAGEMENT
Brian Ellenbecker, CFP®,
CPWA®, CIMA®
Senior Vice President
Senior Financial Planner
Brian joined Baird in March of 2005. His areas of expertise include financial and estate
planning, retirement plans, retirement income and distribution planning, Social Security and
Medicare. He also serves in a training role, helping Financial Advisors understand the
benefits of incorporating financial planning into their practice and using the tools Baird has
available to create meaningful proposals for their clients.
Prior to joining Baird, Brian spent five years at Strong Investments in Menomonee Falls,
WI, most recently as a Senior Investment Consultant, assisting preferred clients in
selecting suitable investment portfolios and creating financial and investment plans, and
working with retirement plan participants. He also spent one year as a Financial Advisor at
St. Francis Bank and New York Life, helping clients develop tax-efficient portfolios,
managing executive compensation plans, and developing financial and estate plans for
high net worth individuals.
Brian earned his bachelor’s degree in Finance from Marquette University in 2000. Brian is a
Certified Financial Planner® practitioner, a Certified Private Wealth Advisor® and a
Certified Investment Management Analyst®, and is a member of the Financial Planning
Association, where he serves on the Symposium Planning Committee, and the Investment
Management Consultants Association. In 2015, Brian was awarded a seat on the Medical
College of Wisconsin Cancer Center’s Advisory Board.
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Managing Risk and Financial Liability
Our Private Wealth Management solutions are designed to help you effectively manage your overall balance
sheet, including addressing important financial liability and risk management needs.
As a Baird client, you can use the assets in your investment portfolio to establish a line of credit to help manage
your cash flow needs. Our lending solutions can be accessed for a variety of funding needs, such as to refinance
high-interest debt, bridge financing to close on transactions quickly or other short-term cash needs.
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Jamie D. Awe, CRPC®
PRIVATE WEALTH MANAGEMENT
Jamie D. Awe, CRPC®
Senior Vice President
Senior Annuity
Jamie joined Baird in 2008. His primary duties include managing the relationships with the
insurance company partners, evaluating existing annuity contracts and providing product
expertise on today’s insured solutions.
Prior to joining Baird, Jamie spent ten years working at Financial Institutions Marketing
Company (FIMCO). He was a Regional External Wholesaler and was responsible for
marketing and distributing annuity solutions to financial institutions across the country.
Jamie graduated from the University of Wisconsin-Milwaukee (summa cum laude) with a
bachelor degree in Business Administration, majoring in both Finance and Marketing. He
also holds his WI life license along with his FINRA Series 7 & 63. In 2013, Jamie obtained
his Chartered Retirement Planning Counselor designation from the College of Financial
Planning.
Jamie and his wife Nicole have three children, ages 8, 11 and 13. Outside of work, Jamie
enjoys playing sports with the family and attending various community events. Jamie
currently serves on his local school board.
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Erica Kroll, CLU®
PRIVATE WEALTH MANAGEMENT
Erica Kroll, CLU®
Vice President
Senior Insurance Specialist
Erica Kroll joined Baird in 2003, where she is responsible for supporting Baird Financial
Advisors and their clients with their insurance based planning needs. By working through
the Baird Wealth Management process in a consultative manner, Erica is able to
incorporate insurance into the overall financial plan to enhance the client’s goals and
objectives.
Prior to joining Baird, Erica worked at Banc One Insurance Services supporting the sales
and marketing efforts of their life insurance and annuity solutions.
Erica is a Chartered Life Underwriter (CLU®) and has advanced education in long-term
care planning. She also holds the FINRA Series 6 & 63 licenses, along with the Wisconsin
life and health licenses.
Erica, her husband Erik and their daughter Haley reside in Vernon, WI. She and her family
enjoy spending time outdoors fishing and camping.
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Additional Planning Services
Baird does not provide tax or legal advice. Please consult with your tax or legal advisors.
While the people we serve often have similar financial goals, like funding a secure
retirement or their children’s college tuition, the best way to achieve them will vary from
client to client. We don’t believe in one-size-fits-all solutions and instead think the
solutions we create with you should be as unique and personal as you are.
Meeting those financial needs requires broad planning expertise in a range of
specializations, including:
• Retirement distribution planning
• Planning for Social Security and pension payments
• Managing income tax
• Strategies for employee stock option
• Investment portfolio recommendations
SOPHISTICATED ANALYSIS
Our analyses incorporate
sophisticated strategies and
technologies, including Monte
Carlo-style probability
forecasting.
Baird does not offer tax or legal advice.
©2019 Robert W. Baird & Co. Incorporated. Member SIPC. rwbaird.com. 800-79-BAIRD.
