Investment Services

By thoroughly understanding our clients’ long-term financial goals, personal investment philosophy and tolerance for risk, we can work together to develop a portfolio to address your goals and objectives in building your wealth and providing for the future. Our investment services include:
  • Asset management strategies
  • Tax-sensitive investments
  • Concentrated stock strategies

We provide Advisory Services through comprehensive, open-architecture, fee-based investment platforms created to help us deliver highly customized advice and exceptional service to our clients. The platform provides a foundation to help us develop successful client relationships by thoroughly understanding our clients’ long-term financial goals and offering strategies to pursue them. Multiple investments can be wrapped into one account with one consolidated statement for the client.


We have the flexibility to customize portfolios to address each client’s unique financial situation, including the ability to create a more flexible core/satellite strategy by adding positions that complement your existing holdings and fine-tuning your portfolio’s overall risk/return characteristics.

We offer access to more than 8,000 mutual funds from more than 470 fund families as well as individual stocks/bonds, options, unit investment trusts (UITs), alternative investments and fee-based variable annuities with 138 subaccounts.

We create and manage custom model portfolios or utilize pre-loaded LPL Research recommended models and investments. There are multiple rebalancing methods available as well as the ability to set position drift tolerances and rebalancing alerts.

Types of investments we can oversee in your portfolio:

  • Stocks
  • Bonds
  • Mutual funds
  • Exchange-traded funds (ETFs)
  • Futures and Commodities
  • Annuities
  • Brokered certificates of deposit (CDs)
  • Separately managed accounts (outside money managers)


LPL Research provides independent, unbiased and in-depth market and economic thought leadership as well as due diligence and recommendations on asset allocation models, open-end mutual funds, exchange-traded products (ETPs) and variable annuity subaccounts.

Advisory accounts are designed for clients who:

Our advisory services are a great way to incorporate a variety of assets into a single consolidated and comprehensive investment strategy. This service is ideal for clients who have special needs or circumstances that may benefit from a customized portfolio or even own highly appreciated stock and need to systematically diversify to reduce portfolio risk.

In this model, we can drive and implement portfolio decisions on your behalf based on the goals and objectives we set in our annual meeting. We will continually monitor and evaluate your portfolio providing convenience and simplicity of consolidated reporting for all your investments.

It has been our experience that investment success is usually determined through an unwavering commitment to a set of clearly defined investment principles.

These principles define our investment philosophy:

  • Put all financial and investment plans in writing.
  • Market timing is not an investment strategy.
  • Long-term investors should remain fully invested, unless it is clearly not prudent to do so.
  • Chasing “hot” performance inevitably leads to poor investment results.
  • Use asset allocation and style diversification to help reduce risk and possibly increase returns.
  • Never let emotional decisions replace rational judgment.
  • Partner with an advisor who is not subject to conflicts of interest, and who takes the time to make sure that you understand the realities of the investment climate and your financial decisions.

Investing involves risk, including loss of principal. No strategy assures success or protects against loss.