Broker Check

Money Management Process

It’s crucial that the client and the money manager share a common investment philosophy before any investment strategy is implemented.

KNOW YOUR CLIENT

  • 1. Gather client financial information
  • 2. Identify needs, constraints, and unique circumstances

CLIENT EXPECTATIONS

  • 3. Develop frame reference regarding investment performance
  • 4. Communicate philosophy and management approach
  • 5. Develop an investment objective and policy

LONG-TERM MANAGEMENT

  • 6. Present a design outline and allocation of assets
  • 7. Implement investment strategy
  • 8. Periodically review performance and objectives