Broker Check

What We Do

We are both investment managers and financial planners.

Investment management

We execute professional portfolio management on your behalf

We also advise on concentrated stock positions common with corporate executives*

We also provide customized advice on accounts not under our direct management including*:

  • 401(k) and retirement plans
  • Employee stock options
  • Restricted stock
  • Pensions

Financial planning

We build a customized financial plan for you, then execute it!

Our planning process includes:

  • Identification of your goals and priorities
  • Current financial position analysis
  • Retirement income testing including "what if" analyses
  • Social Security and Medicare analysis
  • Tax efficiency analysis
  • Liability and risk analysis
  • Estate plan review

Ongoing management of your plan to make sure you stay "on track" to address your goals.

Some clients are investment only clients, some are financial planning only clients, but the bulk utilize us for both pieces with our Personal CFO program.  By acting as the planner and investment manager, we can often save the time commitments and added cost of having unrelated parties doing each function.  We help clients live their desired retirement and give them the freedom to enjoy the moments in life that matter most.

*Services offered on a financial planning contract basis for allocation advice and education.  Our discretionary management is limited to assets we hold in the SWM program through LPL, our asset custodian.