Our Practice

Establishing a New Portfolio

Step 1 – Initial Meeting
At the first meeting we discuss a client’s needs and objectives, and the surrounding financial framework. We compare our approach to financial management with the needs, objectives, and tolerance for investment risk to determine if the fit would be good.

Step 2 – Collect Information
Make copies of recent statements for the existing investment holdings and additional background information. We would prefer to have information on investment holdings beyond what might be managed by our group to make sure our investment recommendation fits well within the client’s overall investment holdings.

Step 3 – Investment Proposal Meeting
From information collected at the initial meeting, an investment proposal will be prepared for your review. The proposal will include a target asset allocation for various stock and bond asset classes of the funds to be managed. The proposal will also address the fit within the overall invested assets. After discussing the proposal, we may make adjustments to the proposal to better fit the needs, objectives, and tolerance for investment risk.

Step 4 – Implementation of Plan
We complete the relevant forms to initiate management of the portfolio. Investment changes are made to move the portfolio toward the structure established in the final proposal.

Step 5 – Follow-up Meeting
When the adjustments to the portfolio have been made and the investment portfolio structure established, a follow-up meeting is held to make sure nothing was missed in the process, and to review our statement format.

Step 6 – Six-month and One-year Portfolio Review Meetings
Meetings are held to review investment progress versus the plan, go over the investment reports, and answer any questions about the portfolio and investment reports. These meetings are offered on an “as needed” basis, but typically are semi-annual.

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