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Investment Management

Investment Management 

  • Match your investment portfolio to your goals, needs and comfort level (Balancing risk and reward, portfolio diversification, and on-going investment management)
  • Periodic reviews of your investment portfolio and your financial position
  • Periodic rebalancing and adjustments to your portfolio as circumstances change
  • Provide ongoing education on important financial topics
  • Weekly Market Commentary e-newsletter
  • LPL Account View (On-line access to investment portfolio) 

Investment Management Process:

Step #1: Introductory Meeting (estimated time: 30 minutes-1 hour) –complimentary

The introductory meeting is designed to determine whether our philosophy and process are a good match for what you need from a financial advisor.

Step #2: Discovery Meeting (estimated time: 1.5-2 hours)

The discovery meeting enables us to gather enough information to understand your goals, your finances, and everything else that we need to know to develop our plan and recommendations for you.  This takes into consideration your:

  • Personal finances
  • Investment goals
  • Time horizon
  • Risk tolerance
  • Income needs
  • Tax considerations
  • Performance expectations
  • Liquidity requirements
  • Insurance needs
  • Estate planning considerations

Step #3: Recommendation Meeting (estimated time: 1.5-2 hours)

We review and discuss your financial plan, investment portfolio strategy, investment allocation and diversification, risk analysis, specific recommendations and the next steps. This includes a discussion of:

  • Asset allocation models
  • Investment platforms and managers

Step #4: Implementation Meeting: (estimated time: 1 hour-1.5 hours)

We resolve any outstanding questions or concerns, and then review and sign documents to open new accounts and transfer assets.  Once the accounts transfer, we can implement our investment strategy and allocation.

Step #5: Orientation Meeting: (estimated time: 30 minutes-1 hour)

We review our process, statements and other resources to confirm your understanding.

Step #6: Progress Review: (estimated time: 30 minutes-1 hour)

We discuss any updates to your family, employment, and financial situation.

We discuss the current economic environment and any possible concerns.

We review your progress toward your goals.

We make changes and re-balance your investment portfolio, as needed.


Securities and Advisory Services are offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC

All investing involves risk including loss of principal. No strategy assures success or protects against loss. There is no guarantee that a diversified portfolio will enhance overall returns or outperform a non-diversified portfolio. Diversification does not protect against market risk.

Rebalancing a portfolio may cause investors to incur tax liabilities and/or transaction costs and does not assure a profit or protect against a loss.

Asset allocation does not ensure a profit or protect against a loss.