FA Directed Portfolio Management

Dedicated to helping clients achieve their financial goals.

FA Directed Portfolio Management

Professional Portfolio Management by Your Financial Advisor

Through our FA-directed portfolio management programs, you allow your financial advisor to take on the responsibility of making day-to-day investment decisions. This relieves you of the stress of having to make those decisions yourself.

To serve as your portfolio manager, your financial advisor must have significant experience and advanced training, and he or she must have passed a stringent industry examination. These requirements ensure that your financial advisor is equipped with the knowledge and experience necessary to make informed decisions about your investment portfolio.

The benefits of our FA-directed portfolio management programs include:

A Customized Portfolio Based on Your Unique Situation

After working with you to review your goals, objectives and risk tolerance, your financial advisor (as your portfolio manager) will determine the investment style and asset allocation that is best suited for your investing needs. Each investment will then be chosen based on your unique situation.

Personal Service & Sound Advice

When your financial advisor is serving as your portfolio manager, not only do you benefit from professional portfolio management, you also receive personalized service from someone you know and trust, someone who is intimately acquainted with your financial goals and concerns, someone with whom you have already established a one-on-one working relationship.

You also know that your financial advisor is backed by a wide array of resources and investment analysis that will help him or her make investment decisions that make sense based not only on your situation but also on what’s going on with the markets and economy.

Performance Monitoring to Keep You Informed

Working with someone you already know means you have an open line of communication. As your portfolio manager, your financial advisor will keep an eye on what’s going on with your portfolio and will keep you informed as investing circumstances change. It also means that you can contact your portfolio manager to check on things and to let him or her know when your situation has changed.

You will also receive:

  • Easy and convenient online access to your account information
  • Prompt written confirmation of all transactions in your portfolio
  • Monthly statements that summarize all the activity that has taken place in your portfolio during the preceding month
  • Quarterly performance reports that detail the value of your portfolio at the beginning and the end of the preceding quarter; your net contributions and disbursements; and a comparison of your portfolio’s performance to that of appropriate market indexes
  • Year-end summary of all transactions and activity in your account, including realized capital gains and losses
Fees Based on the Value of Your Investments Rather Than Commissions

Active portfolio management in pursuit of superior performance can involve substantial trading activity. That’s why our FA-directed portfolio management programs are fee-based rather than commission-based.

The fee for your FA-directed portfolio management account is based on the value of your investments. This fee covers all eligible transactions and your portfolio manager’s personalized services. Fees are subject to the trade agreement between you and your financial advisor; some transaction costs may still apply. Advisory programs are not designed for excessively traded or inactive accounts and may not be suitable for all investors. Ask your financial advisor for more detailed information, which can be found in the disclosure document that accompanies the program you choose.

Please contact us for specific information about our FA-directed portfolio management programs.

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