VETTED
CPWA®
Tel: 949-215-4872 9900 Research Drive 2 N. Lake Ave, Suite 520 Pasadena, CA 91101
Investments and Wealth Management
About Pasadena Private Wealth
Simon brings 25 years of investment experience to his role as fiduciary and partner at Pasadena Private Wealth. He specializes in advising wealthy families and high-net worth individuals to help them achieve their long-term investment goals, including estate and heritage planning.
As a former Wall Street trader, Simon utilizes his unique investment insight to create globally diversified, tax-efficient portfolios based on solid academic research and an in-depth analysis of economic, political, and social developments around the world. His clients include current and former professionals at the top of their respective fields, including CEOs, entrepreneurs, hedge fund managers, and attorneys.
Simon currently serves on the Board of Directors of Saddleback Memorial Foundation. As a member of the Board's Investment Committee, he helps one of Orange County's leading non-profit hospital systems to invest its substantial portfolio and further its mission.
Prior to becoming an independent wealth manager, Simon was the Founder and President of his own options trading company on the floor of the American Stock Exchange in New York. There he generated significant profits utilizing risk-averse trading strategies, eventually expanding his company to include traders on the floors of the American Stock Exchange, Chicago Board of Trade and Philadelphia Stock Exchange.
Born and raised in New York City, Simon holds a B.A. degree from the University of Michigan with an emphasis on global economics.
About Pasadena Private WealthAs a former Wall Street trader, Simon utilizes his unique investment insight to create globally diversified, tax-efficient portfolios based on solid academic research and an in-depth analysis of economic, political, and social developments around the world. His clients include current and former professionals at the top of their respective fields, including CEOs, entrepreneurs, hedge fund managers, and attorneys.
Simon currently serves on the Board of Directors of Saddleback Memorial Foundation. As a member of the Board's Investment Committee, he helps one of Orange County's leading non-profit hospital systems to invest its substantial portfolio and further its mission.
Prior to becoming an independent wealth manager, Simon was the Founder and President of his own options trading company on the floor of the American Stock Exchange in New York. There he generated significant profits utilizing risk-averse trading strategies, eventually expanding his company to include traders on the floors of the American Stock Exchange, Chicago Board of Trade and Philadelphia Stock Exchange.
Born and raised in New York City, Simon holds a B.A. degree from the University of Michigan with an emphasis on global economics.
Pasadena Private Wealth provides a variety of standalone financial planning and consulting services to clients for the management of financial resources based upon an analysis of current situation, goals, and objectives. Financial planning services will typically involve preparing a financial plan or rendering a financial consultation for clients based on the client's financial goals and objectives. This planning or consulting may encompass Investment Planning, Retirement Planning, Estate Planning, Charitable Planning, Education Planning, Corporate and Personal Tax Planning, Cost Segregation Study, Corporate Structure, Real Estate Analysis, Mortgage/Debt Analysis, Insurance Analysis, Lines of Credit Evaluation, or Business and Personal Financial Planning. Written financial plans or financial consultations rendered to clients usually include general recommendations for a course of activity or specific actions to be taken by the clients. Implementation of the recommendations will be at the discretion of the client. Our firm provides clients with a summary of their financial situation, and observations for financial planning engagements. Financial consultations are not typically accompanied by a written summary of observations and recommendations, as the process is less formal than the planning service.
We're a different kind of investment advisory firm. That's because we offer much more than investment management: we are a true one-stop shop for personal and business financial advice, delivered seamlessly through one voice. With over 110 years of combined financial services experience, our bench is deep and our skills range from banking and real estate to portfolio management and corporate retirement plan design. This enables us to be highly responsive and propose solutions that take into account your entire financial picture, however complex and intermingled your various assets and income streams are.
Because we have witnessed firsthand the inefficiencies of a compartmentalized approach, PPW has purposely tried to eliminate the service layers and the product barriers that are so often present in larger institutions. Our versatile advisers are trained and equipped to answer a variety of financial questions without always needing to consult a product specialist from another division. This allows us to be product-agnostic, and makes our professional staff more responsive and more accountable to our clients on all fronts.
Our core belief is that by having all of these skills and services under one roof, we can be better stewards of your family's wealth.
See DisclosuresWe're a different kind of investment advisory firm. That's because we offer much more than investment management: we are a true one-stop shop for personal and business financial advice, delivered seamlessly through one voice. With over 110 years of combined financial services experience, our bench is deep and our skills range from banking and real estate to portfolio management and corporate retirement plan design. This enables us to be highly responsive and propose solutions that take into account your entire financial picture, however complex and intermingled your various assets and income streams are.
Because we have witnessed firsthand the inefficiencies of a compartmentalized approach, PPW has purposely tried to eliminate the service layers and the product barriers that are so often present in larger institutions. Our versatile advisers are trained and equipped to answer a variety of financial questions without always needing to consult a product specialist from another division. This allows us to be product-agnostic, and makes our professional staff more responsive and more accountable to our clients on all fronts.
Our core belief is that by having all of these skills and services under one roof, we can be better stewards of your family's wealth.
General Information
Firm Start Year:
2004
No. of Employees:
10-19 Employees
Insurance License#:
Life & Health
States Licensed in:
CA
Communities served:
Orange County, LA County, Riverside County, San Diego County
Number of Years with Current Firm:
1
Work with the following types of clients:
Individual Investors, Businesses, Investment Clubs, Non-Profit Organizations
Advisory Services Provided:
Financial Planning for Individuals, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning for Businesses, Estate Planning & Trusts, Investment Advice & Management, Financial Planning
Qualifications & Memberships
Insurance and Annuity Licenses:
Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity
Financial Organization Memberships:
FINRA (Financial Industry Regulatory Authority
Services
Investment Types:
Stocks, Bonds, Options & Futures, Mutual Funds, Annuities, Alternative Investments, Exchange Traded Funds (ETFs), Insurance
Can meet clients in the following ways:
Your Office, Email, Phone, Our Office, Your Home, Our Offices, Video Conference
Compensation and Fees
Fee Structure:
Fee-Based
Minimum Portfolio Size for New Managed Accounts:
$500,000
Compensation Methods:
Based on Assets, Flat Fee, Hourly
Firm Information
Assets Managed by Firm:
$95,000,000.00
Preferred meeting methods
I provide a free initial consultation:
Yes
Education
Bachelor of Arts - General Studies with emphasis on Global Economics:
University of Michigan
Portfolio Management
We would welcome the opportunity to provide a complimentary analysis of what your risk-adjusted, after-tax investment returns have been versus what our clients have enjoyed.
Even if you have been relatively happy with your investments in recent years, we believe it would be well worth a few minutes of your time to ensure that not only are you not leaving money on the table in terms of excessive fund fees and tax inefficiencies, but that you are also taking the appropriate amount of risk for your individual circumstances.
401K Rollovers
Pasadena Private Wealth partners with third party providers of 401K and defined benefit plans for companies that emphasize: low cost, maximum fiduciary responsibility, pre-configured efficient portfolios, and transparent cost structures.
Estate Planning & Trusts
One of the most important concerns for our client's
investment goals is planning for the future of their family.
At Pasadena Private Wealth, we work closely with our clients to understand and help them achieve these goals for generations to come. We spend a great deal of time educating our clients, with the help of estate planning attorneys, to create estate plans that are intended to nurture not spoil children, last for generations, and diminish potential issues such as divorce and legal liabilities.
Investment Advice & Management
Pasadena Private Wealth also offers consultation services regarding
specific investment and financial matters pertinent to each of its clients. These matters may include advice on isolated areas of concern that go beyond the framework of typical portfolio management and financial planning. PPW conducts due diligence on private equity, hedge fund, private placement and real estate investments.
Wealth Management
Pasadena Private Wealth's investment philosophy is based on long-term strategies incorporating the principles of modern portfolio theory. The company focuses on developing diversified model portfolios, principally through the use of low-cost, low-turnover funds, many of which are only available to institutional investors and clients of a network of selected investment advisors.
Pasadena PW believes in overweighting smaller capitalization, value oriented stocks based on the work of the Fama-French three-factor model. Pasadena Private Wealth analyzes global economic and political trends to determine the best areas and countries of the world to overweight. PPW may make tactical allocation decisions between bonds and stocks (with the consent of the client) based upon long-term relative values of where stocks and bonds trade, in addition to geo-political considerations. PPW may also provide investment advice concerning or recommend investments in private placement transactions, private equity investments, venture capital investments, hedge funds and stock options as part of its diversified and risk-managed approach to wealth management.
Pasadena PW believes in overweighting smaller capitalization, value oriented stocks based on the work of the Fama-French three-factor model. Pasadena Private Wealth analyzes global economic and political trends to determine the best areas and countries of the world to overweight. PPW may make tactical allocation decisions between bonds and stocks (with the consent of the client) based upon long-term relative values of where stocks and bonds trade, in addition to geo-political considerations. PPW may also provide investment advice concerning or recommend investments in private placement transactions, private equity investments, venture capital investments, hedge funds and stock options as part of its diversified and risk-managed approach to wealth management.
Disclosures
WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
25 Years of Experience
Compliance
Registered Investment AdvisorYes
Registered RepresentativeYes
Investment Advisor RepresentativeYes
Acknowledged fiduciaryYes
Compliance Disclosures in Last 5 yearsI have a clean record
Criminal Disclosures in Last 5 yearsI have a clean record
Office Hours
Monday9:00 AM - 5:00 PM
Tuesday9:00 AM - 5:00 PM
Wednesday9:00 AM - 5:00 PM
Thursday9:00 AM - 5:00 PM
Friday9:00 AM - 5:00 PM
Awards & Recognitions
Orange County Top Wealth Managers(04/02/2013)
Highest in Service & Overall Satisfaction
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