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SAMPLE CLIENTS

To protect privacy, names, cities, and photos have been changed.  Portfolios are approximate and have been valued as of May, 2009.  Given the high level of service we provide to a limited number of clients, Capital Investors requests minimum investment capital of $500,000.

The Smith Family      Cleveland        $10 million

A client for over 25 years, Mr. Smith inherited substantial assets.  Our firm helped guide Mr. Smith in the development of his estate plan and the creation of family trusts and a charitable foundation, interfacing with his attorney and accountant.  After his passing in 2007, we continue to serve as financial advisor to his widow and children. The family’s wealth is invested in a diversified portfolio, including six separate styles and employs over 25 institutional-grade investment managers, each a specialist in a specific style or sub-style.

The Help-A-Child Foundation      Detroit      $650,000
 
A client since 1998, the Foundation was created to enhance the quality of life for children with neurological impairment and supports families who care for children with special needs at home.  The Foundation’s funds are conservatively invested, employing multiple institutional money managers who focus on building diversified portfolios*.
 
Ms. Kaplan      Texas        $3.5 million         

Ms. Kaplan was divorced in 1990 and received substantial funds as well as alimony from her former husband. Her attorney asked Capital Investors to serve as an expert witness during the divorce trial.  Unfamiliar with financial matters, Ms. Kaplan felt vulnerable in the face of a continuing onslaught by a number of local stockbrokers who became aware of the magnitude of her settlement.  Capital Investors helped screen her from these brokers and designed and implemented two diversified portfolios, each different in objectives and risk profile.

Ms. Jones      New York        $750,000.

A retired, single school teacher and beneficiary of her brother’s estate, Ms. Jones has a low risk tolerance, with the expectation that her modest life style, income from her school’s retirement plan, and funds managed by Capital Investors will help her achieve her retirement goals.  Capital Investors provided significant guidance in organizing her financial life as well as in retirement planning.  She has been a client since 1998.
 

Mr. Clark      Michigan        $1.5 million

A lucky winner of the Michigan lottery in 2002 at age 40, Mr. Clark, an electrician, has taken early retirement and spends his days on the golf course!  Capital Investors helped structure his investment portfolio with a focus on safeguarding his assets and has helped him with a number of other financial decisions.  Mr. Clark has credited Capital Investors with preventing him from being impetuous about his newfound wealth.

The Wright Family      Oregon        $4 million

The late Doctor Wright built a very successful osteopathic practice with several clinics.  Serving as his financial advisor, Capital Investors designed his investment portfolio in an effort to achieve maximum growth with as low a risk profile as possible.  Following his death in 1999, Capital Investors continues to guide his widow and two adult children in all aspects of their financial lives.

 

Mr. Abbott      California        $1.5 million

The owner of a successful high tech firm, Mr. Abbott sold his company in 1995.  He currently employs a number of financial advisors, including Capital Investors. He  has allocated a portion of his total portfolio to the firm in order to benefit from its multiple institutional-grade money managers.  Mr. Abbott has been a client since 1996.

Mr. Broderick      Florida        $500,000

Mr. Broderick is a senior university officer, with a substantial portion of his retirement portfolio managed by TIAA/CREF in his university-sponsored retirement plan. Capital Investors has provided him with advice on his asset allocation within that portfolio and has assisted him in negotiating his compensation arrangement with the university.  In addition, Mr. Abbott directed Capital Investors to design a diversified portfolio with funds outside the plan but in harmony with its asset allocation.

 

Dr. Evans      Illinois        $ 4.5 million

Dr.  Evans and his partners provide radiology services to a local hospital.  Capital Investors manages the retirement account of the firm and serves as investment advisor to Dr. Evans and to most of his partners, individually.  Each brought different investment objectives, risk tolerances and other unique characteristics.  Dr. Evans has been a client since 1996.

 

Estate of Mr. Adam    Arizona      $ 8.5 million

Formerly an executive of a publicly-held company, Mr. Adam accumulated substantial capital.  In 1995, Capital Investors worked with his attorney and accountant to develop an extensive estate plan, providing for various trusts and family limited partnerships.  Additionally, Capital Investors managed his investment portfolio and provided guidance on a number of financial matters during his lifetime.  After his death, Capital Investors continues to manage funds in a Q-tip trust, a charitable remainder trust and in various family limited partnerships.

Ms. Lattimer      Maryland        $2 million

Divorced in 2002, Ms. Lattimer was seeking a financial advisory firm to both help manage funds from her divorce settlement and guide her through an estate planning process she had begun with her accountant, as well as to provide advice and planning for her charitable objectives.

 

Ms. Bender      Cincinnati        $1.5 million           

A divorced  practicing attorney, Ms. Bender became a Capital Investors client in 1996.  Capital Investors designed and implemented investment strategies for Ms. Bender and for her two children’s trusts.

 

The case studies presented are intended to demonstrate the diversity of financial planning and investment strategies used by Capital Investors Advisory Corporation. The case studies presented should not be construed as being representative of all of our client’s experiences with the firm. The case studies presented should not be interpreted as a guarantee of future performance or success. The portfolio valuations are present to demonstrate the high net worth of our clients and should not be interpreted in any manner as advertising investment related performance. Our financial planning approach will be different for each client depending upon the needs of the client and may differ greatly from the case studies presented.

 

*All investments and investment strategies are subject to risk, including the potential loss of principal invested. Diversification cannot assure a profit or protect against loss or outperform a non-diversified portfolio in any given market.

 

Royal Alliance Associates, Capital Investors and TIAA/CREF are all unaffiliated companies.



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