Investment Management

As an independent firm, we have the flexibility to offer you access to a wide range of nonproprietary products and services - without the obligation to sell any particular investment or brand - keeping our focus solely on you. 

Four women in a meeting room with large windows, a woman is presenting stock market performance data on a large screen, with laptops and notebooks on the table.

  • Finding the right portfolio for you takes a deep understanding of who you are. We take the time to explore your unique financial position, opportunities, and challenges to tailor personalized strategies and advice. Our investment recommendations start with these key considerations:

    • Identifying the financial objectives that are most important to you

    • Aligning your investment recommendations with your comprehensive financial plan

    • Planning for uncertainty and managing risks as you pursue your objectives

    • Identifying tax-loss harvesting opportunities

    • Considering your investment preferences or interests such as socially responsible investing and dividend-focused investing

    • Provide diversification strategies for concentrated stock positions while considering tax implications

    • Tailoring your portfolio to your unique tax circumstance, liquidity needs, or other personal constraints

    • Planning for your loved ones and/or charitable organizations

    • Recommending investments that align with your objectives, risk tolerance and time horizon

    • Considering frequency of desired ongoing management and reviews

  • We offer access to a variety of investment strategies, investment firms, portfolio strategies and money managers that provide ongoing, professional advisory services. We also have the ability to build custom advisory portfolios unique to your individual situation.

    With managed accounts, you’ll have the option to grant us discretion to buy and sell investments in your account without asking you in advance. You may limit our discretion, such as by imposing reasonable restrictions on investing in certain securities or groups of securities. Some of our investment advisory accounts are non-discretionary, which means you are required to pre-approve each investment transaction that we recommend.

    We will typically monitor accounts, and the asset allocation within accounts, on an ongoing basis with the goal of ensuring they stay aligned with your investment objectives.

  • Brokerage services include taking your trade instructions and executing your securities transactions; and, upon request, provide recommendations for you to buy, sell, or hold securities. In most cases, we provide recommendations to you on specific investments, but you make the final investment decisions for your account. We don’t monitor brokerage account investments for you, unless we state otherwise in writing.

  • Easy, low-cost online investing with the guidance of a licensed Financial Advisor.

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A Note on Account Protections

Securities Investor Protection Corporation (SIPC) Insurance applies in the event that an SIPC member firm fails financially and is unable to meet obligations to securities clients, but it doesn’t protect against losses from the rise and fall in the market value of in SIPC provides account protection up to a maximum of $500,000 per customer, of which $250,000 may be in cash.

For an explanatory brochure, visit www.sipc.org.

Additionally, through London Insurers, LPL accounts have securities protection to cover the net equity of customer accounts up to an overall aggregate firm limit of $600 million, subject to conditions and limitations.

Account Program deposits are eligible for up to $2.5 million of deposit insurance for individual and trust accounts and up to $5 million of deposit insurance for joint accounts, both through the FDIC.