Broker Check

Professional Planning & Advisory Services

Asset Management Advisory

  Investment Specific's (not limited to):

  • Fixed Income (Bonds)
  • Fixed Income Laddered Strategies
  • Concentrated Equity Positions
  • Employer Options Exit Planning
  • Equities (Common Stock)
  • Structured Products
  • Real Estate (Public REIT's

  Account Structure or Type:

  • Tax Overlay Oversight in Separately Managed Accounts (SMA's)
  • SMA Advisory
  • Brokerage

Integrated Financial Consulting & Planning (Fee Based)

  • Tax Planning
  • Cash Flow Analysis
  • Balance Sheet Analysis
  • Investment Advisory & Liquid Wealth Management
  • 401(k) Account Review & Consulting
  • Personal Risk Management
  • Business Continuation and Disposition (Exit Strategy)
  • Key Executive Retention
  • Captive Insurance Co. Consulting 
  • Asset Protection Analysis
  • Estate Planning
  • Philanthropic Planning

Risk Management Product Implementation

  • Disability Income Insurance
  • Life Insurance
  • Long Term Care Insurance
  • Property & Casualty Review for Premier Clients
  • Liability Analysis for Premier Clients

Advisory Deliverables Available & Service Marks

  • Integrated Life-Wealth Cash Flow Modeling ($2MM AUM Minimum for no additional planning fee)
  • Investment Policy and Allocation Design
  • Implementation - Investment Process and Analysis
  • Full Service Custody and Trust Services at the account level (when applicable)
  • Monitoring and Benchmark to Objectives

  • Implementation Update calls, as agreed
  • Asset Management Oversight and Adjustments, according to goals
  • Planning & Review Meetings, as agreed
  • Update Investment Policy as objectives and risk / return profile dictate
  • Quarterly Update Call (or as needed)
  • On-line Planning & Monitoring Technology Platform (client specific)

Deliverables Available in Fee-Based Financial Consulting

  • Family Dynamics and Values Discussion
  • Next Generation Financial Education, as desired
  • Documented Full Scale Planning
  • Recommendation Outline and Collaboration
  • Cost / Benefit Analysis
  • Integrated Cash Flow & Life-Wealth Modeling
  • Professional Advisor Communication 
  • Coordination of Implementation, per plan
  • Risk Management Product Evaluation
  • Plan Monitoring & Updating
  • Technology Portal for Financial Organization & Data Aggregation

Risk Management Deliverables Available & Service Marks

  • Pricing Analysis
  • Efficiency Analysis
  • Cost / Benefit Analysis
  • Persistency and Probability
  • Source & Use of Capital
  • 'Control' Analysis According to Planning Objectives
  • Asset Monitoring

Additional Services We Offer Access To

Our first priority is collaborating with you for proper recommendations. We can also offer Trust Services through The Private Trust Company N.A., an affiliate of LPL Financial and SEI Private Trust Company, and affiliate of SEIC.

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