POSITION AND CANDIDATE SPECIFICATION

THE CAPITAL GROUP COMPANIES, INC.

SENIOR VICE PRESIDENT, PRIVATE WEALTH ADVISOR

POSITION SPECIFICATION

HIGHLIGHTS OF THE OPPORTUNITY

• One of the nation’s leading wealth management firms, Capital Group Private Client Services, is looking to selectively add to its team of wealth advisors around the country

• The firm is a division of Capital Group, one of the world’s largest and most successful investment management firms

• Our accommodative platform gives clients access to a range of investment offerings, including proprietary services, third-party investments, alternative strategies and index funds

• Ideal candidates include established financial advisors with a proven track record, and entrepreneurial spirit

• The firm’s unique model allows advisors to build their own practice with a full support structure, robust investment platform, turnkey marketing system, and generous compensation and benefits structure

ABOUT CAPITAL GROUP PRIVATE CLIENT SERVICES

• Recently named one of the nation’s top 40 wealth management firms by_Barron’s_

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• $20 billion boutique wealth manager within one of the world’s most financially stable investment organizations

• Access to extensive proprietary global research and a comprehensive suite of investment services

• Advisors supported by the firm’s Wealth Advisory and Client Solutions Groups, with access to experts in such areas as financial planning, accounting, estate planning, asset allocation, stock options and investment manager research

• Singular focus on wealth management and creating successful client outcomes

• Began as an in-house family office for the Capital Group organization, and nearly 20% of client assets are still with Capital Group associates

• Singular commitment to achieving client goals, delivering superior investment results and providing exceptional client service

BACKGROUND ON THE COMPANY (CAPITAL GROUP)

With over $1.3 trillion in assets under management and approximately 7,000 associates across 24 offices, Capital Group is among the world’s most experienced and successful investment management firms. Founded in 1931, Capital manages assets for a global group of individual and institutional investors utilizing a research-driven investment approach. Overall, the firm’s goal is to achieve consistently superior, long-term investment results over complete market cycles.

Throughout the years, Capital has been consistent in its approach to investing — employing a long-term focus based on thorough research and attention to risk. The firm’s portfolio managers are among the most experienced in the industry with an average of 26 years of industry experience and 21 years of experience at Capital.

Capital Group is privately held and maintains a stable financial foundation with a very strong balance sheet that includes no debt. A conservative approach to managing all aspects of its operations has allowed the company to remain consistently profitable while making strategic investments in its people and business capabilities in all manner of market environments.

The culture of Capital Group is built on a foundation of shared values that influence associates’ decision-making and the way they interact with clients, investors, and one another:

• Integrity
• Accountability
• Rigorous analysis
• Collaboration
• Humility
• Long-term focus
• Consistency
• Respect for individuals

Though more than 80 years old, Capital Group today is a vibrant and dynamic organization engaged in continuously improving the way it operates as it aligns its strengths as an asset manager to the needs of investors around the world.

CAPITAL GROUP PRIVATE CLIENT SERVICES (CGPCS)

Capital Group Private Client Services (CGPCS) is a boutique wealth management and trust company within the Capital Group organization. Founded it 1974, it has grown into one of the nation’s largest and most trusted wealth management firms. CGPCS has received multiple honors for excellence by_Private Asset Management_and was recently named one of the nation’s top wealth management firms by_Barron’s_.

The firm originally began as a family office for senior Capital Group associates. It now manages more than $20 billion for high net worth individuals, families and related nonprofit organizations. The firm has offices in Los Angeles, West Los Angeles, Atlanta, Chicago, New York and San Francisco.

POSITION SUMMARY

CGPCS is currently looking to selectively add to its team of advisors, known as Private Wealth Advisors, to work directly with clients to cultivate and foster relationships with the firm. Under the firm’s unique model, Private Wealth Advisors have an opportunity to build their own practice and focus on what really matters: meeting with clients, prospects and referral sources in order to develop and cultivate a book of business. Everything else — from world-class marketing and investment solutions, to administrative support, compliance, financial planning expertise and investment management — is provided by the firm.

The supportive structure at CGPCS is ideally suited to navigate ongoing changes in the financial services industry and to address competitive forces. What’s more, the firm recently expanded its investment platform, allowing experienced advisors to easily transition existing client assets not currently invested in Capital services.

The firm’s robust investment platform gives clients access to an array of services including separate accounts, mutual funds, private equity, alternative strategies and hedge funds. In addition to core investment strategies managed by various Capital Group units, advisors have the ability to selectively use outside managers relying on research and support from our in- house manager research team. In addition, advisors have access to the firm’s Wealth Advisory and Client Solutions Groups, experienced professionals with expertise in such areas as accounting, taxation, estate planning, business transition, stock options, financial and legacy planning, asset allocation and philanthropy.

CGPCS prides itself on having a diverse team of advisors to serve a wide array of individuals, families, foundations and endowments. This opportunity is best suited to those with previous wealth management experience, a strong network of contacts, a love of sales, a passion for client service and a drive to build your own practice. A strong belief in active management at the core of one’s portfolio is also important, though the firm’s robust platform can accommodate index funds as well when appropriate.

CANDIDATE SPECIFICATION: KEY SELECTION CRITERIA

IDEAL EXPERIENCE

• At least 15 years of wealth management experience (ideally as an independent Registered Investment Advisory) ideally with an established and portable book of business, or an established referral network to allow us to recreate a book of business with us.

• Deep knowledge of various investment and financial planning topics, a love of sales, a commitment to excellent client service and strong presentation skills.

• Undergraduate degree required; C.F.P., C.F.A. and/or M.B.A. a plus.

CRITICAL COMPETENCIES FOR SUCCESS

Financial Credibility and Penchant for Building Trust

• Ability to serve as a knowledgeable and trusted advisor to sophisticated high-net-worth individuals and families, along with professional centers of influence/referral sources.

• High degree of technical acumen and both financial and investment fluency.

• Passion for investment markets, wealth planning and helping to clients reach their financial and life goals.

Communication and Presentation Skills

• Outstanding communication skills, both written and oral; ability to communicate technical and complex concepts to internal and external constituents.

• Sales and servicing orientation.

• Track record of serving as a trusted advisor to wealthy families and individuals Collaboration and Team Orientation

• Ability to leverage Capital Group’s capabilities and partner with colleagues in enhancing and growing the business.

• Strong influencing skills; relationship-orientation and a client-focused consultative philosophy.

For more than nine decades, Capital Group’s goal has been to improve people’s lives through successful investing. We know that our history is a testament to the strength of the people we hire. Private ownership allows us to keep our eyes on the long term while more than 9,000 associates in 30+ offices around the world help our clients and each other grow and thrive every day.