The Bates Caputo Group

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Merrill Lynch

The Bates Caputo Group

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Our team is comprised of talented and experienced advisors committed to building strong client relationships based on trust and personalized service.

The Bates Caputo Group

Welcome

The Bates Caputo Wealth Management Group delivers long-term financial strategies for high-net-worth clients using Merrill Lynch’s impressive suite of resources.  Prior to the founding of the group, John and Scott  spent a combined 30 years in the investment banking groups of several prominent global financial institutions.  During that time, they worked with institutional investors in the fixed income, commodity and equity divisions of those firms.  Today, The Bates Caputo Group caters to individuals who can appreciate its deep knowledge of capital markets while providing a distinct level of acumen and service.

Philosophy

“Our banking backgrounds taught us the value of servicing clients.  We strive to earn the trust of our clients who can benefit from the sum of our experiences,” John says.  “Additionally, the combination of Bank of America, Merrill Lynch and U.S. Trust represents a compelling platform for clients to draw upon.  We feel the firm is well positioned to deliver banking, trust and investment advice in a coherent and coordinated way.  The synergy across the firm is strong and clients are experiencing it.”

On behalf of a diverse clientele – family offices, private equity, hedge fund and banking professionals, as well as business owners, foundations and endowments – The Bates Caputo Wealth Management Group incorporates long term strategies as a core tenet of its investment process. Through an initial survey and several conversations, John and Scott seek to gain a good sense of a client’s goals, life priorities and investment knowledge. This allows John and Scott to use their understanding of a client’s framework to craft wealth preservation and transfer strategies that can benefit future generations. Once completed, this allows the team to customize a risk-adjusted portfolio for each client. Efforts are also made to identify suitable lending opportunities for clients by providing access to Bank of America, N.A. 

“Whether speaking to our primary contact, a spouse or grown child, we want to help ensure that wealth is optimized and passed along efficiently,” Scott says. “As each relationship develops, we often coordinate with a family’s CPA or attorney – in the event that a new legal construct, such as a trust, is introduced. Being an architect of a well-balanced, thoughtfully conceived wealth management strategy demands our considerable effort and ongoing focus.”

Approach

We begin every relationship with a conversation, helping you to identify and prioritize which goals matter most to you. Whether that's transferring wealth to the next generation, customizing financial strategies that help you pursue your passions, or simply providing advice and guidance to help you stay informed, we start by listening to learn more about you.

Merrill Lynch developed the Investment Personality Assessment to help us get to know your investing preferences. By gaining a deeper understanding of how you think and feel about investing through this assessment, we can help customize the financial strategy we develop together.

Your approach to investing

Drawing upon research in the field of behavioral finance, Merrill Lynch developed the Investment Personality Assessment to help us get to know you better as an investor and potentially help you refine your own investing preferences. By gaining a deeper understanding of how you think and feel about investing through this assessment, we can customize the financial strategy we develop together to help you with your approach for what matters most to you. Our Investment Personality Assessment is one of the ways to help me get to know you – to understand your goals and priorities. These questions will give you a sense of the full assessment and help us provide you with additional insights and resources.

Understanding your goals and priorities

Your life and goals change. We have tools to help you keep track of these changes so they can be reflected in your financial strategy.

Capabilities

Our process is designed to deliver a customized, consistent experience to assist clients not only in wealth accumulation and preservation, but in areas that go beyond portfolio management. Our ability to provide access to the investment insights of Merrill Lynch and the banking convenience of Bank of America offers a way for clients to manage all of the pieces of their financial lives. We can be a financial resource, helping clients with the process of transferring wealth to the younger generation.

Focus On Corporate Executives

For corporate executives, we offer guidance for diversification strategies for concentrated stock positions. For business owners, we can help them build company benefit plans and provide access to Bank of America for help in addressing cash flow, lending needs and other challenges. For those nearing retirement, we consider inflation, health care costs and other factors to help them achieve desired lifestyles. We talk with clients periodically and proactively explore opportunities with them.

Meet the Team

Supported by the global resources of Merrill Lynch, our team is comprised of talented and experienced individuals committed to building strong client relationships based on trust and personalized service.

John  Bates

John Bates

Senior Financial Advisor

212.338.6059
Scott P Caputo

Scott P Caputo

Senior Financial Advisor

212.338.6165
Brendan J Mitchell

Brendan J Mitchell

Financial Advisor

212.338.6138
Brian L McDonough

Brian L McDonough

Registered Client Associate

212.338.6213

Additional Resources

The following specialists do not make securities recommendations. Please contact your Financial Advisor if you have questions about how a specialist might be able to assist you.

Jonathan Barry Rank

Jonathan Barry Rank

Senior Wealth Management Lending Officer NMLS # 642155

Christopher J Colombo

Christopher J Colombo

Trust Specialist

Your Financial Strategy

We offer you access to the investing insights of Merrill Lynch, trust and fiduciary services from U.S. Trust, and the banking convenience of Bank of America to help you pursue your goals. We will work to help you stay on track, regardless of what the markets are doing.

FAMILY
FAMILY
Taking care of your family and other people in your life
  • Trust & Estate Services2
  • Education Funding Strategies1
  • Insurance3
HEALTH
HEALTH
Planning for healthcare expenses now and in the future
  • Long-term Care Insurance3
  • Health Savings Account2
  • Disability Insurance3
HOME
HOME
Upsizing, downsizing, remodeling or buying a vacation home
  • Home Loans2
  • Home Equity Lines of Credit2
  • Securities-Based Lending2
  • Credit Cards2
WORK
WORK
Working in retirement, selling or starting a business
  • Bank of America Business Banking2
  • Exchange Funds1
  • Concentrated Stock Management1
  • Succession Planning1
LEISURE
LEISURE
Spending your free time in meaningful ways
  • Credit Cards2
  • Securities-Based Lending2
  • Structured Lending2
GIVING
GIVING
Volunteering, mentoring others and giving to charities
  • Donor-Advised Funds2
  • Private Foundations2
  • Charitable Trusts2
FINANCE
FINANCE
Using your finances to bring it all together
  • Merrill Lynch Investment Accounts1
  • Investment Advisory Accounts1
  • Alternative Investments1
  • Exchange-Traded Funds1
  • Mutual Funds1
  • Closed-end Funds1
  • Fixed Income Products1
  • Options1
  • Annuities3
  • Impact Portfolios1
  • Market-Linked Investments1
  • Securities-Based Lending2
  • Margin1
  • Home Loans2
  • Bank of America Checking and Savings Accounts2
  • Credit Cards2
  • Online Account Access1,2

1Investment products are offered by Merrill Lynch, Pierce, Fenner & Smith Incorporated.
2Banking products are offered by Bank of America, N.A.
3Insurance and annuity products offered through Merrill Lynch Life Agency Inc.

Staying on Track

We understand that both your life and the financial markets can change over time. By periodically checking in to discuss changes in your life and revisiting your financial strategy, our goal is to help give you peace of mind* that you're on track to help achieve what's most important to you.

Regular reviews to help you stay on track
Regular reviews to help you stay on track

We'll meet with you periodically to review your goals and the progress you’ve made toward reaching them. We'll also discuss any adjustments needed to your financial strategy to help you stay on course.

  • Sample client review agenda
  • Sample Wealth Outlook Report
Monitoring changes in your life and to your goals
Monitoring changes in your life and to your goals

Your life and goals change. We can help you keep track of these changes so they can be reflected in your financial strategy.

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Access to what you need, when you need it

MyMerrill is your destination for access to your financial information, secure communications, and a robust offering of tools and capabilities.

  • Your advisor is never more than a click away within our site or mobile apps
  • Manage account security with our customizable security capabilities such as touch id, one time passcode, and other security features
  • Access to your complete financial life is available with My Financial Picture, Merrill Lynch’s asset aggregation tool

*Peace of mind is an aspirational state of mind that clients hope to achieve. There are no guaranteed results following completion of the Goals-Based Wealth Management process because markets can fluctuate and investments can lose value. Advisors work with clients to help them understand how the goals based wealth management process can help to address their concerns, financial situation and priorities.

Let’s Have a Conversation

Helping you reach your goals starts with getting to know you personally. Through understanding what matters most to you, we can help you create a financial strategy that reflects your personality. Only then can we offer an approach that is built around your life priorities and the ongoing advice you need to help you manage fluctuations in the market and changes in your life. Let’s work together to help you achieve your goals.

Why Merrill Lynch?

As Merrill Lynch financial advisors, we will sort through the financial complexities of your life, helping you build a customized investment strategy to pursue your goals.


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We put you first, every day.
Learn more about the dedicated one-on-one relationship you can have with a Merrill Lynch financial advisor.





Transcript of Video

Personalized advice from a dedicated financial advisor.

Getting to know you is our primary goal.

A comprehensive approach, built around your life’s priorities.

Drawing from our experience and the best thinking of Merrill Lynch, we will build a strategy that reflects your unique needs, priorities and financial situation.

Adjusting your plan as your life and the markets change.

We will work to help you stay on track, regardless of what the markets are doing.