The Rooney Blomberg Group at Morgan Stanley Smith Barney - managing your wealth, growing our relationship
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The Rooney Blomberg Group at Morgan Stanley Smith Barney managing your wealth, growing our relationship
The Rooney Blomberg Group is committed to building long
term relationships, providing high quality tailored financial
advice and being a trusted source of wealth management for
our clients.Our Philosophy
We believe that helping clients achieve their financial
goals begins with understanding their needs. Only
then can we provide the comprehensive guidance
that seeks to answer their most fundamental
question: Can we attain our goals?
To address questions like these, we take a holistic
approach to helping them invest and manage their
wealth, which means that we focus on all aspects of
their financial lives, not just parts of it. We believe
that our clients deserve financial advisors who share
their vision, earn their trust and work diligently to
uncover myriad possible strategies that help them
address their aspirations and create a legacy for
future generations.
Our Commitment
Our clients are the foundation of our practice. As such, we are committed to
making a meaningful difference in their lives by guiding them to make well-
informed financial decisions, helping them to attain their goals and striving to
transcend their expectations.
Our dedication to this commitment encompasses providing a high level of client
service, both proactively and responsively. Equally important is our attentiveness
to anticipating changes and challenges in our clients’ lives and to helping them
be prepared to meet those circumstances as they arise. We endeavor to earn our
clients’ trust, thereby building long-lasting relationships with them and their
families.
MORGAN STANLEY SMITH BARNEY/3Meet the JAMES ROONEY
Senior Vice President-Wealth Management
ROBERT BLOMBERG, CHFC®
Second Vice President-Wealth Management
Professionals Portfolio Manager Financial Planning Specialist
James has over 20 Bob has over 25 years
years experience of experience in the
managing equity and financial services
balanced accounts for industry working for
individuals, the Travelers Life &
corporations and non- Annuity Co., a
profit organizations. member of Citigroup.
Currently James holds the title of Before joining Smith Barney in 2000,
Portfolio Manager (PM) at Smith Barney. Bob was a member of the Senior
Only a select group of Financial Advisors Management Team of the Travelers Long-
earn this privilege. The PM Groupsm was Term Health Care Division. While at
founded in 1979 to provide individual Travelers, Bob attained the Chartered
investors with a level of personalized Financial Consultant designation. The
portfolio management typically reserved ChFC® program includes advanced
for major institutions. Portfolio managers coverage of estate, retirement, and
are a select group of Financial Advisors financial planning applications, catering
who are qualified to independently to the needs of both individuals and small
manage client assets based on training, business owners. Bob is also the Smith
experience and commitment to service. Barney West Hartford Branch Insurance
Coordinator.
Before joining Smith Barney, James was a
Senior Portfolio Manager at PaineWebber. Bob has been a Chartered Financial
Prior to working at PW, he was a ConsultantTM since 1991 and holds an
Financial Consultant at Merrill Lynch in MBA from the University of Connecticut.
NY. James holds a BA in Business Admin.
Bob holds a NASD Series 7, 63, 65, and
& Marketing from the New York Institute
66 Licenses. He also holds his Life and
of Technology.
Health Insurance Licenses.
James holds a NASD Series 7, 63, 65, and
Bob is married, has three children and
66 Licenses. He also holds his Life and
resides in Simsbury. He is active in his
Health Insurance Licenses.
local church, is a member of the
James, his wife, and 4 sons reside in Farmington Valley Symphony and enjoys
Simsbury, CT. He is active in his church, golf.
coaches youth sports and enjoys golf.
4/MORGAN STANLEY SMITH BARNEYGEOFFREY SWANSON LELA SUBASIC
Financial Planning Analyst Registered Associate
CERTIFIED FINANCIAL PLANNER TM Financial Planning Associate
Geoff joined Smith Lela joined Smith
Barney in 2002. While Barney in 2004, after
at Smith Barney, Geoff graduating from
attained the American University
designation of with a bachelor’s
CERTIFIED FINANCIAL degree in Finance.
PLANNER™ . This While at Smith Barney,
designation is awarded to individuals who she has earned the designation of
successfully complete the CFP® Financial Planning Associate. This
certification process that includes a designation is awarded to those who
series of demanding education, successfully complete Smith Barney’s
examination, experience and ethical advanced financial planning training
requirements. This program of training program. The training program covers a
and education which is instituted by the wide range of topics including Retirement
Certified Financial Planner Board of Planning, Education Planning, Income and
Standards Inc. concludes with a Estate Tax Planning, Asset Allocation and
challenging exam covering a wide range Net Worth Analysis.
of topics, including retirement planning,
Lela also holds a NASD Series 7, 63 and
insurance planning, employee benefits
65 Licenses.
planning, income and estate tax planning,
and investment planning. Lela lives in Canton and currently
volunteers with the Big Brothers Big
Geoff holds a NASD Series 7, 63, 65, and
Sisters Program. She enjoys traveling and
66 Licenses. He also holds his Life and
spending time with friends and family.
Health Insurance Licenses.
Prior to joining Smith Barney, Geoff
earned a BS in Finance with a minor in
Economics from Grove City College.
Geoff, his wife, and two children reside in
Simsbury. He is active in is local church,
volunteers mentoring local high school
students and enjoys fly-fishing.
MORGAN STANLEY SMITH BARNEY/5The Way We Do Business
A successful business is a life’s work. Which is why managing your business finances can’t be
separated from managing your personal finances. That’s why we like to begin each new
relationship with a review of both your personal and your business financial picture. Because
every client is unique, we spend time listening to your story. How you got to where you are today.
As well as where you want to be tomorrow.
Once we have a thorough understanding of your situation, we can begin to help you manage your
wealth, suggesting ways that your personal assets can support your business growth. And ways in
which your business can help you to meet your personal goals.
6/MORGAN STANLEY SMITH BARNEYOur process includes the following steps: We frequently and systematically review your wealth plan
so we can help you adapt to changes in your life.
STEP 1. SETTING YOUR FINANCIAL OBJECTIVES
Milestones like marriage, children and grandchildren,
We begin by reviewing your current financial resources,
buying and selling a home, starting another business or
objectives and other circumstances that might influence
selling your current one, and retirement can all have an
your investment strategy. We analyze your time horizon
effect on your plan and how we can help you to meet your
and tolerance for risk, as well as any current and potential
objectives. Of course, we can work with you to evaluate
liabilities. From a business standpoint, we discuss your
your investment portfolio over time, recommending
current financial systems and what you may need to meet
adjustments as necessary, so that your investment
the day-to-day or growth demands of your business.
strategy can keep working hard.
STEP 2. DEVELOPING YOUR FINANCIAL-
Diversification does not guarantee a profit or protect
MANAGEMENT STRATEGY
against loss.
Based on your input, our recommendations could
encompass such varied disciplines as retirement planning,
business succession, debt restructuring and wealth
transfer. Your plan also includes a customized asset
allocation that helps to identify appropriate diversification
strategies.
STEP 3. IMPLEMENTING YOUR INVESTMENT PLAN
After presenting you with a detailed strategy for your
portfolio, we work closely with you to help bring the
elements to life. Should we decide that a professionally
managed investment approach is appropriate for you, we
will access Smith Barney’s considerable resources to
review the hundreds of investment-management firms
competing for your business and select the ones that align
with your set of financial objectives. Or perhaps you’d
prefer individual securities; if so, we can identify specific
securities that will be suitable for your portfolio.
STEP 4. PROVIDING BUSINESS STRATEGIES
Having helped to identify your business challenges and
obstacles, we consult with specialists throughout the
firm to bring you the services you may need to take your
business to the next level.
STEP 5. REVIEWING OBJECTIVES AND
PERFORMANCE
MORGAN STANLEY SMITH BARNEY/7Wealth Management Is Not Just About Finances
We all have two futures—the one that just happens, and the one we actively shape. The
difference is wealth management.
It’s important to us to manage our clients’ wealth, not · Wealth transfer: We work with you, as well as with your
merely their investments. There’s a big difference. By tax and legal experts, to determine how you live, what your
taking a wealth management approach, we can help you lifestyle will require in cash flow, what you want to pass to
determine what’s really important to you, then develop the next generation and the causes you care about. The
strategies to help you realize your most cherished hopes. result is a comprehensive plan that includes
We’ll go beyond investment management to look at not recommendations on trusts and estate planning, charitable
just your assets but your liabilities too; not just your giving, business succession and funding for estate taxes.
account statements but your will and estate plan; and not · Investment management: We believe that your plan for
just the cost of your lifestyle but the risks to it as well. your life is the most important part of investing. Based on
Your comprehensive wealth management plan can your financial status today, we will calculate the returns
address: necessary to achieve your target and craft an investment
· Income and cash flow: Knowing what you want your program designed to help you reach it. And we’ll
money to help you do, and with a similarly thorough implement the plan using one of the most powerful and
understanding of your assets and liabilities, we will map intelligent investment platforms in the world, one that
out a course to help you achieve the income you’ll need, includes extensive research on investments and managers,
when you need it. asset allocation advice, ongoing monitoring and
· Borrowing: We believe that how you invest and how you performance reporting.
borrow are inextricably linked—both sides of one balance · Business strategies: If you own a business, we can offer
sheet, one plan. Borrowing strategically, for example, can you a range of financing options and capital structures to
help fund a large expense, or give you a safety net if support the growth of your business, advise you on your
you’re faced with a surprise layoff or tax bill, so you can current debt structures and cash management, and help
spend what you need to spend instead of spending what you establish a retirement plan for yourself and
you need to invest. employees. When that retirement comes, we’ll work with
· Asset protection: By understanding the lifestyle you investment experts to help you create an exit plan.
enjoy, and the one you’re building toward, we can see the We understand that wealth management is not just about
threats against it—taxes, inflation, volatility, creditors, resources and capability. It’s about how we use those
lawsuits, identify theft, tragedy—and help you deal with resources—with creativity, innovation, and flexibility. The
them using trusts, insurance, portfolio diversification and simple truth is you have a lot more to manage than just
other strategies from the arsenal of the world’s largest your wealth.
financial services firm.
8/MORGAN STANLEY SMITH BARNEYWealth Management Resources
Income and cash-flow planning, strategic borrowing, asset Can help protect wealth from creditors and taxes; transfer
protection, wealth transfer, investment analytics assets, business holdings and values to future generations
Retirement Planning: income and cash flow, 401(k) plans, Investment Advice: diversification and asset allocation;
IRA rollovers downside protection and liquidity strategies for
concentrated positions
Education Planning: education-savings accounts, 529
college-savings plans, custodial accounts Insurance: income protection; wealth transfer strategies;
business-continuity strategies; life, disability and long-term-
Estate Planning: trust structures, lifetime gifts, insurance
care policies
planning, charitable giving
Trust Services: administration, management and
Online Account Access: account information-even on
distribution of trust assets
accounts held outside Morgan Stanley Smith Barney-is
listed on one page at smithbarney.com Philanthropic Services: integrating philanthropy into wealth
planning; donor-advised funds, charitable trusts and family
Portfolio Management Group: equity, balanced and fixed
foundations
income portfolios tailored and managed by Financial
Advisor; active portfolio management; ongoing monitoring Global expertise leads to a wider selection of markets,
and performance reporting more-favorable executions and insights into issuers and
global trends
Capital Strategies Group: investment-banking services for
closely held and family-owned businesses; services include Business banking and insurance services, working and
exit strategies and liquidity solutions, mergers and growth capital, diversification of personal wealth, capital-
acquisitions (primarily sell-side), partial exits including structure and exit strategies
recapitalizations; employee stock ownership plans; and
Retirement Plans: profit-sharing plans, 401(k) plans,
capital solutions
savings incentive match plan for employees (SIMPLE IRA),
Business-Succession Planning: buy-sell agreements, family defined-benefit plans, non-qualified deferred-
limited partnerships, limited liability companies, grantor compensation plans, employee stock ownership plans
retained annuity trusts and other types of wealth transfer
Customized asset-allocation advice, extensive investment-
advisor research, automatic rebalancing, ongoing
monitoring and performance reporting
Investment Advisory Services: delivers customized advice
and objective investment recommendations by tapping the
extensive work of Morgan Stanley Smith Barney and a
variety of key platforms
Restructure debt, improve cash flow, facilitate estate
planning, pledge collateral to help family members, access
capital to operate and expand a business, finance a home
MORGAN STANLEY SMITH BARNEY/9The Morgan Stanley Smith Barney Advantage
Our approach is simple. We want to know as
much as we can about our clients, so we’re in
the best possible position to help them. And that
doesn’t mean we just want to know about their
finances
True, we have to understand what your assets and liabilities are, and how
your portfolio is structured. But the more important information has to do
with your goals for yourself and your family, your feelings about where you
are and where you hope to be and, of course, your fears, and the things that
might prevent you from getting what you want.
Because everyone is different, we tailor our recommendations for each
client’s unique set of goals and challenges. Maybe you want to retire at 55
and start a new business. Maybe you want to be able to pay both college
tuition for your child and nursing home care for your mother. Maybe you’re
in the middle of a divorce and you want to ensure your children’s
inheritance doesn’t go to the future spouse of your ex.
This in-depth knowledge of you, combined with our in-depth knowledge of
planning and investing, will help us create strategies aimed at trying to
achieve the things you really want. And we have the freedom—and the good
fortune—to implement those strategies using the products, services and
skills of a large financial services firm.
It’s time to throw out your notions of what you can talk about with us. We
look forward to the conversation.
10/MORGAN STANLEY SMITH BARNEYOur success is your success.
Our commitment to you and your family is to service your
financial needs with the highest level of professionalism,
honesty and integrity.The Rooney Blomberg Group at
Morgan Stanley Smith Barney
433 South Main Street
Suite 100
West Hartford, CT 06110
TELEPHONE: 860.313.7126
TOLL-FREE: 800.243.3154
FACSIMILE: 860.313.7272
http://fa.smithbarney.com/therooneyblombergswansongroupsb/
Morgan Stanley Smith Barney LLC and its affiliates do not provide tax or legal advice. To the extent that this material or any attachment concerns tax matters, it is not intended
to be used and cannot be used by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Any such taxpayer should seek advice based on the taxpayer's
particular circumstances from an independent tax advisor.
© 2009 Morgan Stanley Smith Barney LLC. Member SIPC.You can also read
