the south group of oppenheimer & co....

T H E S O U T H G R O U Pof Oppenheimer & Co. Inc .

15-PBRO-50 South Group brochure_8pager 08-20-15_G85082015RM1_Genesis_1117(042506).qxd 8/20/2015 10:45 AM


THE SOUTH GROUPThe South Group of Oppenheimer & Co. Inc., founded in 2006,is led by Managing Director, Ken South. At the South Group,we work hard to give you the one-on-one personalizedfinancial advice you can expect from a boutique firm,while at the same time connecting you with our skilled strategicalliances. Together, we will help you address your uniquefinancial goals and objectives.

Ken and his knowledgeable team provide investment analysis andportfolio management under Oppenheimer’s OMEGA* Programand offers financial planning through the Financial Planning Groupof Oppenheimer Asset Management Inc. Ken’s mission is tocustomize balanced investment portfolios for individuals, trustsand corporate clients.

*The OMEGA Program offers a highly personalized approach to investmentmanagement. In this program, Ken South is your Financial Advisor and also yourPortfolio Manager. OMEGA Portfolio Managers are investment professionals whohave earned the OMEGA designation through years of investment managementexperience and professional study.

W h a t Y o u C a n E x p e c t F r o m T h e S o u t h G r o u p

ExperiencedWe are seasoned professionals focused on bringing you thehighest level of personal attention, service and trust. We have theexpertise and skills to understand your needs and, together withthe appropriate professionals, will help develop a strategydesigned specifically for you. With over 80 years of combinedexperience in the industry, we have the ability to complement andcollaborate with your circle of advisors – including accountants,legal advisors, business managers and insurance professionals.

Client-FocusedWe sit on the same side of the table as our clients and provideadvice based on a complete understanding of your needs.Creating long-term relationships that are built on trust is ourultimate goal. Focusing on a select number of clients allows us todevote the necessary time and understanding to help each clientaddress the financial challenges that can accompany great wealth.Together, we work to leverage the firm’s broad resources andfocused capabilities to advance client interests.

Tailored Investment ProcessThe hallmark of our practice is customization. We customize ourrelationship to your unique financial situation and goals. Ourapproach begins and ends with your objectives. Based on theinformation regarding your investment objectives, risk toleranceand current financial position, Ken can custom-design portfoliosthat are carefully allocated among stocks, bonds, alternativeinvestments (where appropriate) and cash equivalents. Theseportfolios are designed with the intent to grow faster thaninflation, while safeguarding principal. Ken will work with hisclients to address estate, insurance and tax strategy issues.

In a world where instant access to information leads to quick market changes, where many claim to know your investment needs,

but few ask the right questions, professional management is more valuable than ever before.


The South Group is a Financial Advisory team at Oppenheimer & Co. Inc. Ken provides ahigh level of investment advice, education and wealth management services to a selectclientele. Ken, with the assistance of his team, is dedicated to helping clients achieve theirdreams by enabling them to strategically manage their financial affairs.

Our clients are entrepreneurs, corporate executives, professionals, business owners, andretirees who have built a capital resource base and are seeking growth. Our purpose isto make a difference in their lives by helping them work toward securing a strongfinancial future.

Ken’s investment strategies utilize recognized fundamental analysis and technical analysismodels to assist when designing individualized strategies for each client. Oppenheimer’sopen architecture investment platform means that we are not tied to any proprietaryproducts. Instead, we have a wide range of investment products to help find the right fitbased on each client’s needs. This platform allows us to deliver highly personalized servicethat seems to have gone missing in the larger banking firms of today.

Ken’s strategic advice helps our clients navigate through a complex maze of financialalternatives. The individual team members bring their unique perspectives and expertiseto create a powerful strategy. Oppenheimer’s independence allows us to provideunbiased personal strategies that are aligned with the client’s objectives. Our teammaintains frequent contact with our clients, ensuring that everyone stays informedregarding developments in the ever-changing market.

Who are we?

Who are our clients?

What is thevalue of our services?

Why should you invest with us?



Wealth Management ServicesWe offer individuals and families wealth management strategiestailored to their unique financial objectives. From personalplanning to performance reporting, we provide assistance to ourclients at every phase of accumulating, preserving, protecting andtransferring their wealth. We offer access to planning services1,retirement services, trust services2 and estate and successionstrategies. Clients appreciate the ability of our experiencedFinancial Advisors to bring together the right team ofprofessionals, each well versed in their own specializations, to helpdevelop integrated, customized investment strategies.

• Planning Services1

• Retirement Services• Trust Services2

• Estate and Succession Strategies• Individual Investment Consulting Services3

– Portfolio Analysis– Personal Investment Policy– Asset Allocation– Investment Manager Recommendations– Portfolio Monitoring– Consolidated Reporting– Due Diligence

Institutional Investment ConsultingServicesOur Financial Advisors draw on the professionals of OppenheimerAsset Management Inc. to provide high quality institutionalinvestment consulting services3 to a broad range of pension fundand 401(k) plan administrators, foundations and endowments,business owners, family offices and financial institutions.

• Portfolio Analysis• Investment Policy• Asset Allocation• Portfolio Monitoring• Consolidated Reporting• Due Diligence• Investment Manager Recommendations

1 If you select one or more of the advisory services (i.e.: Planning Services) offered by Oppenheimer & Co. Inc. or its affiliate Oppenheimer Asset Management Inc., we willbe acting in an advisory capacity. If you ask us to effect securities transactions for you, we will be acting as a broker-dealer. Please see the Oppenheimer & Co. Inc.website www.opco.com or call the branch manager of the office that services your account for further information regarding the differences between brokerage andadvisory products and services.

2 Trust services are provided by Oppenheimer Trust Company of Delaware.3 Consulting services are provided by the Consulting Group of Oppenheimer Asset Management Inc. (OAM).

O p p e n h e i m e r P r i v a t e C l i e n t S e r v i c e s

We understand that no two investors are alike. That is why our approach always begins with listening to you, understanding

the whole picture and then responding with ideas that we think are suitable for your needs and circumstances. Sometimes, that

means developing a complete investment strategy and plan, while at other times, it means designing a specific strategy to help

address a unique need. At Oppenheimer, we appreciate and respect these differences.


4 Alternative investments such as Hedge Funds and Fund of Funds are made available only to qualified investors and involve various degrees of risk. Specific standards must be metbefore investing; generally, individual investors must have a net worth of $2.0 million and entities must have assets of at least $5 million to invest.

Investment Products and ServicesDelivering unbiased advice and providing access to a wide rangeof traditional and non-traditional investment products and servicesare the foundations of our business. From traditional investmentsincluding equity and fixed income to more specialized productssuch as separate accounts and hedge funds for qualified investors,we offer our clients strategies to help address their financialrequirements.

• Equity and Fixed Income Securities• Equity Research• Exchange Traded Funds• Options• Mutual Funds• Hedge Funds4

• Portfolio Management• Separate Account Management• Sales of Restricted and Control Stock Strategies• Hedging and Monetization Strategies• Insurance and Annuities• Retirement Plan Services• Employee Stock Option Plans• Employee Stock Purchase Plans• Buybacks• Deferred Compensation Plans• Rule 10b5-1 Trading Plans• Cash Management

Oppenheimer Asset Management Inc.Oppenheimer Financial Advisors draw upon the resources ofOppenheimer Asset Management to help individuals, families andinstitutions achieve their investment goals by developing tailoredstrategies aimed at growing, managing and preserving capital.Few other financial institutions have been able to integratetraditional and non-traditional portfolios into a unified strategywhile offering ready access to qualified investment managers bothinside and outside the firm.

Oppenheimer Asset Management Inc. (OAM) providescomprehensive investment services that begin with an assessmentof each investor’s financial goals, objectives and tolerance for risk.An asset allocation strategy is crafted, blending sophisticatedmodeling techniques with a personal assessment of a client’sunique circumstances. To help execute each client’s assetallocation strategy, we offer access to broad asset classes, fromcore to non-traditional strategies, provided through an array ofvehicles including separate accounts, unified managed accounts,mutual funds and alternative investment strategies for qualifiedinvestors, all integrated into the same asset allocation program.Once an investment plan is in place, we use a formal reviewprocess to monitor the progress of each client’s plan towardaddressing its stated goals.

To support our clients’ core investment strategies, OAM providesprofessional money management through three integrated groups:the Consulting Group, Oppenheimer Investment Advisers and theAlternative Investments Group. The firm also offers, throughselected Financial Advisors, custom-tailored managed moneyportfolio management services through the OMEGA and AlphaPrograms, as well as non-managed advice through the PreferenceAdvisory Program.

In order to meet the diverse needs of our clients, we offer a full range of private client services, asset management and capital

markets, and a broad array of traditional and specialized investment products.


Ken South started his career in 1985 at E.F. Hutton & Company. He joined Oppenheimer & Co. Inc. in2006 as a Financial Advisor and OMEGA Group Portfolio Manager. Ken is a member of Oppenheimer’s2014 Chairman’s Council, a prestigious recognition awarded to our top Financial Advisors.

His educational background consists of a Bachelor of Science degree in Finance and a Bachelor of Artsdegree in Spanish from the University of Southern California. For the last 23 years, Ken has been a guestteacher at Newport Harbor High School, where he teaches stocks and bonds to all senior economicsstudents every semester. Coursework includes in-depth study on the purpose, use, and management ofstocks, bonds, ETFs and mutual funds. He covers all aspects of both technical and fundamental analysisas well as the interpretation of the most common economic indicators.

In the 1990s, Ken was a regularly scheduled commentator on the state of the economy for GEM RADIO,the “Money Radio” station of Orange County, California. In 1991, he was voted Business Person of theYear by the California chapter of Phi Beta Lambda, the National Business Fraternity. In September ofthat year, he was the Profiled Advisor in Registered Representative, the highly recognized periodical forthe retail securities industry.

Ken currently lives in Newport Beach with his wife and their two children. He has served as an oceanlifeguard for the City of Newport Beach, but now spends his spare time surfing the local beaches withhis son and building custom furniture.

Kenneth H South Managing Director – InvestmentsSenior Portfolio Manager – OMEGA Group

Blake C. BerteaExecutive Director – Investments

(949) [email protected]://fa.opco.com/southgroup/

(949) [email protected]

Blake Bertea has 22 years of experience covering the corporate executive services and private wealthmanagement space. He started his career in 1993 at Kidder, Peabody & Company. After Kidder wasacquired Blake joined Hambrecht & Quist LLC which was subsequently acquired by JPMorgan. Blakejoined Oppenheimer & Co. Inc. in 2002.

Blake’s focus has always been in the Alternative Investments class which encompasses Hedge Funds,Leveraged Buyout Funds, Exchange Funds, Private Equity and Venture Capital.

A native of Corona del Mar, Blake graduated from the University of Colorado, Boulder in 1992 with aBachelor of Arts-History. He resides in Newport Beach with his wife and two children. He enjoys golf,polo and travelling with his family.


T e a m L e a d e r s


Peter Jones came to Oppenheimer in 2006 with The South Group, bringing more than 14 years ofexperience in sales and client services within the financial arena from Security Pacific Bank and SmithBarney. Peter, who has worked with Kenneth South since 1999, is an integral part of The South Group,assisting clients and providing meticulous administrative and operational support.

He holds the General Securities Representative Registration (Series 7) and the Uniform Securities AgentState Law Examination (Series 63).

A Los Angeles native, Peter was raised in Glendale. He graduated in 1982 from the University ofSouthern California with a B.S. in Business Administration. He currently resides in Irvine, where hisinterests include tennis and music.

Peter R. Jones Senior Financial Associate

(949) 219-1043 [email protected]

Justin Kincheloe is a recent addition to The South Group. Prior to joining the team, he served as anattorney at various law firms between 2010 and early 2015, practicing in areas that included businesslitigation, business transactions, bankruptcy, and personal injury. Justin’s responsibilities currentlyinclude providing administrative and operational support to The South Group.

Justin was born and raised in Des Moines, IA before receiving his B.A. from Iowa State University. Hemoved to Southern California to attend law school and decided he loved the weather too much to moveback to the Midwest after graduating. He currently resides in Irvine, CA and thoroughly enjoysattending sports and music events.

Justin M. KincheloeClient Service Associate

(949) [email protected]


Oppenheimer Asset Management Inc. and the Oppenheimer Trust Company of Delaware are wholly owned subsidiaries of Oppenheimer Holdings Inc., which also wholly ownsOppenheimer & Co. Inc. (Oppenheimer), a registered broker/dealer and investment adviser. Securities are offered through Oppenheimer.

The OMEGA Group offers the OMEGA Portfolio Management Program through Oppenheimer & Co. Inc. It offers a managed money program in which experienced FinancialAdvisors act as portfolio managers for their clients. Please refer to the Oppenheimer ADV Part II for information about the advisory program described herein, includingprogram fee schedules and other fees that may apply. The Oppenheimer ADV Part II is available from your Oppenheimer Financial Advisor.

For further information about the products/programs available and their suitability for your portfolio, please contact your Oppenheimer Financial Advisor. Any discussion ofsecurities, including any hedge funds or other alternative investments, should not be construed as a recommendation or an offer or solicitation to buy or sell interest in anysuch securities. Securities products offered or sold by Oppenheimer will not be endorsed or guaranteed by Oppenheimer and will be subject to investment risks, includingthe possible loss of principal invested. Alternative investments are made available only to qualified investors and involve varying degrees of risk. Neither Oppenheimer, OAM,nor the Oppenheimer Trust Company of Delaware provide legal or tax advice. However, your Oppenheimer Financial Advisor will work with clients, their attorneys and theirtax professionals to help ensure all of their needs are met and properly executed.

If you select one or more of the advisory services (i.e.: Planning Services) offered by Oppenheimer & Co. Inc. or its affiliate Oppenheimer Asset Management Inc., we will be acting in an advisory capacity. If you ask us to effect securities transactions for you, we will be acting as a broker-dealer. Please see the Oppenheimer & Co. Inc.website www.opco.com or call the branch manager of the office that services your account for further information regarding the differences between brokerage and advisoryproducts and services.

© 2015 Oppenheimer & Co. Inc. Transacts Business on All Principal Exchanges and Member SIPC. All rights reserved. This brochure is intended for informational purposesonly. All information provided and opinions expressed are subject to change without notice. No part of this brochure may be reproduced in any manner without the writtenpermission of Oppenheimer. G85082015RM1

The South Groupof Oppenheimer & Co. Inc.620 Newport Center DriveSuite 1000Newport Beach, CA 92660

(888) 876-1150 Toll Free(949) 219-1032 Phone(949) 219-1025 Faxwww.opco.comhttp://fa.opco.com/southgroup/

With roots tracing back more than a century, Oppenheimer and its predecessorcompanies have been pioneers in the financial services industry and are known for theirinnovative work, particularly in relation to asset management and equity research.

In January 2003, Fahnestock & Co. Inc. acquired Oppenheimer & Co. and, in Septemberof the same year, adopted the name Oppenheimer for the combined company.Oppenheimer is a leading investment bank and full-service investment firm serving high-net-worth investors, individuals, families, businesses and institutions with a full suite ofintegrated asset management, capital markets and private client services.

Fahnestock was founded in 1881 in New York City as a privately owned full-servicessecurities brokerage firm. It successfully weathered the Great Depression and grew steadilyover the years, expanding significantly in the last decade through acquisitions.Oppenheimer & Co. was founded in 1950 when a partnership was created to act as abroker-dealer and to manage related financial services. In 2008, Oppenheimer Holdings Inc.announced the close of the acquisition of a major part of CIBC World Markets’ U.S. capitalmarkets businesses.

Today, Oppenheimer occupies a unique position among competitors, thanks to thededication, expertise and creativity of its people. The firm has been a groundbreaker insecurities research and asset management. Oppenheimer professionals have earned theFirm an excellent reputation among investors by being responsive to client needs, byoperating with the highest standards of objectivity and integrity and by providingfinancial services that put clients’ interests first.

Oppenheimer– A leading investment bank– A full service investment firm


the south group of oppenheimer & co....

Documents