Daniel Hawley, President and Chief Investment Officer
CERTIFIED FINANCIAL PLANNER™
Dan was born into an aviation family and by age sixteen had a full-time job as a mechanic working on the jetliners his father flew for a charter airline based in Oakland, CA (Trans International Airlines, later Transamerica Airlines). Intending to follow his dad into the world of airline flying, by his mid-twenties he attained a commercial pilot’s license with instrument rating and started building flight experience. He also introduced his future wife, Lory, into that world at the age of twenty-two. She flew as a flight attendant for five years with the same airline.
Today he flies an advanced Boeing 737 jet on his desktop simulator and has bypassed the turmoil, layoffs, the bad food, missed family holidays and the exhausting lifestyle of a career of airline flying. And he sleeps in his own bed every night!
Beginning about age thirty he began to reassess career options and viability in aviation and decided that a career in professional financial services would be more suited to his evolving sense of purpose in life and at age thirty-two enrolled at College for Financial Planning – Certified Financial Planner™ program with classes offered through the Golden Gate University Center for Professional Development In San Francisco.
In 1984 he earned CFP certificate #3633 (According to the CFP Board as of 8-31-19, there are now over 85,000 certificants authorized to use the CFP marks). Shortly thereafter he earned NASD (now FINRA) Series 7, and 63 Securities Registrations with University Securities and Danville Financial Group, and CA Insurance Lic. 0644268.
In 1985, he joined Great Western Financial Securities (VP Investments) a division of Great Western Bank that later became Washington Mutual Bank. Working on the SF Peninsula down to San Jose over four years he built a wealth of experience working with clients of the bank, developing retirement strategies and building investment portfolios.
In 1989 he went on to a higher level of responsibility with another regional bank, opening new branches and training teller platform staff in the marketing of investments. In 1990 he returned to the world of independent advisors and worked with a small financial planning group in Walnut Creek. In 1996, he opened his own “Office of Supervisory Jurisdiction (OSJ) branch of Associated Securities, (ASC) -an esteemed west coast independent broker-dealer firm, in Walnut Creek, CA where he was a Registered Principal (FINRA Series 24).
In 2006, Dan founded Hawley Advisors, investment advisory firm and it became an active entity in 2009 when (after the sale of ASC) he affiliated with Foothill Securities as “dually registered person”. In late 2016, Foothill Securities ceased operations and having done little to no broker-dealer type business since 2000, surrendered his securities licenses in lieu of conducting fee-only investment advisory services. He continues to maintain a Life, Health & Disability California Insurance Lice. 0644268
With over 36 years of experience working with clients and their families he has gained many valuable insights about people’s fears, hopes and aspirations around money, wealth and what possibilities it can open in their lives.
He has witnessed the evolution of financial products and strategies with a mere 500 mutual funds available to retail investors in 1982 to the mind-boggling cornucopia of both retail and institutional level investment types and strategies available today, numbering 20,000 plus.
Acutely aware of the need to act as client’s “buyer-representative” in this maze of complexity he focuses on gaining a deep understanding and knowledge of client’s overall objectives, time horizon (for things like college education and retirement planning) and most importantly client ability to bear risk and uncertainty in this very uncertain world of complex economics and market conditions. He continually strives to educate clients on the investment process and current economic conditions and market dynamics that impact client’s wealth accumulation.
“Ladies and gentlemen this is your captain speaking. We expect some minor turbulence ahead and we ask that you return to your seats with your seatbelts loosely fastened. Otherwise we expect to arrive at your destination on time”.
With the help of highly trained associates with advanced credentials, skill and knowledge in the investment process, Dan has (since 1998) developed a dynamic model portfolio system using the principle of “risk-adjusted return investing” wherein clients can select the level of expected risk they can tolerate in their pursuit of gaining good wealth building investment results. At present he manages over $46MM for 56 client households.
With much knowledge in personal financial planning he knows how to uncover some of the hidden pitfalls the unaware can face, having the wrong type of insurance to faulty planning for wealth transmission to succeeding generations. Our integrated wealth management process takes into account a client’s need for current and future cash flows, their current and future expected tax brackets and again, their risk tolerance to build a highly individualized investment plan that coordinates with their financial planning.
Finally, we treat all clients (regardless of assets) as valued members of our family, to serve and guide over a lifetime, making sure that we are aware of and responsive to their needs. We work for you and value the relationship. Our service policy is to respond to all client service requests within 24 hours. That means we continue to respond, even if we haven’t solved your original issue. This is the lifeblood of our firm and what distinguishes us from a large impersonal firm. We have access to all the same institutional resources they do, but we aim to be highly responsive, highly personal, and highly accountable to you, our clients.
Christine Clakley,Manager of Client Service and Operations
Christine Clakley is a native of California, born in San Rafael. She graduated from the University of Texas at Austin with a bachelor’s degree in business administration in Marketing in 1986 (yes, she’s a Longhorn).
After college, she joined World Savings and Loan Association in Oakland, California in their branch manager training program and was Branch Manager of their Piedmont, San Jose and Walnut Creek branches. From there she rose to corporate trainer in the field offices.
After taking time off to raise her three children in the Walnut Creek area and be active in her children's educational activities and community, she returned to the workforce and served as the Executive Director of the Children’s Skin Disease Foundation, (CSDF) a 501(3) C organization that benefits children suffering from serious and sometimes terminal diseases of the skin.
The focused mission and lean structure of CSDF enabled her to be directly involved with all facets of managing a non-profit charity. One of her great enjoyments was organizing and coordinating staff for their annual “Camp Wonder”, where kids with serious and disfiguring diseases could come and enjoy a week at Camp Arroyo in Livermore, (sponsored through a grant from the Taylor Family Foundation). https://en.wikipedia.org/wiki/Camp_Wonder
Christine has worked with Hawley Advisors since 2008, mainly providing administrative assistance on a part time basis while she also fulfilled her full-time duties with CDSF with offices in Dan’s suite. Used to wearing multiple hats (FT mom, FT Director of CSDF), and PT. admin for Hawley Advisors, Christine is very committed to providing excellent customer service with her exceptional organizational skills and attention to detail. She embodies the axiom “If you want something done (well), give it to a busy (and very capable) person”.
In 2018, she turned over her duties at CSDF and became a more substantive member of the Hawley Advisor’s client service and operations team. She handles many aspects of client service including initial onboarding, new account formation, transfer in of existing accounts (such as IRA rollovers and pension plan distributions) from other custodians, regular and retirement plan distributions.
Christine also assists with client portfolio management and helps facilitate year-end tax accounting and coordination with client’s tax professionals and maintains the firm’s client databases so that essential planning and investment data is readily available, accurate and timely. She also manages the operations of the physical office and” keeps the trains running on time”.
Maitri Goonewardena,Portfolio Advisor and Research Analyst
CHARTERED FINANCIAL ANALYST, (CFA)
Maitri is the founder of MKG Capital Management, an Investment Advisor registered with the State of California Dept. of Business Oversight. On a contracted basis he provides valuable and in-depth research and analysis of investments, investment portfolios and strategies. He also consults on special projects for clients such as debt restructuring plans, business viability issues and other matters requiring a deep understanding and grounding in finance.
Maitri is a native of Sri Lanka, who immigrated to the United States in 1974 with his family, settling in Minneapolis, MN. He graduated with a B.S. in Accounting from the University of Minnesota in 1986 and began his professional career in (1985) at a local CPA firm and went on to work for the Defense Contract Audit Agency and 3M Corporation St Paul, MN working in financial analysis and audit.
In 1991 he relocated to the SF Bay Area where he served for 6 years as Director of Asset Management for Whalen & Company (a project management consulting firm in Lafayette, CA specializing in cell tower site development and construction management).
During this time, he was a Sloan Fellow at the Stanford University Graduate School of Business, and earned the prestigious Chartered Financial Analyst (CFA) designation from the CFA Institute. At present there are about 132,000 CFA’s in the world, most functioning as portfolio managers, research analysts and Chief Executives of investment management firms. He has also passed the CPA exam (although he is not practicing as a CPA at this time).
In 1999, he founded his own firm, MKG Capital Management where he has served as a trusted advisor to high net worth individuals and corporate executives. He concurrently manages the Concentrated Value Strategy LP, an equities focused investment partnership, (limited to high net worth individuals and families). He has also served as manager of the Midwestern Capital Fund, another private limited partnership.
Marleen Scheffy,Chief Compliance Officer
Marleen Scheffy is the Chief Compliance Officer of Hawley Advisors. In this capacity, she ensures that the firm is in compliance with SEC rules and regulations. She has more than 35 years’ experience in the Securities Industry and during that time she has been associated with a number of financial services firms in various management roles.
Marleen currently also serves as Chief Compliance Officer for two other registered investment advisors, David S. Reinders, CFP®, Inc. and Mason & Associates. Most recently, she also was Chief Compliance Officer and Principal with Perlinski & Associates, a broker/dealer specializing in mergers and acquisitions and corporate finance. In addition to her Chief Compliance Officer role with these firms, she consults with other registered investment advisers on an as needed basis.
Previously, Ms. Scheffy served as Chief Operating Officer of Associated Securities Corp. where she was in charge of broker/dealer operations, trading, compliance and supervision. She also was in charge of the firm’s two registered investment advisors. Marleen was a Vice-President in the Wealth Management Group of Sanwa Bank. She spent nine years with FINRA (formerly the NASD) the self-regulatory organization for the brokerage industry, where she was a Supervisor.
Marleen holds a BA degree in Business Management from Colorado Women’s College where she graduated Summa Cum Laude. She also holds a Certificate in Executive Management from Claremont Graduate University. Marleen holds a Series 65 license.
Marleen is a past member of the Southern California Compliance Group, the National Society of Compliance Professionals and the FPA. She also served on the Operations Council of the Financial Services Institute.