Investment Management

As an investment advisor representative (IA-Rep), I can help simplify the somewhat complex investment process and design an investment program around your needs and individual objectives.

Whether it’s traveling to see the world or spending time with family, buying that long-dreamed-about second home or planning to pass along your hard-earned wealth to those most important in your life, a well-balanced investment program is a critical component of your overall financial plan.

I am committed to helping you focus on living your life and cherishing the people and things you care about most. By simplifying the complex investment process, I will design an investment program around your needs and individual objectives resulting in an intelligent, guided approach to investing personalized just for you.

Wealth Management Services—breadth, depth, quality

WMS programs are built in partnership with National Financial Services (NFS)1 and Envestnet2, two leaders in the investment management industry. Working with me, you can create a personalized investment strategy to help you achieve a variety of goals, including asset growth, asset preservation and retirement income.

What are some of the benefits of WMS programs?

  1. A wide range of investment programs representing a variety of asset classes and investment styles
  2. Consolidated, steady pricing
  3. Client–friendly reporting on investments

Relationship with an investment advisor representative

What is an investment advisory relationship?

  • An investment advisory relationship is generally a long-term professional relationship that is built on trust, personalized investment management and ongoing oversight of your invested assets.

What are some of the primary characteristics of an investment advisory relationship?

  • Ongoing advice and interaction with your investment advisor representative
  • Ongoing management of your investments
  • Customized investment solutions—now and in the future

The areas addressed in an investment advisor relatinship include:

  • Risk/Return Profile
  • Asset Allocation
  • Tactical Adjustments
  • Portfolio Rebalancing
  • Annual Review
  • Tax Minimization

What is the cost?

  • The cost is fee-based depending on account type and size

1 National Financial Services (NFS) is the custodian of the assets on our WMS platform, managing most of the operational functions of securities trading and custody of mutual funds and other types of securities.

2 Envestnet, as a major third- party asset manager, and in collaboration with MML Investors Services, LLC, provides various investment research and oversight functions for the programs on the WMS platform. For more information concerning Envestnet and the services it provides, please refer to Envestnet’s Form ADV, which may be requested, free of charge, by calling 312-827-2800 or writing to 35 E. Wacker Dr., Suite 2400, Chicago, IL 60601