Broker Check

Frequently Asked Questions 

What is a wealth management?

Wealth Management is an investment advisory discipline that incorporates financial planning, investment portfolio managment and a number of aggregated financial sevices.  High net worth individuals, small business owners and families often call upon wealth managers to coordinate banking, estate planning, legal resources, tax professionals, and investment management.

What is an independent wealth manager?

An independent wealth manager is an advisor who is conflict-free to select from a broad range of solutions which best suit the client.   Advisors do not have proprietory product goals nor production requirements.  We appreciate the latitude we have to do what is in the best interest of the client.

Are clients on a fee-based platform or a commission based platform?

Both.  There are advantages and disadvantages to both platforms.  As a general rule, our compensation growth is based on client's asset growth.

Do you have account minimums?

We don't.  We feel we are able to offer the greatest assistance to clients in the $100,000 to $10M asset range or above average incomes.

What are some areas the team has experience in?

Our team has experience in asset management, manager selection, estate, tax, retirement, and insurance planning.  From a investment and insurance perspective, we have experience in mutual funds, annuities, stocks, bonds, stock options, corporate and personal retirement plans, investment advisory accounts, trusts, life insurance, long term care insurance, business overhead insurance, 1031 exchanges, non traded Real Estate Investment Trusts, Reg. D (private placement) offerings, inital public offerings (IPO), oil and gas investments, leasing and lending investments, master limited partnership offerings, and banking services.

Will you work with my attorney and tax professional?

Yes.  We frequently work with client's legal and tax experts.