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Creating a Brand Identity for Wealth Management
Sports & Entertainment Practice




1
The Culture of Stars




2
Your   is shinning.




3
And, you have arrived.




4
Not content to blend in, you
       work to stand apart.




5
You’re a constellation in your own right.




6
You have star power.




7
You are now capable of making your dreams reality.




8
Prolonging the limelight
    requires securing your star
    power today, for tomorrow.




9
CWA helps the brightest stars
     become super stars.




10
Advising the Modern Celebrity


                         3 Truths




11
1. Money Does Not Come with a Manual.




12
2. You Have More to Lose than the ‘Other’ Guy.




13
3. Your True Earning Ability is Concentrated.




14
Advising the Modern Celebrity


                        1 Reality




15
16
            Relative Earning Potential




     Time
Advising the Modern Celebrity


                            Proof




17
$2.9MM/5.6 Seasons   $3.4MM/4.7 Seasons   $1.8MM/3.5 Seasons   $2.1MM/5.5 Seasons




     Within 3.5 years of post-retirement almost 50% of NBA
          and NFL players are under financial duress.



18
Variable        Variable       Variable     Variable




     Pay-for-Performance professional are only as good as
       their last competition. There are no guarantees.



19
Planning for the future is not the current focus, playing
                          the game is…



20
Advising the Modern Celebrity


              4 Classic Mistakes




21
1. Ill-advised Investments in Start-Ups.




22
2. Investing in Ill-liquid Assets.




23
3. Lack of Business Competency and Acumen.




24
4. Ponzi Schemes and Money for Nothing.




25
Advising the Modern Celebrity


                      3 Promises




26
1. Sound and Fundamental Investment Strategies.
     A client’s risk profile, investment horizon, liquidity and cash flow requirements are ultimately
     integrated into a plan and implemented through an asset allocation. At CWA, Asset allocation
     is a dynamic process that is reviewed frequently to adapt to our outlook and to the changing
     needs of our clients.




27
2. Accessibility and Direct Communication with Advisors.
At CWA, we have a network of professionals with expertise in managing the complex accounting, estate
planning, philanthropic, insurance and banking needs of the professional athlete. We provide seamless
integration of all your financial planning with an investment strategy designed to protect and grow your assets
over the long term.`




28
3. Assured Accounting and Financial Services.
     Professional athletes have short careers, huge potential, and complex needs. At CWA,
     we help our clients by budgeting their current and future expenses, thinking
     strategically about their cash management, and working closely with their accountants,
     attorneys and other advisors to ensure that their post-retirement lifestyle is as
     comfortable as possible.




29
Advising the Modern Celebrity


                    Hall of Fame




30
10                      9                        8                        7                    6




      John Arne Riis          Kenny Anderson              Scotty Pippen        Mushin Muhammad           Marion Jones
      ELTE: $20MM              ELTE: $60MM              ELTE: $120MM              ELTE: $20MM           ELTE: $20MM
     Bankruptcy: 2007         Bankruptcy: 2005        Seeking Employment       Selling home on eBay    Incarcerated: 2007

                         5                       4                        3                        2                        1




      Latrell Sprewell         Michael Vick          Dick “Night Train” Lane       George Best            Mike Tyson
      ELTE: $50MM             ELTE: $130MM               ELTE: $5MM              ELTE: $100MM           ELTE: $400MM
     Foreclosure: 2008        Bankruptcy: 2008         Died in 2002 broke        Drunk and broke       Net Worth <$5MM




31
Advising the Modern Celebrity


                         Process




32
Strategy
                     Client Risk Profile Assessment
                         In order to determine the right amount of risk a client’s asset allocation
      Conservative        can accept to meet their objectives, we make the time to listen.
                         Our discussions lead us to an agreement on the levels and types of risk
                          that are appropriate for a given client’s situation.
                         Each client’s portfolio is custom designed and assessing risk tolerance is
                          paramount to the investment process.


      Moderate       Conduct Cash Flow Analysis
                         Generating the cash flow to meet their lifestyle requirements allows our
                          clients to weather difficult investment climates.
                          We model cash sources and uses to ensure that assets are positioned to
                          meet any forecasted need.


                     Define and Refine Asset Allocation over Time
      Aggressive
                         A client’s risk profile, investment horizon, liquidity and cash flow
                          requirements are ultimately integrated into a plan and implemented
                          through an asset allocation.
                         Asset allocation is a dynamic process that is reviewed frequently to adapt
                          to our outlook and to the changing needs of our clients.


33
Research
           Equities
               We evaluate hundreds of investment managers annually to focus only on
                the select few that meet our criteria of attractive risk adjusted rates of
                return, timeliness, and a focus on wealth preservation.
               Our research team utilizes sophisticated software analysis to help find and
                evaluate investment managers that meet multiple screening criteria. (left)


           Fixed Income
               Bonds are often an integral part of investment plans, particularly where
                wealth preservation is a primary goal. 
               CWA is not captive to any one trading desk. As such, we are able to
                search for bonds from multiple dealers to make the best selections for
                our clients.


           Alternatives
               The risk/return and often non-correlated characteristics of alternative
                investments can make them attractive additions to traditionally positioned
                portfolios. 
               We may seek attractive investment opportunities among hedge funds, real
                estate, and private equity offerings depending on market conditions.



34
Reporting
     Personal Financial Reports
         Wealth management is a dynamic as well as a visual process. Good decisions begin with accurate and
          complete information and a logical way in which to view it. 
         We provide clients with regular, comprehensive and useful views of their finances.


     Performance Reporting
         CWA has created a proprietary report that provides clients a comprehensive performance evaluation of their
          portfolios delivered with performance benchmarking quarterly.


     Annual Tax Dossier
         Our annual tax dossier is compiled for clients that require consolidation of pertinent tax reporting information
          across multiple custodians for client family entities and accounts.




          Balance Sheet Summary                Asset Allocation by Family Entity       Portfolio Performance Analysis


35
Services
           Estate Planning and Gifting Strategies
               Depending on client goals, there are numerous estate planning vehicles
                available for our clients to consider. 
               We can help educate our clients and their beneficiaries on various
                planning techniques before they meet with their attorneys.
               We then work closely with our clients’ counsel in planning and modeling
                the multi-generational elements to family wealth.


           Family Office Services
               Many of our client families seek our help in non-investment related areas.
                We welcome those requests and where it makes sense to deliver those
                services directly, we do.  Often, there are better or more cost effective
                alternatives outside our firm and we seek out and evaluate those
                alternatives.
               We maintain a network of firms with specialty knowledge in many areas
                of interest to our clients and will coordinate the seamless delivery of
                those services.




36
Disclosures
         This material is provided for informational purposes only and is not intended to be relied upon as a forecast, research or
         investment advice, and is not a recommendation, offer or solicitation to buy or sell any securities or to adopt any investment
         strategy. 

         The information presented herein is derived from sources deemed by Constellation to be reliable and are not guaranteed as to
         accuracy.  In data transcription, errors may occur.  The portfolio managers and the corresponding management styles described
         herein are those utilized by Constellation Wealth Advisors, LLC.  Some of the benchmarks, such as the S&P 500 or the DJIA, are
         broad-based indices used for comparative purposes only and have been selected as they are well known and easily recognizable. 
         Investment activities and performance of each manager discussed herein are potentially more volatile than the performance of the
         indices.  The performance numbers shown are unaudited, estimated figures that may or may not include brokerage and the
         reinvestment of dividends, interest and other earnings or charges.  The figures may or may not be shown net of management and
         performance fees and certain other expenses of the funds.  All performance data is subject to revision based on internal auditing
         procedures.  Past performance is not indicative of future results. 

         Constellation Wealth Advisors, LLC is an investment adviser registered with the Securities and Exchange Commission (copy of
         current Form ADV Part II is available upon request), and a broker-dealer registered with FINRA.  Please contact Constellation
         Wealth Advisors at (212) 697-2500 with any questions you might have.

     *   Assets under advisement includes client assets without a discretionary asset management agreement.




37
Advising the Modern Celebrity


                       Appendix




38
Constellation Wealth Advisors, LLC Mission Statement
     Constellation Wealth Advisors, LLC is an independent multi-family investment office with an
     uncompromising commitment to the best interests of our clients.
     We are focused on forging long-term relationships with our client families allowing them to reach and
     maintain their life goals while simplifying the inevitable complexities that come with wealth.




39
Constellation Wealth Advisors, LLC History
     • Constellation Wealth Advisors, LLC (“CWA”) was established in 2007 as an
     independent multi-family investment office. Prior to forming the company, the
     founding partners of CWA had built two of the largest wealth management practice
     groups at Citigroup’s Family Office Division.
     • The concept of CWA evolved from our observation that large financial advisory
     firms had moved away from a truly client focused culture with the flexibility and
     independent thinking required to address the complex needs of wealthy families.
     • We are registered with the U.S. Securities and Exchange Commission as both a
     Registered Investment Advisor and a Broker-Dealer.

40
“About” Constellation Wealth Advisors, LLC
     • Our firm employs 31 people in offices located in New York City and Menlo Park, California.
     • Senior Advisors of the firm each have more than 15 years of investment advisory experience.
     • Co- CEO’s Jon Goldstein and Paul Tramontano recognized by Barron’s in their April 2010 ranking of
     the Top 100 Financial Advisors.
     • CWA advises on over $3.8 billion in client assets (as of 12/31/09).*
     • We are committed to full transparency as we search and evaluate the entire universe of investment ideas. Our
     practice is primarily fee-based which supports a conflict-free approach to investment selection.
     • The principal custodians of our client assets are Bank of New York Mellon and Charles Schwab Corporation.
     • We seek client relationships with a limited number of families with a minimum of $10 million in investable
     assets.


41

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Creating a Brand Identity for Wealth Management

  • 3. The Culture of Stars 2
  • 4. Your is shinning. 3
  • 5. And, you have arrived. 4
  • 6. Not content to blend in, you work to stand apart. 5
  • 7. You’re a constellation in your own right. 6
  • 8. You have star power. 7
  • 9. You are now capable of making your dreams reality. 8
  • 10. Prolonging the limelight requires securing your star power today, for tomorrow. 9
  • 11. CWA helps the brightest stars become super stars. 10
  • 12. Advising the Modern Celebrity 3 Truths 11
  • 13. 1. Money Does Not Come with a Manual. 12
  • 14. 2. You Have More to Lose than the ‘Other’ Guy. 13
  • 15. 3. Your True Earning Ability is Concentrated. 14
  • 16. Advising the Modern Celebrity 1 Reality 15
  • 17. 16 Relative Earning Potential Time
  • 18. Advising the Modern Celebrity Proof 17
  • 19. $2.9MM/5.6 Seasons $3.4MM/4.7 Seasons $1.8MM/3.5 Seasons $2.1MM/5.5 Seasons Within 3.5 years of post-retirement almost 50% of NBA and NFL players are under financial duress. 18
  • 20. Variable Variable Variable Variable Pay-for-Performance professional are only as good as their last competition. There are no guarantees. 19
  • 21. Planning for the future is not the current focus, playing the game is… 20
  • 22. Advising the Modern Celebrity 4 Classic Mistakes 21
  • 23. 1. Ill-advised Investments in Start-Ups. 22
  • 24. 2. Investing in Ill-liquid Assets. 23
  • 25. 3. Lack of Business Competency and Acumen. 24
  • 26. 4. Ponzi Schemes and Money for Nothing. 25
  • 27. Advising the Modern Celebrity 3 Promises 26
  • 28. 1. Sound and Fundamental Investment Strategies. A client’s risk profile, investment horizon, liquidity and cash flow requirements are ultimately integrated into a plan and implemented through an asset allocation. At CWA, Asset allocation is a dynamic process that is reviewed frequently to adapt to our outlook and to the changing needs of our clients. 27
  • 29. 2. Accessibility and Direct Communication with Advisors. At CWA, we have a network of professionals with expertise in managing the complex accounting, estate planning, philanthropic, insurance and banking needs of the professional athlete. We provide seamless integration of all your financial planning with an investment strategy designed to protect and grow your assets over the long term.` 28
  • 30. 3. Assured Accounting and Financial Services. Professional athletes have short careers, huge potential, and complex needs. At CWA, we help our clients by budgeting their current and future expenses, thinking strategically about their cash management, and working closely with their accountants, attorneys and other advisors to ensure that their post-retirement lifestyle is as comfortable as possible. 29
  • 31. Advising the Modern Celebrity Hall of Fame 30
  • 32. 10 9 8 7 6 John Arne Riis Kenny Anderson Scotty Pippen Mushin Muhammad Marion Jones ELTE: $20MM ELTE: $60MM ELTE: $120MM ELTE: $20MM ELTE: $20MM Bankruptcy: 2007 Bankruptcy: 2005 Seeking Employment Selling home on eBay Incarcerated: 2007 5 4 3 2 1 Latrell Sprewell Michael Vick Dick “Night Train” Lane George Best Mike Tyson ELTE: $50MM ELTE: $130MM ELTE: $5MM ELTE: $100MM ELTE: $400MM Foreclosure: 2008 Bankruptcy: 2008 Died in 2002 broke Drunk and broke Net Worth <$5MM 31
  • 33. Advising the Modern Celebrity Process 32
  • 34. Strategy Client Risk Profile Assessment  In order to determine the right amount of risk a client’s asset allocation Conservative can accept to meet their objectives, we make the time to listen.  Our discussions lead us to an agreement on the levels and types of risk that are appropriate for a given client’s situation.  Each client’s portfolio is custom designed and assessing risk tolerance is paramount to the investment process. Moderate Conduct Cash Flow Analysis  Generating the cash flow to meet their lifestyle requirements allows our clients to weather difficult investment climates.  We model cash sources and uses to ensure that assets are positioned to meet any forecasted need. Define and Refine Asset Allocation over Time Aggressive  A client’s risk profile, investment horizon, liquidity and cash flow requirements are ultimately integrated into a plan and implemented through an asset allocation.  Asset allocation is a dynamic process that is reviewed frequently to adapt to our outlook and to the changing needs of our clients. 33
  • 35. Research Equities  We evaluate hundreds of investment managers annually to focus only on the select few that meet our criteria of attractive risk adjusted rates of return, timeliness, and a focus on wealth preservation.  Our research team utilizes sophisticated software analysis to help find and evaluate investment managers that meet multiple screening criteria. (left) Fixed Income  Bonds are often an integral part of investment plans, particularly where wealth preservation is a primary goal.   CWA is not captive to any one trading desk. As such, we are able to search for bonds from multiple dealers to make the best selections for our clients. Alternatives  The risk/return and often non-correlated characteristics of alternative investments can make them attractive additions to traditionally positioned portfolios.   We may seek attractive investment opportunities among hedge funds, real estate, and private equity offerings depending on market conditions. 34
  • 36. Reporting Personal Financial Reports  Wealth management is a dynamic as well as a visual process. Good decisions begin with accurate and complete information and a logical way in which to view it.   We provide clients with regular, comprehensive and useful views of their finances. Performance Reporting  CWA has created a proprietary report that provides clients a comprehensive performance evaluation of their portfolios delivered with performance benchmarking quarterly. Annual Tax Dossier  Our annual tax dossier is compiled for clients that require consolidation of pertinent tax reporting information across multiple custodians for client family entities and accounts. Balance Sheet Summary Asset Allocation by Family Entity Portfolio Performance Analysis 35
  • 37. Services Estate Planning and Gifting Strategies  Depending on client goals, there are numerous estate planning vehicles available for our clients to consider.   We can help educate our clients and their beneficiaries on various planning techniques before they meet with their attorneys.  We then work closely with our clients’ counsel in planning and modeling the multi-generational elements to family wealth. Family Office Services  Many of our client families seek our help in non-investment related areas. We welcome those requests and where it makes sense to deliver those services directly, we do.  Often, there are better or more cost effective alternatives outside our firm and we seek out and evaluate those alternatives.  We maintain a network of firms with specialty knowledge in many areas of interest to our clients and will coordinate the seamless delivery of those services. 36
  • 38. Disclosures This material is provided for informational purposes only and is not intended to be relied upon as a forecast, research or investment advice, and is not a recommendation, offer or solicitation to buy or sell any securities or to adopt any investment strategy.  The information presented herein is derived from sources deemed by Constellation to be reliable and are not guaranteed as to accuracy.  In data transcription, errors may occur.  The portfolio managers and the corresponding management styles described herein are those utilized by Constellation Wealth Advisors, LLC.  Some of the benchmarks, such as the S&P 500 or the DJIA, are broad-based indices used for comparative purposes only and have been selected as they are well known and easily recognizable.  Investment activities and performance of each manager discussed herein are potentially more volatile than the performance of the indices.  The performance numbers shown are unaudited, estimated figures that may or may not include brokerage and the reinvestment of dividends, interest and other earnings or charges.  The figures may or may not be shown net of management and performance fees and certain other expenses of the funds.  All performance data is subject to revision based on internal auditing procedures.  Past performance is not indicative of future results.  Constellation Wealth Advisors, LLC is an investment adviser registered with the Securities and Exchange Commission (copy of current Form ADV Part II is available upon request), and a broker-dealer registered with FINRA.  Please contact Constellation Wealth Advisors at (212) 697-2500 with any questions you might have. * Assets under advisement includes client assets without a discretionary asset management agreement. 37
  • 39. Advising the Modern Celebrity Appendix 38
  • 40. Constellation Wealth Advisors, LLC Mission Statement Constellation Wealth Advisors, LLC is an independent multi-family investment office with an uncompromising commitment to the best interests of our clients. We are focused on forging long-term relationships with our client families allowing them to reach and maintain their life goals while simplifying the inevitable complexities that come with wealth. 39
  • 41. Constellation Wealth Advisors, LLC History • Constellation Wealth Advisors, LLC (“CWA”) was established in 2007 as an independent multi-family investment office. Prior to forming the company, the founding partners of CWA had built two of the largest wealth management practice groups at Citigroup’s Family Office Division. • The concept of CWA evolved from our observation that large financial advisory firms had moved away from a truly client focused culture with the flexibility and independent thinking required to address the complex needs of wealthy families. • We are registered with the U.S. Securities and Exchange Commission as both a Registered Investment Advisor and a Broker-Dealer. 40
  • 42. “About” Constellation Wealth Advisors, LLC • Our firm employs 31 people in offices located in New York City and Menlo Park, California. • Senior Advisors of the firm each have more than 15 years of investment advisory experience. • Co- CEO’s Jon Goldstein and Paul Tramontano recognized by Barron’s in their April 2010 ranking of the Top 100 Financial Advisors. • CWA advises on over $3.8 billion in client assets (as of 12/31/09).* • We are committed to full transparency as we search and evaluate the entire universe of investment ideas. Our practice is primarily fee-based which supports a conflict-free approach to investment selection. • The principal custodians of our client assets are Bank of New York Mellon and Charles Schwab Corporation. • We seek client relationships with a limited number of families with a minimum of $10 million in investable assets. 41