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Center for Investment and Wealth Management Membership Package 2018

The Center for Investment and Wealth Management was established to address the complex issues surrounding wealth management as it affects the well-being of individuals, families and our overall economic vitality. Our mission is to create and disseminate vital, applicable research and knowledge concerning the creation, management and intergenerational transfer of wealth. The Center is an integral part of The Paul Merage School of Business and seeks to add valued teaching, outreach and research programs that further the School’s missions.



Innovative Programs Educating Future Leaders LIFEvest The LIFEvest Financial Literacy Program is a weeklong, on-campus, residential program dedicated to helping underserved 9th and 10th grade students who have the potential to become first-generation college students. The program was developed to address key deficiencies in the education of lower income high school students. Some of the critical issues are as follows: • The most significant predictor of whether a high school student will attend college is whether the student's parents have attended college. • Roughly one half of high school students in California are ineligible to apply to instate colleges due to unmet course prerequisites. • Many lower income high school students do not have adequate information about financial aid availability that can make college affordable for them.



Student Testimonials

“Nobody in my family has ever been to college or university. There’s one quote that convinced me that I need to go to college. The quote is by the U.S. Department of Labor, ‘Students who are the first in their family to go to college end poverty in their family lines forever.’ The reason why the quote motivated me is because my parents are trying hard to give me everything they can. I am trying hard to take advantage of all they give me and make the most out of it.” Luis, Class of 2015

“The LIFEvest program has personally made an impact in my life in many positive ways. I do day-to-day remembering all the lessons since most of them apply to my life right now. From what the teacher and the guest speakers have taught me it has helped me even see things in a different perspective. For example, I learned so much at the social-etiquette dinner and it has helped me be able talk to the administrators at my school, and my counselors. It helped me realize my mistakes when talking to someone, like eye contact, asking questions, and in all I have gotten recognized for being more polite. I don't think I can ever forget the LIFEvest program not just because of what they taught me, but also because of the amazing people there that actually wanted me to learn, and succeed. Alisha, Class of 2018



Investments, Financial Planning and You A robust summer program for highly motivated and talented high school students interested in gaining a comprehensive understanding of investments and financial planning. Merage School faculty partner with industry experts to create a program designed to culminate the creation of a personal wealth management plan, paving the way for lifelong financial success. The net proceeds from this self-sustaining program will help fund student scholarships for the LIFEvest Summer Financial Literacy program for underserved youth.

Charles SchwabÂŽ Training and Technology Lab This state-of-the-art lab provides a simulation of a securities trading floor offering students high-quality training and educational tools in the areas of investment and wealth management. Students receive hands-on experience, complete with tutorials and demo-data, on a wide range of advisor activities including, but not limited to, back office operations, business development, client service, and investment management. Your support of the Center funds the technology to give students the practical experience, skills and global knowledge needed to break ground in the rapidly changing business and financial landscape.



Financial Literacy for UCI Students

In an effort to expand financial literacy on campus, our Center works to find resources that will afford students vital financial skills at no cost to them. We do this through the implementation of free external resources like NEFE’s online CashCourse program. Cash Course provides free online financial education courses and assignments useful to increasing knowledge on matters like savings, student loan repayment, and more.

Financial Literacy Association (FLA) The Financial Literacy Association at UC Irvine was established to create a platform for students to discuss and learn financial topics as it pertains to them. These topics are presented in monthly workshops hosted by Merage Graduate students, seasoned financial professionals, and the Center’s director, Chris Schwarz. The club hosts a student-run Stock Market Competition in collaboration with the Center. The competition utilizes an online platform, Stock Trak, to provide students with valuable hands-on experience in stock trading as well as reducing participatory biases by

decreasing the education gap through a series of workshops and enforcing the online stock trading simulation platform’s tutorials. Julie Lim, a third year Business Administration major at the Paul Merage School of Business, partnered with the Center for Investment and Wealth Management and its mission of increasing financial literacy skills and knowledge to establish the FLA at UC Irvine. She is also the founder and visionary behind the implementation of the first UC Irvine campuswide Stock Market Competition during the 2017-2018 academic year.



Sharing Knowledge with Our Community

Community and Professional Programs In addition to being a hub for research, the Center fosters discussions of current vital issues facing the investment and wealth management industries. A critical part of the Center’s mission is to provide timely information to help educate the local community about complex issues that must be considered when developing the optimal wealth management strategy. CIWM encourages community alliances through quarterly advisory committee meetings and public events like distinguished speakers, panels and receptions hosted throughout the year.

Your Life, Your Wealth, Your Legacy: Annual Women’s Retreat Your Life, Your Wealth, Your Legacy is a retreat for affluent women to explore new ideas and gain knowledge on important topics from wealth management and to well-being. In the past, this program has featured nationally recognized speakers such as Arianna Huffington, Editor in Chief of the Huffington Post, and facilitates engaging conversation among attendees. Attendees pay a fee to attend and all revenue generated from the retreat provides funding for LIFEvest student scholarships.



Make a Lasting Impact The Center receives no funds from the state of California or the University of California Irvine. We receive support exclusively from the generosity of board members and community partners. We have helped benefit more than 30,000 individuals through our programming and available resources. We hope you will continue to assist in transforming the quality of lives of individuals in our community and give the gift of lasting impact. Together, we can share vital knowledge about the creation, preservation and transfer of wealth, in order to break barriers, ignite interests, and pave career paths that will ensure long-term success.

Engagement Opportunities Become an Advisory Board Member The Center invites the expertise of individuals to mentor, teach and advise students in order to develop and deliver timely community programs. Serving on our advisory board allows members to collaborate to develop strategies and activities to meet the educational and research needs of the community. This membership includes a fee of $25,000 paid over five years.

Volunteer Volunteers make the Center’s programs possible. Contribute your time and expertise to impact the lives of future leaders.



Advisory Board Members

GIVE BACK to the community. SUPPORT FINANCIAL LITERACY EFFICACY for all. LEND YOUR EXPERTISE to the next generation of leaders. LEAVE A LEGACY OF FINANCIAL LITERACY for underserved youth.

STAY ON THE LEADING EDGE of industry and academia synergies.

EXPAND YOUR NETWORK with like-minded professionals. ENHANCE YOUR RECOGNITION through involvement

with one of the top business schools and public universities in the country.


CIWM ADVISORY BOARD 2018-2019 Affinity Investment Advisors, LLC – Gregory Lai ’88, CFA, Jordan Floriani, CFA Alliance Bernstein Investments – Robert Forrester, Raleigh Watson Apriem Advisors – Harmon Kong, CFP ®, Rhonda Ducote Aristotle Capital Management – Steve Borowski Atlantic Trust Private Wealth Management – Wendy Chen Bank of the West – Edward Mora, Glenn Hamburger, CFP ® Beacon Pointe Advisors – Shannon Eusey Beacon Pointe Wealth Advisors / Newport Beach – Mark Moehlman, Laine Ainsworth, CFP ® BNY Mellon Wealth Management – Shannon Kennedy, Carla Furuno, Andrew Low, Marleny Cheshier Brown & Streza, LLP – Matt Brown Canterbury Consulting – Bob Cluck, JD Montgomery, Chad Bollenbach Charles Fish Investments – Betsy Shelton, Sharmi Chakraborty Charles Schwab Advisor Services – Shawnette Gauer, Bradley Losson City National Bank – David Jay Ohanian Compak Asset Management – Feroz Ansari, , CFP ® Family Financial Matters, Inc. – Patricia Soldano Fidelity Investments – Darci Toumberlin, Dawn Rapoport, CFP ®, Thomas O’Sullivan First American Trust – Kimberly Dwan Bernatz, CFP ®, Jerry Braakman First Foundation – Rick Keller, CFP ® GenSpring Family Offices – Chris A. Walters Havaplan Financial – Laurie Dubchansky, CFP ® Hotchkis & Wiley – Patrick Meegan, CPA Inspired Financial – Mark Prendergast, CPA, CFP ® Evelyn M. Zohlen, CFP ® JP Morgan Private Bank – Charles Black LPL Financial – David Karachuk CFA, CFP® Marcum LLP – Jayson Morgan, CPA, Wil Goodison-Orr, CPA Mercer Advisors – Kara Duckworth, CFP ®, Kevin Jack, CPF ® Minyard Morris Family Law – Shiry Tannenbaum Morgan Advisory Group – Brad Morgan PAAMCO – Jane Buchan Payden & Rygel – Scott Weiner PricewaterhouseCoopers LLP – Kevin Ciavarra, Ted Wilm, Tomoko Nagashima Real Estate Family Office – Sam Bhushan Redwood-Kairos Real Estate Partners – Jonathan A. Needell, Kurt Altergott CPA Rimrock Capital Management, LLC – Scott Dubchansky CFA, Paul Westhead RS Crum – Jon Theriault CFP ®, Mark Rylance, Ashley Bleckner CFP ® Squar Milner LLP – Scharrell Jackson Steadfast Capital Markets Group – Angela Barbera The Bahnsen Group High Tower – David Bahnsen CFP ®, Kimberlee Davis, Brian Tong The Private Bank at Wells Fargo – Jasmine Shodja UBS – Jennifer Povlitz CFA US Bank – Michael Denzinger CFP ®, John Knodle Wells Fargo Advisors – Adam MacDonald Wood Gutmann & Bogart – Lupe Erwin Your Legacy Project – Victoria Collins CFP ® PIMCO – Roger Nieves, Ben Stairs CIWM | MEMBERSHIP PACKAGE


Our Committees

The Center for Investment and Wealth Management operates under the guidance of various committees. These committees offer excellent resources for the Center members, students and the business community, and the unique opportunity to collaborate and network among committee members. We encourage participation whenever possible.

Executive Committee The Executive Committee is comprised of the chairpersons from each committee. This Committee meets prior to the quarterly advisory board meeting and provides the overall direction of the Center’s activities, programming, curriculum development and community outreach.



Membership/Endowment Committee Board membership is by invitation only. We aim to engage select companies and business leaders that have a continued interest in participating on the board, sharing their expertise, and helping the community through our exclusive programs. These professionals will help to increase visibility, add distinction to CIWM, and continue to bring The Paul Merage School of Business much prestige. The membership committee seeks like-minded supporters who understand the importance of giving back to support higher education, and can help us to articulate our valuable proposition which includes the following key benefits of membership: • • • • • •

Support Higher Education Leave a Legacy Stay on the Leading Edge Lend Your Expertise to the Next Generation Expand Your Network Enhance Your Recognition

Summary of the Endowed Giving Opportunities Advisory Board Membership Junior Advisory Board Membership The Paul Merage School of Business Student Scholarships Endowed LIFEvest Student Scholarship Endowed Bloomberg Terminal Licenses Naming of the LIFEvest Financial Literacy Program Naming of the Center

$25,000 paid over 5 years $5,000 paid over 2 years $150,000 to $1,000,000 $50,000 $100,000 $3,000,000 $10,000,000



LIFEvest Financial Literacy Program Steering Committee The Financial Literacy Summer Residential Program is a one-week, on-campus program dedicated to helping underserved 9th and 10th grade students by teaching them life skills associated with money and investment management in a highly supportive environment at UC Irvine. The program’s mission is to instill a continued desire to strengthen understanding of financial matters, encourage admission into a four-year college or university, and to inspire confidence and success in all areas of life. This program is at no cost to the student and is completely funded by the Center and its sponsors.

The program features classes on budgeting, debt, stock and bonds, as well as how to prepare for and pay for college. Students visit corporations around Orange County, and experience university life by living in the dorms, enjoying the beautiful campus, and participating in activities that promote teamwork. Students walk away with a solid understanding of how to make smart financial decisions for a successful future. This innovative and educational program empowers teenage boys and girls to be proactive with managing their money.

Community Programs Committee The Community Programs Committee is the arm of the Center that provides programming for the business community. Industry leaders have found the speaker series to be informative and beneficial. The Public Speakers Committee promotes the Center as a source of cutting-edge research and innovative programs that advance our understanding of and successful practice in the field of wealth management

including all of its relevant disciplines and audiences. The Public Speakers Committee Luncheon Speaker series brings together experts from various parts of the financial world to discuss the ever changing landscape and issues driving the markets and will provide a critical debate and sharing of viewpoints by sophisticated investors, economists, and institutional consultants.

“The Center’s Community Programs have been most impressive and have provided me with valuable insight and perspective on topics of current interest to those of us in the field. The presentations are always excellent and cover a wide range of strategies. Membership with Center has proven to be a rich and rewarding professional experience." Lupe Erwin, Director Private Client Insurance Division, Wood, Gutmann and Bogart



Professional Development Programs Committee The Center offers quarterly advisory committee meetings and lecture events throughout the year, including meetings, panels and receptions. The CIWM is also committed to the development of a series of short executive programs that will efficiently address topics critical to current practitioners, and offer a certificate for those who complete a specified program of study. These are presented on a quarterly basis directly after our Advisory Board Meeting. Conferences and other forums of direct benefit and topics of intense interest to the relevant community will be forthcoming, as will publications and research. Potential areas of interest for conferences and presentations may include: • Discussions of investment strategies and objectives • Clarification of appropriate investment strategies and parameters based on family dynamics and market factors



• Risk management • Valuation methods to estimate the worth of a business and psychological aspects of family dynamics

Women’s Educational Programs Planning Committee We believe affluent women continue to be underrepresented in the financial industry.. To bridge this educational gap, we offer programming that focuses on critical family dynamics that in many cases are the most challenging issues. In addition to having several dynamic female keynote speakers, topic discussions are interactive and often facilitated by panel discussions made up of women from a variety

of backgrounds who are willing to generously share their experiences for the benefit of others.. Our intent is to provide programming that is free of any advertisements, marketing, firm sponsors or biases and is intended to be purely informational and educational. UC Irvine is a premiere academic research institution and the Center is the premier resource for women managing wealth.

Program Benefits • A trusted network of peers and like-minded women • It is an opportunity to share valuable information, resources, build relationships, network and bond with other affluent women • Education and training enhancements customized to attendees’ interests • An investment and wealth management resource trove for support, inspiration, knowledge building and empowerment for women of wealth



Committee Roster Executive Committee Shawnette Gauer (Chair) 2018 Schwab Advisor Services

Victoria Collins Your Legacy Project

Carla Furuno BNY Mellon

Pat Soldano (Chair Emeritus) GenSpring Family Offices (retired)

Matt Brown Brown & Streza

Laurie Dubchansky Havaplan Financial

Kara Duckworth Mercer Advisors

Shiry Tannenbaum Minyard Morris

David Karachuk LPL Financial LLC

Laine Ainsworth Beacon Pointe Wealth Advisors

Jordan Floriani Affinity Investment Advisors

Feroz Ansari Compak Asset Management

Lupe Erwin Wood Gutmann & Bogart

Mark Moehlman (Chair Emeritus) Beacon Pointe Wealth Advisors

Membership and Endowment Committee Mark Moehlman (Chair Emeritus) Beacon Pointe Wealth Advisors

Kara Duckworth Mercer Advisors

Professional Development Programs Committee David Karachuk LPL Financial LLC

Laine Ainsworth (Chair Emeritus) Beacon Pointe Wealth Advisors

LIFEvest Financial Literacy Residential Program Committee Mark Moehlman (Chair Emeritus) Beacon Pointe Wealth Advisors Laurie Dubchansky Havaplan Financial Shawnette Gauer Charles Schwab Advisor Services Chad Bollenbach Canterbury Consulting


Stuart Blair Canterbury Consulting

Rebecca Chau PAAMCO

Feroz Ansari Compak Asset Management Jordan Floriani Affinity Investment Advisors

Ashley Bleckner RS Crum

Wendy Chen Atlantic Trust Private Wealth Management


Andy Policano Former Faculty Director Reed Douglas PAAMCO

Community Programs Committee David Karachuk LPL Financial LLC

Laine Ainsworth (Chair Emeritus) Beacon Pointe Wealth Advisors

“Investments, Financial Planning and You” Committee Feroz Ansari (Chair) Compak Asset Management

Ashley Bleckner RS Crum

Cyrus Charna Bank of the West

Glenn Hamburger Bank of the West

Women’s Educational Programming Committee Shiry Tannenbaum Minyard Morris

Victoria Collins Your Legacy Project

Lupe Erwin Wood Gutmann & Bogart

Jordan Floriani Affinity Investment Advisors

Carla Furuno BNY Mellon

Charles Schwab Trading Lab Committee & Undergraduate Course Committee Robert Forrester (Chair) Alliance Bernstein

Jerry Braakman First American Trust

Feroz Ansari Compak Asset Management



Membership Pledge Agreement Form Company Name: Address Primary Contact: Telephone:






Signature of Authorized Representative:

Please mail this completed form to: Lee Anne Maki Associate Director Center for Investment and Wealth Management (CIWM) The Paul Merage School of Business 4293 Pereira Drive, Suite 3401 Irvine, CA 92697-3125

Privacy Notice The 1977 California Information Practices Act requires UCI to inform individuals asked to supply information about themselves of the following: • UCI is requesting this information to update the general resource files of the Office of University Advancement. Furnishing this information is strictly voluntary and will be maintained confidentially. • This information may be used by other University departments but will not be disseminated to others except if required by law. • You have a right to review your own data file. Inquiries should be forwarded to the Manager of Gift Administration, Office of University Advancement, 100 Theory, Suite 250, University of California, Irvine 92617.

Donor’s Consent UC Irvine is grateful for the support it receives from friends and alumni. One of the ways our thanks is expressed is through listing the names of donors in various publications and press releases. Should you not wish that your name appear as a donor, please notify our office and also check the appropriate box on this form.

The University of California, Irvine Foundation The University of California, Irvine Foundation is a California nonprofit, public benefit corporation organized for the purpose of encouraging private support for the benefit of UCI and is recognized under both federal and state laws as a qualified recipient of tax-deductible, charitable contributions (federal ID 95-2540117). Responsibility for governance of the Foundation, including investments, is vested in its board of trustees which is composed of community leaders and senior campus administrators. All gifts are subject to UCI’s administrative fee policies for gifts to the campus.

Binding Obligation The donor intends this gift and/or pledge to be fully enforceable against the donor to the extent that the obligation has not been satisfied by gifts completed following the date of this gift and/ or pledge.

Future Considerations In the unlikely event that at some future time it becomes impossible for this gift to serve the specific purpose for which it was created, the Chancellor shall direct that the gift be devoted to purposes that he/she deems to be the most consistent with the wishes of the donor, and if possible, in consultation with the donor or the donor’s successors or assigns.

Remittance Advice Please make your check payable to “UCI Foundation #3148” and mail it to: Lee Anne Maki, CIWM, 4293 Pereira Drive, Irvine, CA 92697-3125. Please write “pledge payment” in the memo section or include a copy of this completed pledge form with our payment. To inquire about other forms of payment, please contact the Foundation Accounting office at 949-824-1612. Thank you.

4293 Pereira Drive Irvine, CA 92697-3125

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Center for Investment and Wealth Management 2018 Membership Package  

Center for Investment and Wealth Management 2018 Membership Package