Ventura Wealth is primarily owned by its founder and President of Nick Ventura and Chief
Operating Officer Daniel McElwee. Nick’s career spans over forty years in the field of investment
management, and many of the firm’s clients have been with him from the start. Nick’s areas of
expertise include portfolio strategy, asset allocation, and advanced financial planning. Nick is a
CERTIFIED FINANCIAL PLANNER™ and a Certified Private Wealth Advisor.
Daniel McElwee is a graduate of The College of New Jersey and earned an MBA from the Kenan-
Flagler Business School at the University of North Carolina Chapel Hill. At UNC, Dan completed
concentrations in investment management, corporate finance, and global marketing. He is a
graduate of New York University’s Financial Planning Certificate Program and is a CFP.
Ventura Wealth has more than $518 million dollars in assets under management, on both a
discretionary and non-discretionary basis.
Financial Planning Services:
Ventura Wealth provides its clients with financial planning and consultation services (e.g., review of
goals and objectives, analysis and recommendations for cash flow planning, asset
allocation/investment planning, income tax planning, insurance planning, estate planning, retirement
planning, education planning, real estate/mortgage planning, etc.).
Investment Management Services
:
Ventura Wealth provides investment management services on a discretionary basis according to the
investment objectives of the client and in accordance with the terms and conditions of the
Investment Advisory Agreement between the Ventura Wealth and the client. Based upon the
client’s stated investment objectives, Ventura Wealth’s investment management focuses on the use
of Portfolio Models in order to provide investment returns consistent with clients’ investment goals
and objectives. Based upon a particular Model Portfolio, Ventura Wealth will invest client’s
accounts in certain percentages amongst numerous asset classes (e.g. stocks, corporate and
government bonds, ETFs, mutual funds and alternate investments) in order to maximize client’s
investment returns while achieving lower volatility within pre-determined risk parameters. The
following are the primary model portfolios currently offered by Ventura Wealth:
Current Income Portfolio:
This portfolio may include either a barbell or laddered portfolio of individual securities with
the aim of providing current income within market-driven duration parameters. This
portfolio seeks to preserve the principal, provide current income, and a managed maturity
schedule. The portfolio can be structured to be either tax-free through municipal bonds or
taxable by using specific securities types such as corporates, Treasuries, or mortgage-backed
securities. At times, based on market conditions, the portfolio will incorporate other income
producing securities such as REIT’s, ETF’s, MLPs’, etc.
Moderate Allocation:
The moderate allocation portfolio is a growth and income portfolio. The model is
appropriate for investors that are drawing on the account, as it is designed to generate
current income. The model uses mutual funds, ETF’s, individual positions, with appropriate
alternative assets.
Global Balanced:
The global balanced portfolio is a well-diversified, asset allocation portfolio. It invests in a
combination of mutual funds, ETF’s, and individual holdings. It has a global reach beyond
that of a traditional 60/40 split. In addition to equity and fixed income positions, it may hold
positions in alternative investments.
Core Equity
The core equity portfolio is an all-equity model based on the S&P 500. The model purchases
individual securities, ETF’s, and mutual funds. Macroeconomic trends, along with sector
specific events, lead to under or overweight positions. The portfolio manager seeks to
purchase high-caliber companies that are considered “best of class” to compose the majority
of this model’s holdings. We may utilize options as a hedging strategy.
Global Alpha:
The global alpha portfolio is a theme-based, unconstrained model. The portfolio managers
seek to identify macro-themes among asset classes and markets. The model has the ability to
significantly overweight specific asset classes in an attempt to deliver an absolute return
irrespective of market conditions. The portfolio may invest in individual securities, ETF’s,
mutual funds, and other investment vehicles. We may utilize options and alternative assets as
a hedging strategy.
DART (The Dynamic Asset Rotation Timing Portfolio):
The DART portfolio is a tactical asset allocation model. Its goal is to outperform the 60%
S&P 500/40% Aggregate Bond Index split over time by reducing downside
risk. The
portfolio’s beta is adjusted in response to market volatility. It has the ability to own a broad
spectrum of asset classes. The DART strategy invests exclusively in ETF’s and is rebalanced
monthly.
In addition to our primary investment models, Ventura Wealth does provide several additional,
legacy investment models:
Special Situations:
The Special Situations portfolio style is for client accounts that do not fall into the traditional
parameters of VWM’s other investment styles. Concentrated stock holdings, low-basis
stock, accounts with high distribution rates, etc. typically fall into this investment style.
Goals for accounts in this strategy are client-defined. For accounts in the Special Situations
portfolio, the wealth management team and the portfolio management team work closely
together.
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TSC Conservative:
For the TSC Conservative portfolio, the maximum allocation to equities is 50%. The
benchmark is a 50/50 stocks to bond allocation. The equity component has an allocation to
foreign equities. The ratio of domestic to foreign equities is 2-to-1. At any time in the stock
market cycle, the equities allocation is determined by a group of indicators that include
technical signals, valuation measures, sentiment measures, and economic indicators. Bond
market indicators determine the duration of the fixed income portion of the portfolio.
TSC Moderate:
For the TSC Moderate portfolio, the maximum allocation to equities is 60%. The
benchmark is a 60/40 stocks to bond allocation. The equity component has an allocation to
foreign equities. The ratio of domestic to foreign equities is 2-to-1. At any time in the stock
market cycle, the equities allocation is determined by a group of indicators that include
technical signals, valuation measures, sentiment measures, and economic indicators. Bond
market indicators determine the duration of the fixed income portion of the portfolio.
TSC Aggressive:
For the TSC Aggressive portfolio, the maximum allocation to equities is 100%. The
benchmark is a 100% equity allocation. The equity component has an allocation to foreign
equities. The ratio of domestic to foreign equities is 2-to-1. At any time in the stock market
cycle, the equities allocation is determined by a group of indicators that include technical
signals, valuation measures, sentiment measures, and economic indicators. Bond market
indicators determine the duration of the fixed income portion of the portfolio.
ETF Edge:
The global balanced ETF portfolio is a total return portfolio. Its holding are primarily ETFs.
It has a global reach beyond that of a traditional 60/40 split. In addition to equity and fixed
income positions, it may hold positions in commodities and alternative investment ETFs.
Mini Balanced:
This is a moderate allocation portfolio that invests in 2 or 3 high quality mutual funds. The
funds are reviewed quarterly.
Mini Special Situations:
The Mini Special Situations portfolio style is for client accounts that do not fall into the
traditional parameters of VWM’s other investment styles. This model is similar to the Special
Situations model, but for accounts that are smaller in market value. Goals for accounts in
this strategy are client-defined. For accounts in the Mini Special Situations portfolio, the
wealth management team and the portfolio management team work closely together.
Mini Growth:
The Mini Growth portfolio is a portfolio that invests in 2 high quality, low-cost ETFs. It has
an emphasis on growth in capital appreciation while also providing some opportunity for
current income. The funds are reviewed quarterly.
Other Terms & Conditions:
Prior to engaging Ventura Wealth to provide any investment advisory services, the client will be
required to enter into a formal Agreement with Ventura Wealth setting forth the terms and conditions
under which Ventura Wealth shall manage the client's assets, and a separate custodial/clearing
agreement with each designated broker-dealer/custodian. Both Ventura Wealth's Agreement and the
custodial/clearing agreement authorize the custodian to debit the account for the amount of the
Ventura Wealth's investment advisory fee and to directly remit that management fee to Ventura
Wealth. In the event that Ventura Wealth bills the client directly, payment is due upon receipt of
Ventura Wealth’s invoice. The Agreement between Ventura Wealth and the client will continue in
effect until terminated by either party. In the event the client terminates Ventura Wealth’s services,
the balance of any unearned fee, if any, shall be refunded to the client.