Investment Management & Financial Planning
AUM
Our most comprehensive option — dynamic portfolio management paired with full financial planning, tax preparation, and estate document support.
Why AUM - How We Are Different →
What's Included
Client Experience
- Guidance on all wealth matters
- One Advisor, single point of contact
- Direct call, email, or text access
- Advisor books capped at 150 clients
- 24/7 interactive client portal
- Quarterly & proactive strategy meetings
Dynamic Portfolio Management
- Custom index & active fund portfolios
- Tax Mitigation & Tax Aware Strategies
- Dynamic portfolio rebalancing
- Strategic tax-loss harvesting
- Cash management & yield optimization
- Individual stock positions
- Option Strategies for income, hedging, & growth
- Concentrated position strategies
- Structured income with downside protection
- Buffer & floor downside protection
- Ongoing risk monitoring & management
- Private equity & real estate strategies
- Currencies, commodities, & alternatives
- Direct Indexing Strategies*
- Separately Managed Accounts (SMAs)*
Comprehensive Financial Planning
- Full financial plan development
- Ongoing plan stress-testing, monitoring, & recalibrating
- Run what-if scenarios of your plan
Additional Services
- Tax Preparation & efile**
- Trust, will, and other estate docs**
Fee Breakpoints
We apply a best-tier fee structure, not a blended rate. Once your assets reach a new breakpoint, the lower rate applies to your entire portfolio — not just the assets above that threshold.
| Annual Rate | Assets Under Management |
|---|---|
| 1.10% | Less than $1,000,000 |
| 1.00% | $1,000,000 |
| 0.90% | $2,000,000 |
| 0.80% | $3,000,000 |
| 0.70% | $4,000,000 |
| 0.60% | $5,000,000 |
| Custom | $6,000,000 or more |
The Value of Advice
Vanguard's Advisor's Alpha study estimates that working with a skilled advisor can add approximately 3% in net annual returns through disciplined investing, behavioral coaching, tax-efficient strategies, and ongoing financial planning — meaningfully exceeding the cost of advice over time.
Read the Vanguard Advisor's Alpha study →* These services may come with an additional charge.
** Clients must meet asset minimums to qualify for these services.
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