Pacific West At A Glance

Our Culture

Pacific West’s strategic objective, Our Commitment to Excellence, embraces our vision: to be the premier independent financial services firm in the nation. This document was carefully constructed to communicate what guides our business decisions and the principles we adhere to - integrity, a deep commitment to family culture, a friendly, valued and well-trained staff, and an understanding that our representatives are our clients, and we must earn their business each and every day.

A League of Our Own

Pacific West places an emphasis on strong due diligence. Specialty areas of due diligence are on our Third Party Managers and on alternative investments, such as REITs, real estate-based investments, managed futures funds, energy and leasing programs.

• Pacific West won TICA’s first ever A Champion of Excellence Award (broker-dealer category) in 2006 for our commitment to strong due diligence and
  sound marketing practices.
• We are dedicated to continual improvement, frequently asking our reps for feedback, we are quick to provide a plan of action on items that require that next step.
• Our 2009 coaching program, Success Systems, offered to all Pacific West financial representatives, meets quarterly with in-person sessions lead by of the finest industry coaches, Dr. John Rhodes.

Company Facts

• Pacific West currently has more than 360 registered representatives and advisors, a 12 percent increase over the previous year.
• Pacific West is privately owned, with all three owners working from the corporate location.
• 2007 revenues were approximately $57 million, up 21 percent from 2006.
• Pacific West’s broker-dealer is registered in all 50 states.
• We offer extended corporate hours to efficiently serve each time zone: Mon – Fri 6 a.m. to 5 p.m. Pacific Time.
• We currently maintain a 7.2 representative-to-staff ratio.
• In 2005, Pacific West opened an East Coast office in Northern Virginia to help support our representatives nationwide.
• Pacific West offers Albridge Solutions for account aggregation and reporting.
• We are committed to answering the phone during business hours with a live voice.
• Brokerage clearing choice of Pershing and National Financial.
• Advisory custodian choice of Pershing, National Financial, Schwab and TD Ameritrade.

Ease of Doing Business

• Pacific West pays commissions and fees weekly. All business in by Wednesday is paid on Friday.
• All completed business submitted by 2:30 p.m. will be reviewed and processed the same day.
• Compliance’s advertising e-mail program ensures a prompt response.

In the News

Financial Advisor, June 2008

• Top Independent Broker-Dealers ranked by Gross Revenue – Listed 42nd

Financial Planning (FP50), June 2008

• Pacific West Financial Group ranked fifth in the “Up-and-Comers” category for total revenue

Investment Advisor, May 2008

• Pacific West Financial Consultants ranked fifth in fastest growing RIAs.
• Percentage of growth over five years of 257%

Investment Advisor, June 2008

• Pacific West Financial Consultants ranked 25th for Friendliness to RIAs with 6.2% Reps