Source: http://docplayer.net/12069548-San-francisco-office-461-second-street-151-san-francisco-ca-94107-415-926-7200.html
Timestamp: 2018-11-14 10:07:18
Document Index: 362671993

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San Francisco Office 461 Second Street, #151 San Francisco, CA (415) - PDF
San Francisco Office 461 Second Street, #151 San Francisco, CA (415)
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1 Part 2B of Form ADV: Brochure Supplement 3/31/ Second Street, #151 (415) This brochure supplement provides information about our supervised people that supplements Part 2A of Form ADV: Savant Investment Group, LLC (SIG) Firm Brochure. You should have received a copy of that brochure. Please contact Derek Lee (415) if you did not receive SIG s brochure or if you have any questions about the contents of this supplement. Additional information about our supervised people is available on the SEC s website at by individual s names.
2 Burkhart, Thomas H. Managing Member, Born: 1938 Educational Background & The American College; MS, Financial Services; 1978 Indiana University; BS, Marketing; 1962 Savant Investment Group (SIG); Managing Member from 1991 to Present;. Thomas H. Burkhart has no reportable disciplinary history. Thomas H. Burkhart is not engaged in any other investment-related activities. Thomas H. Burkhart does not receive commissions, bonuses or other compensation on the sale of securities or other investment products. Thomas H. Burkhart is not engaged in any other business or occupation that provides substantial compensation or involves a substantial amount of his time. Thomas H. Burkhart does not receive any economic benefit from a non-advisory client for the provision of advisory services. Thomas H. Burkhart (415) Ext. 130 (415) Direct Thomas H. Burkhart is supervised by Derek Lee. All investment solutions provided to clients must be preapproved by SIG s Investment Committee, who is responsible for establishing firm wide portfolio construction guidelines products used in client portfolios. Derek Lee is SIG s President/CCO and can be reached at
3 Gotterup, Jr., Knud B. Advisor, Born: 1963 Educational Background & University of Santa Clara; Economics. Savant Investment Group (SIG); Director of Retirement Plan Services; from 2003 to Present;. Sutter Starmont Asset Management; Advisor; Titan Advisors; Advisor; Savant Investment Group; Advisor; from 1997 to Knud B. Gotterup, Jr. has earned the following designations, and is in good standing with the granting authorities: Accredited Asset Management Specialist (AAMS); College for Financial Planning; 2005 Accredited Investment Fiduciary (AIF ); Center for Fiduciary Studies, LLC; 2009 Series 65 License; NASAA; 2002 For an explanation of the minimum qualifications required for these designations, please see the Knud B. Gotterup, Jr. (415) Ext. 119 (415) Direct Knud B. Gotterup, Jr has no reportable disciplinary history. Knud B. Gotterup, Jr. is not engaged in any other investment-related activities. Knud B. Gotterup, Jr. does not receive commissions, bonuses or other compensation on the sale of securities or other investment products. Knud B. Gotterup, Jr is not engaged in any other business or occupation that provides substantial compensation or involves a substantial amount of his time. Knud B. Gotterup, Jr does not receive any economic benefit from a non-advisory client for the provision of advisory services. Knud B. Gotterup, Jr is supervised by Scott Lummer. All investment solutions provided to clients must be preapproved by SIG s Investment Committee, who is responsible for establishing firm wide portfolio construction guidelines products used in client portfolios. Scott Lummer is SIG s CEO and can be reached at
4 Hunt, Pamela S. Advisor/Director of Client Services, Born: 1956 Educational Background & Mills College; BA, Administration & Legal Processes; 1979 Savant Investment Group (SIG); Advisor; from 04/1993 to Present;. Pamela S. Hunt has earned the following designation, and is in good standing with the granting authority: Series 63 License; NASAA; 2007 For an explanation of the minimum qualifications required for this designation, please see the Pamela S. Hunt has no reportable disciplinary history. Pamela S. Hunt (415) Ext. 116 (415) Direct Pamela S. Hunt is not engaged in any other investment-related activities. Pamela S. Hunt does not receive commissions, bonuses or other compensation on the sale of securities or other investment products. Pamela S. Hunt is not engaged in any other business or occupation that provides substantial compensation or involves a substantial amount of his time. Pamela S. Hunt does not receive any economic benefit from a non-advisory client for the provision of advisory services. Pamela S. Hunt is supervised by Scott Lummer. All investment solutions provided to clients must be preapproved by SIG s Investment Committee, who is responsible for establishing firm wide portfolio construction guidelines products used in client portfolios. Scott Lummer is SIG s CEO and can be reached at
5 Johnston, D. Stuart SeniorAdvisor, Born: 1945 Educational Background & Indiana University; MBA, Business Economics; 1969 The Colorado College; BA, Business Administration; 1967 Savant Investment Group (SIG); Sr. Advisor; from 1999 to Present;. Arthur Andersen; Tax Consultant/Advisor, 13 years as Partner; from 1970 to 1999; San Francisco and Oakland offices. D. Stuart Johnston has earned the following designation, and is in good standing with the granting authority: CPA-Inactive; State of California; 1972 For an explanation of the minimum qualifications required for this designation, please see the D. Stuart Johnston has no reportable disciplinary history. D. Stuart Johnston (415) Ext. 120 (415) Direct D. Stuart Johnston is not engaged in any other investment-related activities. D. Stuart Johnston does not receive commissions, bonuses or other compensation on the sale of securities or other investment products. D. Stuart Johnston is not engaged in any other business or occupation that provides substantial compensation or involves a substantial amount of his time. D. Stuart Johnston does not receive any economic benefit from a non-advisory client for the provision of advisory services. D. Stuart Johnston is supervised by Scott Lummer. All investment solutions provided to clients must be preapproved by SIG s Investment Committee, who is responsible for establishing firm wide portfolio construction guidelines products used in client portfolios. Scott Lummer is SIG s CEO and can be reached at
6 Lee, Derek S. Advisor, President, CCO, Born: 1978 Educational Background & UC Berkeley; BA, Religious Studies; Savant Investment Group (SIG); Chief Compliance Officer (CCO); from 2011 to Present;. Savant Investment Group (SIG); President; from 2013 to Present;. Savant Investment Group; Advisor; from 2007 to Present;. Derek S. Lee has earned the following designations, and is in good standing with the granting authorities: Series 65; NASAA; 2007 For an explanation of the minimum qualifications required for these designations, please see the Derek S. Lee has no reportable disciplinary history. Derek S. Lee (415) Ext. 132 (415) Direct Derek S. Lee is not engaged in any other investment-related activities. Derek S. Lee does not receive commissions, bonuses or other compensation on the sale of securities or other investment products. Derek S. Lee is not engaged in any other business or occupation that provides substantial compensation or involves a substantial amount of his time. Derek S. Lee does not receive any economic benefit from a non-advisory client for the provision of advisory services. Derek S. Lee is supervised by Thomas H. Burkhart. All investment solutions provided to clients must be preapproved by SIG s Investment Committee, who is responsible for establishing firm wide portfolio construction guidelines products used in client portfolios. Thomas H. Burkhart is SIG s Managing Member and can be reached at
7 Lummer, Scott L. CEO/CIO, Born: 1957 Educational Background & Purdue University; Ph.D., Finance; Purdue University; BS, Mathematics; Savant Investment Group (SIG); Chief Investment Officer (CIO); from 2010 to Present. Savant Investment Group (SIG); Chief Executive Officer (CEO); from 2013 to Present. Atlantic Asset Management; Director of Research; from 2003 to Scott L. Lummer has earned the following designation, and is in good standing with the granting authority: Chartered Financial Analyst (CFA); CFA Institute; 1987 For an explanation of the minimum qualifications required for this designation, please see the Scott L. Lummer has no reportable disciplinary history. Scott L. Lummer 461 Second Street, #151 (415) Ext. 136 (415) Direct Scott L. Lummer is not engaged in any other investment-related activities. Scott L. Lummer does not receive commissions, bonuses or other compensation on the sale of securities or other investment products. Scott L. Lummer is not engaged in any other business or occupation that provides substantial compensation or involves a substantial amount of his time. Scott L. Lummer does not receive any economic benefit from a non-advisory client for the provision of advisory services. Scott L. Lummer is supervised by Thomas H. Burkhart. All investment solutions provided to clients must be preapproved by SIG s Investment Committee, who is responsible for establishing firm wide portfolio construction guidelines products used in client portfolios. Thomas H. Burkhart is SIG s Managing Member and can be reached at
8 Sims, Joseph J. Advisor, Born: 1969 Educational Background & San Francisco State University; BA, Political Science; 1993 Savant Investment Group (SIG); Advisor; from 2002 to Present;. Joseph J. Sims has earned the following designation, and is in good standing with the granting authority: Chartered Financial Analyst (CFA); CFA Institute; 2001 For an explanation of the minimum qualifications required for this designation, please see the Joseph J. Sims has no reportable disciplinary history. Joseph J. Sims (415) Ext. 111 (415) Direct Joseph J. Sims is not engaged in any other investment-related activities. Joseph J. Sims does not receive commissions, bonuses or other compensation on the sale of securities or other investment products. Joseph J. Sims is not engaged in any other business or occupation that provides substantial compensation or involves a substantial amount of his time. Joseph J. Sims does not receive any economic benefit from a non-advisory client for the provision of advisory services. Joseph J. Sims is supervised by Scott Lummer. All investment solutions provided to clients must be preapproved by SIG s Investment Committee, who is responsible for establishing firm wide portfolio construction guidelines products used in client portfolios. Scott Lummer is SIG s CEO and can be reached at
9 Form ADV Part 2B Professional Designation Qualifications: Professional Designation Qualifications Accredited Asset Management Specialist (AAMS); College for Financial Planning; The AAMS designation certifies that the recipient has specialized knowledge of asset allocation and money management. To receive the AAMS designation, individuals must complete an educational program, pass a final examination, and agree to comply with the AAMS Code of Ethics. In order to maintain the AAMS designation, the individual must biannually renew their affirmation of the AAMS Code of Ethics and complete 16 hours of continuing education credits. Accredited Investment Fiduciary (AIF ); Center for Fiduciary Studies, LLC; The AIF designation certified that the recipient has specialized knowledge of fiduciary standards of care and their application to the investment management process. To receive the AIF designation, individuals must complete a training program, successfully pass a comprehensive, closed-book final examination under the supervision of a proctor and agree to abide by the AIF Code of Ethics. In order to maintain the AIF designation, the individual must annually renew their affirmation of the AIF Code of Ethics and complete six hours of continuing education credits. The certification is administered by the Center for Fiduciary Studies, LLC (a Fiduciary360 (fi360) company). Chartered Financial Analyst (CFA); CFA Institute; This designation is offered by the CFA Institute (formerly the Association for Investment Management and Research (AIMR)). To obtain the CFA charter, candidates must successfully complete three difficult exams and gain at least three (3) years of qualifying work experience, among other requirements. In passing these exams, candidates demonstrate their competence, integrity and extensive knowledge in accounting, ethical and professional standards, economics, portfolio management and security analysis. CFA charter holders are also obligated to adhere to a strict code of ethics and standards governing their professional conduct. Certified 401(k) Professional (C(k)P ); The Retirement Advisor University; The C(k)P designation represents the pinnacle of achievement for the professional Retirement Plan Advisor, recognizing a combination of substantial pratical retirement plan management experience, and the completion of a comprehensive and highly specialized educational program. To earn the right to use the C(k)P designation requires more than just academic aptitude. A financial professional must have demonstrated real world application of the core competencies taught in the classroom. Certified Public Accountant (CPA); State Board of Accountancy; In California, to earn the prestige associated with the CPA license, individuals are required to demonstrate their knowledge and competence by passing the Uniform CPA Exam, meeting high educational standards and completing a specified amount of general accounting experience. In order to maintain a CPA license, states require the completion of forty (40) hours of continuing professional education (CPE) each year. (Eighty (80) hours every two years) Additionally, all American Institute of Certified Public Accountants (AICPA) members are required to follow a rigorous Code of Professional Conduct. An inactive designation indicates that the licensee is not actively practicing as a CPA. Registered Representative (RR); Persons associated with a member, including assistant officers other than principals, who are engaged in the investment banking or securities business for the member including the functions of supervision, solicitation, or conduct of business in securities or who are engaged in the training of persons associated with a member for any of these functions, are designated as representatives.
10 Form ADV Part 2B Professional Designation Qualifications: Categories of Representative Registration & Examination Requirements Series 7 License; FINRA; The Series 7 examination is the qualification examination for General Securities Registered Representatives. As a qualification examination, it is intended to safeguard the investing public by helping to ensure that registered representatives are competent to perform their jobs. Given this purpose, the Series 7 Examination seeks to measure accurately and reliably the degree to which each candidate possesses the knowledge, skills and abilities needed to perform the critical functions of a registered representative (RR). Series 63 License; NASAA; The Series 63 exam is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and the rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant s knowledge and understanding of state law and regulations. Series 65 License; NASAA; The Uniform Securities Agent State Law Examination was developed by NASAA in cooperation with representatives of the securities industry and industry associations. The Series 65 exam is designed to qualify candidates as investment adviser representatives. The exam covers topics that have been determined to be necessary to understand in order to provide investment advice to clients.
Revised: 2/20/2014 Calvert Wealth Management, Inc. 3175 West Ward Road Suite 120 Dunkirk, MD 20754 Phone (301) 812-1550 Phone (410) 286-3130 Fax (410) 286-3180 www.calvertwealth.com Form ADV, Part 2A Brochure
TRG FORM ADV PART 2A ( BROCHURE ). 8321 SIX FORKS RD, SUITE 103 RALEIGH, NC 27615 919-239-4163. Website: www.trgcap.com
TRG FORM ADV PART 2A ( BROCHURE ). 8321 SIX FORKS RD, SUITE 103 RALEIGH, NC 27615 919-239-4163 Website: www.trgcap.com This brochure provides information about the qualifications and business practices