Whether you are an individual with personal and family goals or the person charged with the financial goals of your organization, we are here to provide you with an array of financial and investment planning services essential to your success.
We will work hand in hand with you – and, if need be, your other professional advisors – to select the service that best suits your needs, then apply our investment insight and expertise to tailor the required service to your unique situation and with your specific goals in mind.
We are focused on independent thinking, referral oriented, fee based, investment portfolio management.
We have well over 60 years combined experience in the securities brokerage industry, and have worked together in partnership serving investment clients since 1987. It is our belief that our greatest strength comes from long-term team-work, daily immersion in the investment securities business, and experience derived over many years of dedicated service to our clients.
Our practice has developed and evolved from what was traditional investment brokerage to the active, discretionary, management of client's investment portfolios. We believe a discretionary, fee based, referral oriented, practice, positions us to best serve our clients interests.
We employ asset allocation strategies, and diversification principles to the construction and ongoing management of portfolios. Additionally, we believe our years of experience in investment brokerage, and securities trading, gives us an important edge in opportunistic, tactical trading, and special situation investing. We are hands on, actively involved, and do not rely upon "canned", static, or "one size fits all" investment programs.
Our emphasis is on “total return” with a bias toward value investing and capital preservation. Custom portfolios are constructed from a broad spectrum of securities, including special strategies to help enhance portfolio income where appropriate. Also, where suitable, we are able to deliver the unique capabilities of Raymond James in asset management and investment banking. Additionally. we actively participate in the areas of equity and fixed income new issues underwriting syndicate. This includes initial public offerings (IPOs), secondary equity offerings, new issue municipal bonds, and other new issue fixed income offerings. These initiatives have the potential to benefit clients with access to unique and special situation investments.
We encourage regular and active communication with our clients which includes accessability via phone contact, email, scheduled meetings, and 24/7 visibility of their portfolios via Internet access.
Other areas in which we provide specialized investment advisory services:
Advisory services to sponsors of company retirement plans, 401(k)s / profit- sharing plans.
Advisory & portfolio management to non- profit organizations.
Specialized handling of Rule 144 Insider Stock
Executive Stock Option Financing
In a fee-based account clients pay a quarterly fee, based on the level of assets in the account, for the services of a financial advisor as part of an advisory relationship. In deciding to pay a fee rather than commissions, clients should understand that the fee may be higher than a commission alternative during periods of lower trading. Advisory fees are in addition to the internal expenses charged by mutual funds and other investment company securities. To the extent that clients intend to hold these securities, the internal expenses should be included when evaluating the costs of a fee-based account. Clients should periodically re-evaluate whether the use of an asset-based fee continues to be appropriate in servicing their needs. A list of additional considerations, as well as the fee schedule, is available in the firm’s Form ADV Part 2A as well as the client agreement.
