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Our Process

Financial Survey - The first step with our clients is to prepare an in-depth profile of their fiancial situation.  We review income, risk comfort levels, existing investments, tax situations, and family objectives.

Initial Recommendations - Our next step is to develop a written plan describing strategy, goals, and of course, specific investment actions.  We work closely with our clients to make sure that any moves taken meet with the client's full approval and understanding.

Account Set-up - We establish an account at our custodial broker of record, TD Ameritrade.  If necessary, we can easily transfer assets from the client's old broker, often without selling existing investments, if suitable.   All large brokerage firms participate in an automated firm-to-firm network that makes this transfer accurate and efficient.

Establish Portfolio - After the account is established, we make any and all investment changes necessary based on our written plan.  We also implement income distributions the client desires and any necessary tax provisions.

Investment Review - We review weekly each asset in each client's portfolio plus keep up with any breaking news.  We also respond to and are available at any time to address ongoing concerns the client may have, including portfolio performance, taxes, and withdrawals. 

We are your on-call financial advisor.

 

If you would like to review a copy of our Form ADV, an official profile of this Registered Investment Advisor, please call our office at 352-238-6411.