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    Building relationships to last a lifetimeThe Humphrey Group has been a solid presence at UBS in New London, CT for over 25 years, serving clients throughout the United States. Our professionals have more than 160 years of collective experience in the financial services industry, with expertise in wealth, retirement and estate planning as well as investment and risk management. We have come together to provide our clients with customized and comprehensive financial planning, responsive and singular investment solutions developed through our asset management arm, Mooring Wealth Management, and dedicated, personalized service. We believe it is a privilege to be given our clients trusta privilege we carefully guard and nurture. In turn, our clients value our advice and counsel to the extent that virtually all of our relationships are the result of referrals. We consider our clients to be an extension of the Humphrey Group family, and are committed to maintaining close contact while working with them to establish a comfortable transition through lifes many financial stages.

    Investment philosophyTraditional investment solutions begin and end with fundamentals. Our proprietary investment process, though built on a foundation of sound fundamentals, more intensively incorporates technical analysis in recognition of the role technology plays in driving todays volatile markets. The Buy-and-Hold approach of old has proven sorely inadequate in addressing individual investors needs for absolute, positive returns-- a particularly dire omission, given that most individuals cannot easily replace losses with current cashflow. Always striving to provide good relative returns, we maintain an acute awareness of our clients absolute return needs. We therefore believe it is essential to be more sensitive to managing risk in order to preserve wealth, and we do so by defensively raising cash as dictated by changing market conditions. One unarguable truth about the markets: Change is constant. As such, our vigilance in risk management is equally constant.

    The Humphrey Group

    UBS Financial Services Inc.2 Union PlazaNew London, CT 06320800-504-6020860-447-9407 fax

    The focus of our relationshipCustomizationObservationMarket AwarenessFinancial ExpertiseOpportunityRespectTeamwork

  • At the heart of our risk management approach, the irrefutable law of supply and demand informs all we do. To determine the supply/demand environment at any given moment, we deploy multiple tools, including UBSs proprietary research together with other extensive information sources. To our way of thinking, periods exhibiting excess Supply (or the willingness of investors to sell securities at lower and lower prices) indicate higher risk, warranting caution and higher cash levels, while periods of excess Demand (or the willingness of investors to pay higher and higher prices) can offer opportunity and are to be exploited. At all times and in all investment environments, we look to hold those securities that exhibit and maintain high relative strength characteristics from market cycle to cycle.

    A time-tested methodologyOur investment process represents the culmination of many years experience managing portfolios when markets are up, down and flat, together with a distinct sensitivity to clients needs. We take a holistic approach, and are committed to attentive consideration of each of our clients individual circumstances, discovering goals and objectives through heart-to-heart discussion. Cashflow requirements, investment preferences, familial and charitable concerns, and risk/reward parameters are prominent among the many considerations that further govern our recommendations and the eventual implementation of a clients plan.

    Once initiated, clients investment portfolios are subjected to rigorous monitoring to help ensure assets are achieving goals in the manner expected and are not encountering unexpected risks. Early on, the Humphrey Groups client service platform establishes

    with each client the precise level of interface most amenable, be it monthly, quarterly or semi-annual face-to-face sessions. However frequent, these reviews are always augmented by phone contacts, mailings and seminars, as well as on-line communications.

    Mooring Wealth ManagementThrough our asset management arm, Mooring Wealth Management, we actively manage portfolios after determining those investment vehicles most appropriately aligned with a clients goals and objectives. We offer a number of different styles, specifically formulated to address a clients need for income generation, a balance of income and growth, and pure capital appreciation. Time horizon, risk tolerance and a clients overall comfort are always taken into account. Our goal is to be the primary source of wealth management advice for every relationship we undertake, by providing unparalleled support and service. We would like nothing better than to have the privilege of welcoming you to the Humphrey Group family!

    About UBSWith more than 150 years of wealth management expertise at its core, and drawing upon an integrated mix of investment banking and asset management businesses, UBS focuses on providing relevant guidance, differentiated global perspectives and diverse strategies and solutions for private, corporate and institutional clients worldwide.

    UBS Financial Advisors are dedicated and passionate professionals who recognize that financial goals and life goals are uniquely intertwined. Through a comprehensive, yet customized approach, they access the deep resources and wealth management expertise of this firm, and deliver the trusted financial advice clients seek today to confidently move forward.

    We see the client through all lifes financial stages

  • Peter S. HumphreySenior Vice PresidentInvestments Senior Portfolio Managerpeter.humphrey@ubs.comPeter has more than 40 years ofexperience in the financial servicesindustry. As a founding memberof The Humphrey GroupMooring

    Wealth Management, Peter consults and advisescorporations, foundations, and high net worth familiesaround the country. He is a charter member of UBS Financial Services Inc. National Managed Accounts Advisory Council and the UBS Financial Services Inc. Retirement Planning Consultant Network. Peter holds Series 7, 8, 63 and 65 securities licenses, is a Registered Options Principal, and holds Insurance and Variable Annuity licenses.

    Harrison H. Buxton III, Cal, CTFA

    Senior Vice PresidentInvestmentsSenior Portfolio Managercal.buxton@ubs.comFor nearly three decades, Cal has beenassisting clients in developing dedicatedfinancial strategies, guiding high net worth individuals and families

    through complex situations, such as major life transitions and liquidity events. A co-founder of Mooring Wealth Management, Cal holds the Certified Trust and Financial Advisor (CTFA) designation and Series 7 and 66 securities registrations, and is a graduate of the ABA National Graduate Trust School. Cal is a member of the CFA Institute as well as the Hartford CFA Society (formerly the Hartford Society of Financial Analysts.)

    Jeanne Roccon RohmDivisional Vice President Senior Portfolio Managerjean.humphrey@ubs.comDuring her 25 years with UBS, and nearly 30 years in the Industry, Jeanne has built a successful practice specializing in retirement and estate planning and

    investment management consulting. A founding partner of the Humphrey Group-Mooring Wealth Management, she has also served multiple terms on UBS Financial Services Inc.s National Managed Accounts Advisory Council and is a charter member of UBS Financial Services Inc. Retirement Planning Consultant Network. Jeanne completed the Executive Education Program on Pension Funds and Money Management from the University of Pennsylvanias

    Wharton School of Business, holds Series 7, 63 and 65 securities licenses, and is a licensed Life, Health and Variable Annuity Agent.

    R. Chris Damon, CFP First Vice PresidentInvestmentsPortfolio Chris has worked in the financialservices industry for more than 25years. He is a Certified Financial PlannerTM, offering portfolio

    management, insurance and investment planning to individuals, charities, small businesses and institutions. Chris is a keen observer of the markets and incorporates his extensive knowledge in the management process, helping the team with portfolio construction and risk management. Chris holds Series 7, 63 and 65 securities licenses, as well as life and health insurance licenses.

    Jason MacalusoVice PresidentInvestmentsManaged Accounts Consultant Jason brings more than 13 yearsof financial services experience inproviding wealth management adviceand personalized service for affluent

    investors and their families. Jason is particularly adept at generating detailed financial plans and works closely with clients and staff to accurately depict a clients goals and objectives. He is invaluable in integrating changing market technology and communications. Jason holds Series 7, 63, and 65 securities registrations, and is a licensed life insurance and variable annuity agent.

    Richard Matthew RocconWealth Strategy Richard has more than two decades offinancial services industry experience.He enjoys empowering investors through education and has used his financial services knowledge to

    develop numerous educational modules. He has often been a featured speaker at financial symposiums across the country. Richard has received several professional designations, including the Fiduciary 360 Accreditation from the University of Pittsburgh. He holds Series 7 and 66 securities licenses.

    Meet our team

  • information about Advisory & Brokerage Services It is important that you understand the ways in which UBS Financial Services Inc. (UBS) conducts business and the applicable laws and regulations that govern the firm. As a firm providing wealth management services to clients, UBS is registered with the U.S. Securities and Exchange Commission (SEC) as an investment adviser and a broker-dealer, offering both investment advisory and brokerage services. Though there are similarities among these services, the investment advisory programs and brokerage accounts UBS offers are separate and distinct, differ in material ways and are governed by different laws and separate contracts. It is important that you carefully read the agreements and disclosures UBS provides to you about the products or services offered. While UBS strives to ensure that these materials clearly describe the nature of the services provided, please do not hesitate to contact your Financial Advisor team, The Humphrey Group, if you would like clarification on the nature of your accounts or services you receive from us. CFP is a certification mark owned by Certified Financial Planner Board of Standards, Inc. Certified Financial Planner is a certification mark owned by Certified Financial Planner Board of Standards, Inc. For more information, please visit our web site at UBS Financial Services Inc. is a subsidiary of UBS AG. 2010 UBS Financial Services Inc. All rights reserved. Member SIPC. SPE_BIO_11x17_CO1126_Humphrey

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