Do you offer Investment Management Services (Third‐Party Investment Managers)?
Yes. Following our consultation session and plan development, we may recommend you engage a third‐party investment manager to implement a portion or the entire portfolio. Prior to recommending a third‐ party investment manager, we will conduct what is believed to be an appropriate level of due diligence to include ensuring the third‐party investment manager is appropriately registered or notice‐filed within your state of residence. Annually thereafter a review will be performed from both a compliance and performance perspective to determine whether the selected third‐party investment manager remains an appropriate fit for your portfolio.
Under this type of engagement, we will gather information from you about their financial situation, investment objectives, reasonable restrictions they may want to impose on the management of the account, and we will then provide this data to the third‐party investment manager to develop the portfolio. Third‐ party managers will invest on behalf of your account in accordance with the strategies set forth in their own requisite disclosure documents which will be provided to you by our firm prior to their portfolio employing their strategies. The selected third‐party investment manager typically assumes discretionary authority over your account, and some of these programs may not be available for those who prefer an account to be managed under a non‐discretionary engagement or who may have other unique account restrictions.
