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Northview Asset Management, LLC. Form ADV Part 2B Brochure Supplement. Samuel R. Granett Chief Executive Officer & Chief Investment Officer - PDF
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1 12117 FM 2244 Building III, Suite 280 Austin, TX Form ADV Part 2B Brochure Supplement May 5, 2016 Samuel R. Granett Chief Executive Officer & Chief Investment Officer This Brochure Supplement provides information about Samuel R. Granett (CRD# ) that supplements the Brochure. You should have received a copy of that Brochure. Please contact our Chief Compliance Officer at or if you did not receive Northview s Brochure or if you have any questions about the contents of this supplement. Item 2 - Educational Background and Business Experience Mr. Granett, born in 1946, graduated from the United States Military Academy at West Point in 1969 with a B.S. in Civil Engineering and in 1977 from the Harvard Business School with an Executive MBA. Mr. Granett s employment history is listed below. 12/2008 to Present World Equity Group, Inc., Registered Representative 03/2014 to Present International Assets Advisory, Registered Representative 04/2012 to 03/2014 Woodstock Financial Group, Inc., Registered Representative 08/2010 to 04/2012 Crescent Securities, Registered Representative 08/2010 to 08/2010 APS Financial Corporation, President 09/1986 to 08/2010
2 Item 3 - Disciplinary Information There are no legal, civil or disciplinary events to disclose regarding Samuel R. Granett in the past 10 years. Mr. Granett was involved in an arbitration matter as a general principal for a brokerage firm in Please refer to Item 7 in this Brochure Supplement for an explanation of this event. However, we do encourage you to independently view the background of Mr. Granett on the Investment Adviser Public Disclosure website at Select Investment Adviser Search from the left navigation menu. Then select the option for Investment Adviser Representative and enter in the field labeled Individual CRD Number. Item 4 - Other Business Activities Mr. Granett is a registered representative of World Equity Group, Inc. ( WEG ). WEG is a registered broker-dealer, member FINRA, SIPC (CRD No ). In order to minimize any potential conflict of interest, we will not receive, directly or indirectly, any compensation for securities transactions in any client account executed through WEG, other than the advisory fees noted above in Item 5 Fees and Compensation in Form ADV Part 2A. Mr. Granett also owns 50% of International Fixed Income, LLC which is an Austin, Texas based Office of Supervisory Jurisdiction ( OSJ ) of World Equity Group. Mr. Granett also owns 50% of International Fixed income, Investment Services, Inc. and 50% of International Fixed income, Capital Group, LLC both of which are currently inactive. Item 5 - Additional Compensation Mr. Granett does not have any additional compensation. Item 6 Supervision Northview has a continuing responsibility to adhere to the Advisors Act, including the supervision of, and the responsibility for, portfolio managers and anyone acting on behalf of Northview to read, understand and attest to comply with the policies and procedures located within Northview s Compliance Policies and Procedures Manual. Mr. Granett is supervised by the Board of Directors. Item 7 Requirements for State Registered Advisers Mr. Granett was involved in a complaint as a general principal for a brokerage firm in Arbitration Information Arbitration Case No.: National Association of Securities Dealers; Date Notice Processed: 05/08/1995 Disposition Date: 6/24/1996 Allegation: - Claimants, who never dealt with Mr. Granett, alleged that APS (Mr. Granett s employer) fraudulently or negligently represented certain bonds. Claimant sought recovery of approximately $1.6 million in alleged 2
3 losses. While Mr. Granett was named as a respondent in the proceedings, the statement of claim nowhere named him specifically, nor did it identify any misconduct allegedly committed by him. Alleged Damages: - $1,606, Disposition: - $32, awarded to customer Mr. Granett s Contribution Amount: - $0 Since 1995, there are no legal, civil or disciplinary events to disclose regarding Mr. Granett. 3
4 12117 FM 2244 Building III, Suite 280 Austin, TX Form ADV Part 2B Brochure Supplement May 5, 2016 Richard B. Williams, AIFA President & Chief Compliance Officer This Brochure Supplement provides information about Richard B. Williams (CRD# ) that supplements the Brochure. You should have received a copy of that Brochure. Please contact our Chief Compliance Officer at or if you did not receive Northview s Brochure or if you have any questions about the contents of this supplement. Item 2 - Educational Background and Business Experience Mr. Williams, born in 1966, graduated from Southern Methodist University in 1989 with a B.B.A. in Accounting and Finance and in 2001 from St. Edward s University with an MBA in Finance. Mr. Williams employment history is listed below. 01/2014 to Present Sage Advisory Services Ltd., Co., Principal, Managing Director 10/1998 to 06/2013 Tejas Securities Group, Inc., Financial Operations Principal 10/1995 to 10/1998 4
5 Item 3 - Disciplinary Information Mr. Williams does not have any disciplinary information to report. However, we do encourage you to independently view the background of Mr. Williams on the Investment Adviser Public Disclosure website at Select Investment Adviser Search from the left navigation menu. Then select the option for Investment Adviser Representative and enter in the field labeled Individual CRD Number. Item 4 - Other Business Activities Mr. Williams does not have any other business activities. Item 5 - Additional Compensation Mr. Williams does not have any additional compensation. Item 6 Supervision Northview has a continuing responsibility to adhere to the Advisors Act, including the supervision of, and the responsibility for, portfolio managers and anyone acting on behalf of Northview to read, understand and attest to comply with the policies and procedures located within Northview s Compliance Policies and Procedures Manual. Mr. Williams is supervised by the Board of Directors. Item 7 Requirements for State Registered Advisers Mr. Williams does not have any additional information to disclose. 5
6 12117 FM 2244 Building III, Suite 280 Austin, TX Form ADV Part 2B Brochure Supplement May 5, 2016 Michael D. Janak Managing Director, Marketing This Brochure Supplement provides information about Michael D. Janak (CRD# ) that supplements the Brochure. You should have received a copy of that Brochure. Please contact our Chief Compliance Officer at or if you did not receive Northview s Brochure or if you have any questions about the contents of this supplement. Item 2 - Educational Background and Business Experience Mr. Janak, born in 1965, graduated from Texas A&M University in 1987 with a B.S. in Chemical Engineering. Mr. Janak s employment is listed below. 03/2014 to Present World Equity Group, Inc., Registered Representative 03/2014 to Present International Assets Advisory, LLC, Registered Representative 04/2012 to 02/2014 Woodstock Financial Group Inc., Registered Representative 08/2010 to 03/2012 APS Financial Corporation, Registered Representative 08/1998 to 07/2010 6
7 Item 3 - Disciplinary Information Mr. Janak does not have any disciplinary information to report. However, we do encourage you to independently view the background of Mr. Janak on the Investment Adviser Public Disclosure website at Select Investment Adviser Search from the left navigation menu. Then select the option for Investment Adviser Representative and enter in the field labeled Individual CRD Number. Item 4 - Other Business Activities Mr. Janak is a registered representative of World Equity Group, Inc. ( WEG ). WEG is a registered broker-dealer, member FINRA, SIPC (CRD No ). In order to minimize any potential conflict of interest, we will not receive, directly or indirectly, any compensation for securities transactions in any client account executed through WEG, other than the advisory fees noted above in Item 5 Fees and Compensation in Form ADV Part 2A. Item 5 - Additional Compensation Mr. Janak does not have any additional compensation. Item 6 Supervision Northview has a continuing responsibility to adhere to the Advisors Act, including the supervision of, and the responsibility for, portfolio managers and anyone acting on behalf of Northview to read, understand and attest to comply with the policies and procedures located within Northview s Compliance Policies and Procedures Manual. Mr. Janak is supervised by Mr. Richard B. Williams. Mr. Williams can be reached at Item 7 Requirements for State Registered Advisers Mr. Janak does not have any additional information to disclose. 7
8 12117 FM 2244 Building III, Suite 280 Austin, TX Form ADV Part 2B Brochure Supplement May 5, 2016 Steven P. Sutton Managing Director, Trading This Brochure Supplement provides information about Steven Sutton (CRD# ) that supplements the Brochure. You should have received a copy of that Brochure. Please contact our Chief Compliance Officer at or if you did not receive Northview s Brochure or if you have any questions about the contents of this supplement. Item 2 - Educational Background and Business Experience Mr. Sutton, born in 1961, attended Northern Michigan University and the University of Houston. Mr. Sutton s employment history is listed below. 03/2014 to Present World Equity Group, Inc., Registered Representative 03/2014 to Present International Assets Advisory, LLC, Registered Representative 04/2012 to 03/2014 Woodstock Financial Group, Inc., Registered Representative 09/2010 to 04/2012 Crescent Securities, Registered Representative 08/2010 to 09/2010 APS Financial Corporation, Registered Representative 03/1997 to 08/2010 8
9 Item 3 - Disciplinary Information Mr. Sutton does not have any disciplinary information to report. However, we do encourage you to independently view the background of Mr. Sutton on the Investment Adviser Public Disclosure website at Select Investment Adviser Search from the left navigation menu. Then select the option for Investment Adviser Representative and enter in the field labeled Individual CRD Number. Item 4 - Other Business Activities Mr. Sutton is a registered representative of World Equity Group, Inc. ( WEG ). WEG is a registered broker-dealer, member FINRA, SIPC (CRD No ). In order to minimize any potential conflict of interest, we will not receive, directly or indirectly, any compensation for securities transactions in any client account executed through WEG, other than the advisory fees noted above in Item 5 Fees and Compensation in Form ADV Part 2A. Item 5 - Additional Compensation Mr. Sutton does not have any additional compensation. Item 6 Supervision Northview has a continuing responsibility to adhere to the Advisors Act, including the supervision of, and the responsibility for, portfolio managers and anyone acting on behalf of Northview to read, understand and attest to comply with the policies and procedures located within Northview s Compliance Policies and Procedures Manual. Mr. Sutton is supervised by Mr. Richard B. Williams. Mr. Williams can be reached at Item 7 Requirements for State Registered Advisers Mr. Sutton does not have any additional information to disclose. 9
10 Summary of Professional Designations AIFA - Accredited Investment Fiduciary Analyst The AIFA designation is issued by the Center for Fiduciary Studies. In order to earn and maintain the AIFA designation, candidates must score 6 or more points on the following table and meet other prerequisite requirements for the designation. Education: Bachelors (1 point) Master s (2 points) Doctorate/JD (3 points) Professional Development: Tier 1 Securities license Series 7, Series 63 and/or Series 66 (1 point max) Tier 2 Credentials of AAMS, CRPS, PPC or comparable (1 point each) Tier 3 Credentials of CFA, CFP, CIMA, CPA, CLU, ChFC (2 points each) Relevant Industry Experience: Less than 2 years (0 points) 2-4 years (1 point) 5-7 years (2 points) 8-10 years (3 points) years (4 points) 14 or more years (5 points) Auditing Experience: Includes financial audits, fiduciary assessments, IOS audits or comparable auditing experience for 2 or more years (2 points) Examination: Complete the AFIA certification examination Continuing Education: Annually complete 10 hours of continuing education 10