Helping people have confidence in their financial lives is so much more than a simple financial plan and managing investments. It is getting to know them, understanding what they want to achieve and being available when important life events happen. I work with a small number of people to give them a resource they can trust so they can spend their time pursuing what is important to them. I believe this relational approach, experience, and a world-class investment process makes all the difference in walking alongside my clients.
I take my responsibility as a fiduciary seriously, and we work hard to fully understand the needs and opportunities available to them, before any investment is made.
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1. Initial phone conversation to determine if there is a basis for moving forward and scheduling an initial meeting.
2. Prospect will receive a link from me to complete their personal financial profile and risk tolerance assessment. This helps me to better understand their goals, objectives and resources.
3. Initial Meeting. This is the first opportunity we will have to meet face-to-face and get to know each other. This meeting may last an hour or more depending on the clients situation. Once this meeting is concluded, he client and i should have a good idea of the scope of work moving forward.
4. Additional Data Gathering and communication, if necessary.
5. Solutions Meeting. This is where I present the information the client engaged me to assist them with. This may be a finanacial plan, investment management plan, charitable funding or education plannning for their children or grandchildren.
6. Implement the plan that has been agreed on. This usually includes setting up new account(s), transferring accounts, starting to allocate the accounts, coordinating estate planning, or any other initiative that is needed.
7. 90 Day Follow Up Meeting. This is usually our first chance to get together post-implementation and is spent reviewing the work accomplished to date and any adjustments that may be warranted.
8. Ongoing Monitoring and Communication. I monitor the plan and investments to assure they are meeting the expectations and adjust when necessary.
9. Provide Resources for Monitoring Plans and Investments. I provide each client access to planning and investment portfolio resources online. This allows them to monitor and update their personal information, goals and investments in real-time.
In addition to my undergraduate degree, I have attended Harvard University’s program on Behavioral Finance and the University of Pennsylvania’s, Wharton Business School, program on Investment and Portfolio Management.
I am a Registered Investment Advisor (RIA), so I charge only fees, no commissions, for my planning and asset management services.
Hese fees are determined by the type of relationship the client is looking for and may range from 0.50% to 1.00% of assets under management annually.
Some of the determining factors are the type of planning that is required, engaging outside professional such as attorneys, accountants and the assets available for investment.
i had the opportunity to play 10 years in the NFL, including starting in two Super Bowls with the Dallas Cowboys, and felt it was important to plan for a professional life after my career was over.
I worked with a financial advisor and found the planning aspect valuable and set out to learn as much as I could about investment prinicples and strategies. I was drawn to strategies that were derived from long-standing academic research and tend to dismiss
My typical client has been someone who is, or has been, successful in their career, understands the need for planning and investment and appreciates the advisor-client relationship.
I primarily work with executives, business owners, professionals and the occassional professional athlete.
Before hiring a financial advisor, find out what kind of advisor you want to work with. The financial services industry has many good and capable people working in it, but each type will have its own compensation structure, and all are not regulated to have your best interest as part of their solutions. Only a Registered Investment Advisor is held to the best-interest standard by the regulatory authorities.
Spend time organizing your financial affairs before engaging a financial advisor. This will help you to better understand what you need help with and them to meet you where you are, without having to be a detective to get the information they need.