Your questions answered simply.
What’s the key difference between a broker and a registered investment advisor?
Under the Investment Advisors Act of 1940, registered investment advisors are held to a fiduciary standard of care. By law, they must ensure that each investment recommendation they make is based on the client’s best interest. A broker is required to only purchase suitable investments and not necessarily what’s in the client’s best interest.
Where is my money held and can I view my account online?
Your money is held with our custodian Interactive Brokers and can be view at all times on the company websites via desktop, mobile phone and/or tablet.
How often do you meet with clients?
We meet with clients every quarter and have phone conversations with clients as needed or wanted. We review each client's account in detail at our Annual Review meetings once per year.
What is the minimum amount I need to invest to become an investment management client?
The firm’s current client minimum is $250,000 in investable assets.
What kind of reporting do you provide?
We provide quarterly reports either via mail or electronic delivery to all of our clients that include portfolio performance numbers, portfolio rebalancing’s, account statements, fixed income analysis, and a realized gains & loss report. We also provide quarterly comment letters and monthly electronic newsletters.
Why should I work with a Fee-Only Investment Advisor?
Fee-only investment advisors are registered investment advisors with a fiduciary responsibility to act in their client’s best interest. We do not accept any fees or compensation based on product sales. Fee-only investment advisors have fewer conflicts of interest and provide more comprehensive advice. We are paid based on a percentage of the assets that they manage. We are able make investment selections based upon what’s best for you and not what pays the biggest commission.

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