Morgan Stanley Private Wealth Management
Samuel Pun, CFP®, CFA®
Senior Vice President,
Private Wealth Advisor,
Senior Portfolio Manager,
Family Wealth Director,
International Client Advisor
Direct:
(626) 405-9336(626) 405-9336
My Mission Statement
My goal is to preserve and grow your financial, family and social capital so that it can have the greatest positive impact today and for generations to come.
My Story and Services
Drawing on his experience dealing with the complex needs of affluent individuals and families, Samuel Pun, CFA ®, CFP ®, provides holistic cross-border wealth management solutions for Asian-American and Asian clientele. These efforts include developing tailored solutions for each client’s specific need, whether that be a comprehensive asset management strategy or a multi-generational tax, trust & estate planning solution.
Capitalizing on his background in the investment banking and institutional investing worlds, Sam is able to set himself apart from others in the wealth management industry. As a Senior Portfolio Manager, Sam draws from his institutional investing background to construct a customized portfolio for each individual client, honed from his time at Goldman Sachs, J.P. Morgan, and T. Rowe Price.
Sam works with Morgan Stanley’s Global Capital Markets and Family Office Resources teams to craft a tailored solution to each of his client’s unique needs. He has experience planning for pre-liquidity events, conducting due diligence on Private Equity and Hedge Fund managers, executing complicated trade strategies for concentrated stock holdings, and coordinating Equity Syndicate deals (IPO & Secondary Offerings).
Due to his experience educating high-net-worth clients on multi-generational planning issues, Sam was designated as a Family Wealth Director by the firm. As such, Sam places a special emphasis on educating second-generation clients about financial planning in future life situations, such as long-term investing and saving for retirement, planning around life milestones, navigating family dynamics, and philanthropy and legacy goals.
Sam began his Wall Street career in 2014, and previously spent time at Goldman Sachs, J.P. Morgan, and T. Rowe Price. In 2018, Sam joined Morgan Stanley as a Private Wealth Advisor and International Client Advisor, and was previously part of a nationally ranked Forbes and Barron’s Private Wealth Management team. Currently, Sam is a member of Morgan Stanley’s Pacesetter’s Club, a global recognition program for Financial Advisors who have demonstrated high professional standards and first class client service.
Sam graduated Phi Beta Kappa (highest distinction) from Johns Hopkins University with a bachelor’s degree, double majoring in Applied Mathematics and Economics. Sam received his master’s degree in real estate with a concentration in finance from Harvard University. He holds Series 7 and 66 licenses from FINRA and has passed the actuary exams in financial mathematics and probability. Furthermore, Sam has obtained the Chartered Financial Analyst ® (CFA®) designation and Certified Financial Planner ® (CFP ®) certification.
Sam is active in the community, and is a member of the Harvard Clubs of Boston and New York City. In his leisure time, he likes experimenting with LA’s thriving food scene, hanging out at the beach, and playing tennis. Sam is passionate about traveling the world and experiencing local culture, having already explored 98 countries across all 7 continents. Some of his favorite destinations include Iceland, South Africa, Antarctica, Italy, Turkey, Saint Barthélemy, and Peru.
Sam is a native English speaker and fluent in Mandarin Chinese.
Capitalizing on his background in the investment banking and institutional investing worlds, Sam is able to set himself apart from others in the wealth management industry. As a Senior Portfolio Manager, Sam draws from his institutional investing background to construct a customized portfolio for each individual client, honed from his time at Goldman Sachs, J.P. Morgan, and T. Rowe Price.
Sam works with Morgan Stanley’s Global Capital Markets and Family Office Resources teams to craft a tailored solution to each of his client’s unique needs. He has experience planning for pre-liquidity events, conducting due diligence on Private Equity and Hedge Fund managers, executing complicated trade strategies for concentrated stock holdings, and coordinating Equity Syndicate deals (IPO & Secondary Offerings).
Due to his experience educating high-net-worth clients on multi-generational planning issues, Sam was designated as a Family Wealth Director by the firm. As such, Sam places a special emphasis on educating second-generation clients about financial planning in future life situations, such as long-term investing and saving for retirement, planning around life milestones, navigating family dynamics, and philanthropy and legacy goals.
Sam began his Wall Street career in 2014, and previously spent time at Goldman Sachs, J.P. Morgan, and T. Rowe Price. In 2018, Sam joined Morgan Stanley as a Private Wealth Advisor and International Client Advisor, and was previously part of a nationally ranked Forbes and Barron’s Private Wealth Management team. Currently, Sam is a member of Morgan Stanley’s Pacesetter’s Club, a global recognition program for Financial Advisors who have demonstrated high professional standards and first class client service.
Sam graduated Phi Beta Kappa (highest distinction) from Johns Hopkins University with a bachelor’s degree, double majoring in Applied Mathematics and Economics. Sam received his master’s degree in real estate with a concentration in finance from Harvard University. He holds Series 7 and 66 licenses from FINRA and has passed the actuary exams in financial mathematics and probability. Furthermore, Sam has obtained the Chartered Financial Analyst ® (CFA®) designation and Certified Financial Planner ® (CFP ®) certification.
Sam is active in the community, and is a member of the Harvard Clubs of Boston and New York City. In his leisure time, he likes experimenting with LA’s thriving food scene, hanging out at the beach, and playing tennis. Sam is passionate about traveling the world and experiencing local culture, having already explored 98 countries across all 7 continents. Some of his favorite destinations include Iceland, South Africa, Antarctica, Italy, Turkey, Saint Barthélemy, and Peru.
Sam is a native English speaker and fluent in Mandarin Chinese.
Securities Agent: NJ, NY, DE, CA, TX; General Securities Representative; Investment Advisor Representative
NMLS#: 1762615
CA Insurance License #: 0M44551
NMLS#: 1762615
CA Insurance License #: 0M44551
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
About PWM
Founded in 1977, Private Wealth Management is the division of Morgan Stanley Wealth Management that is dedicated to serving the firm’s most affluent clients, including some of the world’s most accomplished entrepreneurs, executives and stewards of multigenerational wealth. Functioning as an exclusive investment boutique within a global financial firm, we deliver sophisticated solutions that leverage the intellectual capital and insight of Morgan Stanley’s substantial global resources. Drawing on a deep understanding of your financial life, our goal is to help you:
- Manage investments with an unwavering focus on your financial strategy and personal goals
- Create comprehensive, multigenerational wealth management plans based on your needs, challenges and the values that guide your life and legacy
- Simplify financial complexity to help you achieve clarity and control
Private Wealth Management Highlights
- Approximately 300 teams1 specialized in assisting individuals and families with $20MM+ in investable assets
- Over $775 billion in AUM1
- Comprising 25% of the Barron’s Top 100 Financial Advisors list for 2023
- Direct access to ultra high net worth experts in philanthropy, family dynamics, wealth transfer, lifestyle advisory and other areas of interest to ultra high net worth families
1 Morgan Stanley Wealth Management, December, 2023
Source: Barron's.com (April 2023) 2023 Barron's Top 100 Financial Advisors awarded in 2023. This ranking was determined based on an evaluation process conducted by Barron's during the period from Dec 2020 - Dec 2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Approach
Discovery Process
Investing the time to learn about you and your family; your assets and liabilities and the risk exposures, enables us to formulate strategies and customize the relationship to your needs.
Formulation of Tax, Trust and Estate Strategy
Working with your tax and legal advisors, we help analyze your income and estate tax circumstances to identify and tailor planning techniques that may be used to address your objectives.
Creation of Customized Strategic Asset Allocation
Your customized asset allocation reflects risk, opportunities and taxation across multiple entities, while integrating your investing and estate plans.
Integration of Tactical Asset Allocation
Short-term adjustments seek to capitalize on temporary market distortions. Before making adjustments, we analyze the impact of taxes and trading costs on potential returns.
Implementation of a Customized Wealth Strategy
After comprehensive due diligence and analysis of expected results across multiple market scenarios, strategies are chosen from our expansive investment platform.
Ongoing Assessment
In coordination with your other advisors, we can conduct ongoing reviews and comprehensive reporting to ensure that your strategy adapts to changing financial and family needs.
Location
55 South Lake Ave
Ste 700
Pasadena, CA 91101
US
Direct:
(626) 405-9336(626) 405-9336
Wealth Management
Global Investment Office
Portfolio Insights
Private Wealth Management Podcast
Bringing you engaging stories and key insights surrounding the complexities associated with significant wealth, including:
- Intergenerational Planning
- Philanthropic Giving
- Non-Traditional Assets
- Managing Family Wealth
LISTEN | Passion Assets: Investing in Art
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Insights and Outcomes
Thought Leadership for our ultra high net worth clients, which contains thought-provoking articles, authored by leading experts from Morgan Stanley Family Office Resources.
Managing Significant Wealth
- Investment Management
- Wealth Transfer & Philanthropy
- Cash Management & Lending
- Family Governance & Wealth Education
- Lifestyle Advisory
- Business Services
Funding Climate Action: Pathways for Philanthropy
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Financial Wellness
Enhancing Financial Wellness enables your workforce to do their best work. Companies that invest in financial wellness have an opportunity to:
- Reduce employee stress,
- Improve retention and engagement, and
- Set themselves apart by offering comprehensive financial wellness benefits.
We look forward to discussing your needs and goals, and the exceptional resources we can place at your disposal.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
1Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be appropriate for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.
2Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences or review our Understanding Your Brokerage and Investment Advisory Relationships brochure available at www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.
3Morgan Stanley Smith Barney LLC and its affiliates and their employees (including Financial Advisors and Private Wealth Advisors) are not in the business of providing tax or legal advice. These materials and any statements contained herein should not be construed as tax or legal advice. Individuals should consult their personal tax advisor or attorney for matters involving taxation and tax planning and their attorney for matters involving personal trusts and estate planning.
4Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
See the Financial Advisors Biographies for Registration and Licensing information.
Certified Financial Planner™ Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures
1Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be appropriate for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.
2Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences or review our Understanding Your Brokerage and Investment Advisory Relationships brochure available at www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.
3Morgan Stanley Smith Barney LLC and its affiliates and their employees (including Financial Advisors and Private Wealth Advisors) are not in the business of providing tax or legal advice. These materials and any statements contained herein should not be construed as tax or legal advice. Individuals should consult their personal tax advisor or attorney for matters involving taxation and tax planning and their attorney for matters involving personal trusts and estate planning.
4Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
See the Financial Advisors Biographies for Registration and Licensing information.
Certified Financial Planner™ Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures
CRC 6295606 (3/2024)
