New Heights | 1Q 2021

Have you noticed our email communications have a new look? On our journey to independence, you may have heard us express our delight in our ability to take advantage of new technology.

We recently began using a new email marketing platform, which enables us to further customize our messages to you. You can expect to continue seeing Craig's Corner reports and our New Heights newsletters arriving in your inbox, however, now improved for your viewing pleasure.

As you see here in this edition of New Heights, our client newsletter will now be published on a quarterly basis. Within each publication we will continue sharing firm updates, reminders, best practices, and from time-to-time some fun facts and memories from the team.

Time sensitive or unique information will always be handled in a one-on-one manner with you directly. If you have any questions about the details shared within the newsletter please do not hesitate to reach out to us.

In this edition:

  • Successful Partnership
  • A Word from Our CFO
  • Approaching Tax Season
  • Delivery & Timeline
  • Outstanding Items

  • Proxy & Corporate Action Voting
  • Timely Needs
  • Expediting Urgent Requests
  • Safeguarding Your Information
  • Transmitting Files & Info Securely
  • Financial Updates
  • Keep Us Informed
  • Stay In the Know
  • Follow us on social and stay engaged

What are the elements of a meaningful and successful advisor relationship?

Our Regent Peak team understands the true weight of your decision to let us guide you through your financial life. We believe it is a privilege to work as your copilot, forming relationships with you and your family. Our Chief Financial Officer, Kevin Manning breaks down the three key elements, he believes makes a successful advisor relationship.

  • We manage more than your money
  • It is our goal to fully understand both sides of your balance sheet and tailor a plan that works for you. We believe it’s more than just a financial plan, but a life plan or a road map, that works to achieve your goals throughout your one lifetime. It’s not just your money, it’s your life.
  • Think of us first
  • Whether it’s a new job offer, a mortgage question, a business loan, or an adjustment to your will, think of us first. We want to work to help you through your life decisions, even if your CPAs and attorneys are finalizing the majority of the documents. Let us be your guide making sure you have all the information you need.
  • We have a true partnership
  • Our most successful client relationships are the ones where we celebrate the wins together! In your partnership with Regent Peak, we want to know your family and for you to know ours. When your child graduates college, we toast their achievement. Or when you’ve reached your well deserved retirement, we salute your accomplishments and make sure you have the right plan in place for the next chapter. We know life can sometimes bring challenges, like loss of a loved one, but we want you to trust in the partnership we've created, and know we will be there every step of the way.

Reach out to our team if you are interested in exploring options, and understanding what it could look like for you to become a client of ours. We welcome the opportunity to have a discovery conversation with you!

  • Kevin Manning, CFP ®
  • Chief Financial Officer
  • 600 Galleria Pkwy., S.E. Suite 850 Atlanta GA 30339
  • 470-867-3550 (main)
  • Regent Peak Wealth Advisors
  • regentpeakwealth.com

Tax Season

Before tax season takes off at full speed, we'd like to provide some details around delivery and timing of important documents. As in years past, a general rule of thumb is to wait until the end of February to gather all documents.

The direct notification(s) you receive from Schwab is the most accurate and up to date information regarding the timeline and delivery of your tax documents. You may have elected for your tax documents to be delivered electronically, or to come in the mail. Note: if you requested to be sent hard copies you are still able to pull electronic copies within your Schwab Alliance portal by logging in to schwab.com

If you have any third party funds, such as alternative investments, they may be sending their own tax document your way, or it may become available from a consolidated 1099 from Schwab. Every fund handles their tax documents differently. These funds may hold back their documents until closer to tax filing deadline, April 15th, or beyond that. If you have any questions about this, please reach out.

Outstanding Items

In the third quarter of 2020 we updated our policy on proxy voting and corporate actions. Due to the regulatory environment Regent Peak will no longer vote proxies on behalf of your advisory accounts.

For this change to take effect on accounts custodied at Schwab, your written authorization is required. At this time we ask that if you are still holding on to the forms, please complete by signing and dating where indicated. If you've misplaced them, please contact us and we'd be happy to resend them, or provide for electronic signature.

Please contact your advisor with any questions.

Timely Needs

It's not uncommon to have items that require urgency - wire transfers and verification of funds are the most common we see. These are two actions can be hard to get in front of for a number of reasons. We understand these situations may pop-up last minute. We ask for notice, when possible, to allow for adequate timing and processing to take place, for the security of your assets. In the case of a wire transfer, there are certain precautionary measures that need to be taken prior to submitting a transfer. For proof of funds we await for sign offs from our service team at Schwab. We took the feedback received from you and determined that both of these urgent requests can be processed more efficiently, getting things done faster for you!

Wire transfers:

  • Verify all details of your wire instructions.
  • NEVER send wire instructions via email. Always transmit in a secure manner, whether it be in your client portal, or a password protected file.
  • To expedite a wire request you have the ability to input the instructions within your Schwab Alliance portal. This directly transmits to Schwab's wire team for review, making the processing time that much quicker.

Proof of Funds, a.k.a. Verification of Deposit

  • Expedite by requesting yourself, rather than coming to us. Use your Schwab Alliance portal at schwab.com or by accessing your Schwab Mobile App to specify the details of the funds availability you're looking for. It provides in-writing verification immediately upon requesting, eliminating a few in-between steps.

Safeguarding Your Information

With any request we receive from you, we want to ensure your data is protected. If you have secure files to transmit, or wish to send along a note to share information with us, we ask you to please utilize your Black Diamond Vault for uploading documents. It is our top priority to fulfill your needs in a timely fashion, and we understand why some of these may feel like extra steps, but it is for your protection. If you have any questions about how to use Black Diamond, please do not hesitate to reach out to your client service team at Regent Peak and we'd be happy to walk you through it.

Important Reminder

No need to wait for your annual review meeting! If there is a change in your financial situation, investment objectives, risk profile or if any account restrictions should be added, removed or modified, please contact your Advisor.

Stay in the Know

Be on the lookout for our Craig's Corner reports, in addition to the New Heights client newsletter, amongst other timely market updates and commentary. Plus, check out our social media pages where you'll find timely articles, videos and any exciting updates from the firm.

Contact Emily Raymond with any feedback on our publications at eraymond@regentpeakwealth.com