It’s important for clients to know what we’re doing – how and where we’re putting
their investment funds to work.
For this reason, we place emphasis on regular account reviews.
That emphasis begins with a team approach to portfolio management.
Generally, we assign two portfolio managers to each account. These
professionals periodically review information that might affect a client’s
investments. Using this approach, we can save you money by managing taxable
events in your portfolio.
We may schedule special reviews when new market
opportunities arise or when funds are added or withdrawn from an account.
In addition, our senior managers review all portfolios
periodically, evaluating overall performance in light of client goals and
requirements. Events such as strong market rallies or corrections also may
prompt comprehensive portfolio reviews.
To assure the accuracy of all account activity, we conduct a daily
review of all prior day transactions. Our compliance department also
monitors all trades to ensure they conform to current recommendations.
Frequent client communication
To keep clients fully informed of the progress of their investments, we
stress ongoing communication. That communication takes many forms:
Periodic meetings, held at client convenience, allow us to review
portfolio performance and changes in investment goals. We hold these
meetings at least once a year, more frequently if client circumstances
require them.
Historical performance reports are prepared annually or when
requested by a client.
Clients holding assets with our clearing agent receive monthly
statements showing all transactions, the current value of securities, and
estimated annual income and yield.