Planning ADV Part 2B
Item 1 – Cover Page
Gary Ernest Pia
MSP
530 Martos Drive
South Pasadena, CA 91030-3614
(626) 799-9800
info@missionstreetwealth.com
www.missionstreetwealth.com
This brochure supplement provides information about Gary Pia that supplements the brochure of Gary Ernest Pia (which primarily does business as “Mission Street Wealth Planning” and referred to in this brochure supplement as “MSWP”). You should have received a copy of that brochure. Please contact Gary Pia at (626) 799-9800 or gary.pia@missionstreetwealth.com if you did not receive MSWP’s firm brochure or if you have any questions about the contents of this supplement.
Additional information about Gary Pia is also available on the SEC’s website at www.adviserinfo.sec.gov.
Item 2 – Educational Background and Business Experience
Born: 1951
Gary Pia is the sole proprietor of MSWP. He has extensive experience advising individuals, small business owners, health care professionals, investment committees and non-profits. He has worked for a large life insurance company, a large stock brokerage company, and a small independent broker/dealer.
He was licensed to sell securities and previously passed the series 6, 7, 24 and 63 exams. He allowed them lapse when he left the broker/dealer environment in favor of registering as an investment advisor. He has been an independent, fee-only financial and investment advisor since 1989.
EDUCATION
Brigham Young University, BA, Communications
Certified Financial Planner – 1985 (currently inactive)
EMPLOYMENT HISTORY
| City of South Pasadena | |
|---|---|
| City Treasurer (elected official) | 2012 to present |
| MSWP | |
|---|---|
| Sole Proprietor | 1989 to present |
| Coleman Financial Planning Group | |
|---|---|
| Financial Planner Registered Representative | 1986 – 1989 |
| Transamerica Occidental Life Insurance Co. | |
|---|---|
| Director, Securities Dealer Sales | 1981 to 1986 |
| Merrill Lynch | |
|---|---|
| Registered Representative | 1978 to 1981 |
OTHER PROFESSIONAL ACTIVITIES
| American Cancer Society, Inc. | |
|---|---|
| Past Chair, National Investment Committee | 2007 to 2011 |
| American Cancer Society, CA Division, Inc. 1989 to present Past Chair, Division Investment Committee | |
|---|---|
| Past Chair of the Board Honorary Life Member of the Board | 1989 to present |
Item 3 – Disciplinary Information
There are no material legal or disciplinary events involving Gary Pia or MSWP. Gary Pia’s disciplinary history can be found at www.adviserinfo.sec.gov. Search for Gary Pia, CRD #856549
Item 4 – Other Business Activities
Gary Pia is a licensed life insurance agent. (State of California life insurance license: 0683760). He is authorized to offer annuity and/or life insurance products to advisory clients in that capacity. If he did he would be eligible to receive compensation separate and distinct from advisory fees in the form of commissions. He has agreed in her relationship with MSWP to neither sell, nor be compensated from the sale of, annuity and life insurance products recommended to, or purchased by, his advisory clients.
Item 5 – Additional Compensation
Gary Pia does not receive any economic benefit from any third-party other than clients for providing advisory services. Such economic benefits are conveyed through MSWP.
Item 6 – Supervision
Gary Pia is the chief compliance officer of MSWP, and as such he is responsible for compliance and overall supervision within the firm pursuant to its compliance policies and procedures and code of ethics. Gary Pia can be reached at (626) 799-9800 or at gary.pia@missionstreetwealth.com.
Item 7 – Requirements for State-Registered Advisers
Gary Pia has not been involved in any of the events required to be disclosed in this Item 7, including any award or liability as part of arbitration, civil proceeding, self-regulatory organization proceeding, or administrative proceeding. Nor has Gary Pia been the subject of a bankruptcy petition. 3
Item 1 – Cover Page
Patricia Ann Alexander
MSWP
936 E. Green St., Ste. 113
Pasadena, CA 91103
(626) 622-7171
palexander@gepiaco.com
www.missionstreetwealth.com
This brochure supplement provides information about Patricia A. Alexander that supplements the MSWP brochure. You should have received a copy of that brochure. Please contact Gary Pia at (626) 799-9800 or gary.pia@missionstreetwealth.com if you did not receive MSWP’s firm brochure or if you have any questions about the contents of this supplement.
Additional information about Patricia Alexander is also available on the SEC’s website at www.adviserinfo.sec.gov.
Item 2 – Educational Background and Business Experience
Born: 1952
Patricia Alexander is affiliated with MSWP as an investment adviser representative. She advises and manages investment portfolios for high net worth individuals. She also works closely with lawyers and accountants in the management of trusts and trust assets.
She was previously licensed to sell securities holding the Series 7, 63 and 66 licenses. She allowed them to lapse when she left the broker/dealer environment in favor of affiliating with MSWP.
EDUCATION
| Mount St. Mary's College - Brentwood, CA | |
|---|---|
| Bachelor of Music | 1974 |
EMPLOYMENT HISTORY
| Private Trust Management Group – Pasadena, CA | |
|---|---|
| California Licensed Professional Fiduciary | 2009 to present |
| MSWP – South Pasadena, CA | |
|---|---|
| Investment Adviser Representative | 2003 to present |
| Crowell, Weedon & Co. – Pasadena, CA | |
|---|---|
| Financial Advisor | 2002 to 2003 |
| Hotchkis and Wiley, a Division of Merrill Lynch | |
|---|---|
| Manager, Client Relations | 1996 to 2000 |
| Hotchkis and Wiley International | |
|---|---|
| Manager, Research Analyst | 1988 to 1996 |
Item 3 – Disciplinary Information
There are no material legal or disciplinary events involving Patricia Alexander or MSWP. Patricia Alexander’s disciplinary history can be found at www.adviserinfo.sec.gov. Search for Patricia Alexander, CRD #4538337.
Item 4 – Other Business Activities
Patricia Alexander is a California Licensed Professional Fiduciary (license number 388).
Item 5 – Additional Compensation
Patricia Alexander does not receive any economic benefit from any third-party other than clients for providing advisory services. Such economic benefits are conveyed through MSWP.
Item 6 – Supervision
Gary Pia supervises Patricia Alexander. Gary Pia can be reached at (626) 799-9800, (626) 233-2645 or at gary.pia@missionstreetwealth.com.
All client trades entered by Patricia Alexander are monitored to assure they are appropriate for the client in question. All client relationships are reviewed quarterly. All promotional and advertising materials are reviewed prior to distribution.
Item 7 – Requirements for State-Registered Advisers
Patricia Alexander has not been involved in any of the events required to be disclosed in this Item 7, including any award or liability as part of arbitration, civil proceeding, self-regulatory organization proceeding, or administrative proceeding. Nor has Patricia Alexander been the subject of a bankruptcy petition. 6
Item 1 – Cover Page
Daniel Ernest Pia
MSWP
530 Martos Drive
South Pasadena, CA 91030-3614
(626) 799-9800
info@missionstreetwealth.com
www.missionstreetwealth.com
This brochure supplement provides information about Daniel E. Pia that supplements the MSWP brochure. You should have received a copy of that brochure. Please contact Gary Pia at (626) 799-9800 or gary.pia@missionstreetwealth.com if you did not receive MSWP’s firm brochure or if you have any questions about the contents of this supplement.
Additional information about Daniel Pia is also available on the SEC’s website at www.adviserinfo.sec.gov.
Item 2 – Educational Background and Business Experience
Born: 1978
Daniel Pia is affiliated with MSWP as an investment adviser representative. He advises and manages investment portfolios for high net worth individuals. He also works closely with lawyers and accountants in the management of trusts and trust assets.
EDUCATION
| University of Southern California, MA, Teaching | 2012 |
|---|---|
| Utah Valley University, BA, Spanish | 2007 |
EMPLOYMENT HISTORY
| MSWP | |
|---|---|
| Advisor Associate | 2022 to present |
| Canyons School District/Hillcrest High School | |
|---|---|
| Spanish Teacher, Level 2 | 2014 to present |
| Utah Valley University | |
|---|---|
| Adjunct Professor, Spanish | 2012 to present |
Item 3 – Disciplinary Information
There are no material legal or disciplinary events involving Daniel Pia or MSWP. Daniel Pia’s disciplinary history can be found at www.adviserinfo.sec.gov. Search for Daniel Pia, CRD #7591352.
Item 4 – Other Business Activities
Daniel Pia is not engaged in any investment-related business or occupation.
Daniel Pia is a full-time University and High School Spanish teacher.
Item 5 – Additional Compensation
Daniel Pia does not receive any economic benefit from any third-party other than clients for providing advisory services. Such economic benefits are conveyed through MSWP. 8
Item 6 – Supervision
Gary Pia supervises Daniel E. Pia. Mr. Pia can be reached at (626) 799-9800, (626) 233-2645, or at gary.pia@missionstreetwealth.com.
All client trades entered by Daniel Pia are monitored to assure they are appropriate for the client in question. All client relationships are reviewed quarterly. All promotional and advertising materials are reviewed prior to distribution.
Item 7 – Requirements for State-Registered Advisers
Daniel Pia has not been involved in any of the events required to be disclosed in this Item 7, including any award or liability as part of arbitration, civil proceeding, self-regulatory organization proceeding, or administrative proceeding. Nor has Daniel Pia been the subject of a bankruptcy petition. 9
