INVESTMENT PLANNING

You already realize that your ultimate financial success largely hinges upon the quality conception of your investment plan.  As an affluent investor, you understand a thoughtful approach must be taken so that subsequent actions can yield their desired outcome.  For this reason, you expect tailored craftsmanship to be applied by distinctly credentialed professionals in the formulation of your investment plan.  As such, we seek to incorporate three essential elements into your investment plan:

 

1.  Utilizing Collaborative Expertise

Our desire is to provide you with the greatest level of access to a variety of sophisticated, professional quality investment strategies.  Thus, in the construction and ongoing management of your portfolio, we collaborate with multiple resources and financial industry specialists outside of our firm in order to deliver to you a “best-in-class” type of wealth management experience.  As a result, we can attempt to more effectively manage your risk factors as we seek to protect your wealth and manage your investment performance.

Although we have access to use many different investment management institutions, our direct relationship with Vineyard Global Advisors, LLC (an investment management firm providing institutional money management services; both our firm and Vineyard Global Advisors, LLC are affiliated with Integrated Advisors Network, LLC, but Vineyard Global Advisors, LLC is not affiliated with DFPG Investments, Inc.) serves as the hallmark of our ability to deliver what we believe to be a potentially unique value to you.  This collaborative relationship enables us to provide you with differentiated separate account management (i.e. each account can potentially be managed to achieve a different objective), while simultaneously providing you with the application of a universal wealth management solution.

Our partnering with Vineyard Global Advisors, LLC, empowers us to employ unique proprietary quantitative analysis tools needed to measure accurately the amount of risk in your portfolio.  Thus, we can continually keep those risk levels within the budgeted amount we previously defined in your Investment Policy Statement.  The end result is that we strive to keep your portfolio foundationally in line with the goal of preserving your wealth.

Moreover, by collaboratively working as a team, we better develop and manage specialized investment strategies for you that focus on achieving your objectives, as well as limiting the market volatility you might otherwise experience while attempting to attain those goals.  Our direct access to Vineyard Global Advisors' investment specialists help foster identification of investment opportunities for you – the type that are typically only made available to accredited high-net worth investors, since they incorporate the use of sophisticated market hedging strategies.

We believe our collaborative approach produces the sophistication of strategies and type of access to investment opportunities necessary to assist you with being good stewards of your wealth.  Overall, we believe our collaborative efforts serve to focus our firm's efforts toward producing a high professional quality type of investment management service for our clients.

        

2.  Implementation, Transparency, and Monitoring

By assisting you with the stewardship of your financial resources, we expect our accountability to you to be an indispensable aspect of our relationship.  For this reason, we initiate our engagement of services for you with a well-defined and documented Investment Policy Statement.

We fully disclose to you all investment management costs, fees, or any conflicts of interest that could potentially arise in our serving you.  We are very sensitive to these issues and insist upon being fully transparent with you.  Complete transparency fosters a better understanding of the interrelated aspects of the services we provide you, which in turn serves to further strengthen the value you find in our relationship with you.

Unlike most other firms, we do not immediately invest all of your proceeds into a portfolio at once – because we have no model portfolios.  Rather, we completely personalize the design of each client portfolio.  So, we construct it by acquiring each position as it makes sense for you to own it, according to that position’s fundamental valuations.  When building out your portfolio, we are careful to work around your existing holdings and consider all tax implications of the assets that have been transferred into your account.

Once constructed, our ongoing portfolio management services dynamically and pro-actively work to keep your portfolio at all times within the investment risk budget we established together.  Through our third party portfolio management relationships, we monitor your portfolio daily, seeking to mitigate risk where possible and capture the rewards resulting from market inefficiencies in prudent fashion.  Moreover, we personally review these activities with you as frequently as you desire, while conferencing directly with our collaborative financial specialists during our review discussion.  By our conferencing directly with your entire team, we can continually incorporate your life’s ever changing events into the strategies we’ve employed to help control your risk and preserve your wealth.

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