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Portfolio Management Services

SRA offers ongoing portfolio management services based on the individual goals, objectives, time horizon, and risk tolerance of each client. I create an Investment Policy Statement for each client, which outlines the client’s current situation (income, tax levels, and risk tolerance levels). Portfolio management services include, but are not limited to, the following:

  • Investment strategy

  • Personal investment policy

  • Asset allocation

  • Asset selection

  • Risk tolerance 

  • Regular portfolio monitoring 

I evaluate the current investments of each client with respect to their risk tolerance levels and time horizon.

SRA will require discretionary authority from clients in order to select securities and execute transactions without permission from the client prior to each transaction. Risk tolerance levels are documented in the Investment Policy Statement, which is given to each client. 

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Investment Strategy

I view the stock market and investing in general as a risky and dangerous place. Its my view that managing this risk is the single most important role of any portfolio manager (and a task rarely done by other financial advisors).

I invest in stocks that are below their accessed value, have solid growth and are in excellent financial health.  In addition to investments being in great financial health, they must fit within a healthy portfolio.  An investment must fit safely with other investments, or under the current market environment, or it simply doesn’t work.

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Methods of Analysis

Fundamental analysis concentrates on factors that determine a company’s value and expected future earnings. This strategy would normally encourage equity purchases in stocks that are undervalued or priced below their perceived value. The risk assumed is that the market will fail to reach expectations of perceived value.

Quantitative analysis Investment strategies using quantitative models may perform differently than expected as a result of, among other things, the factors used in the models, the weight placed on each factor, changes from the factors’ historical trends, and technical issues in the construction and implementation of the models.

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Written Acknowledgement of Fiduciary Status

SRA seeks to provide that investment decisions are made in accordance with the fiduciary duties owed to its accounts and without consideration of SRA’s economic, investment or other financial interests. To meet its fiduciary obligations, SRA attempts to avoid, among other things, investment or trading practices that systematically advantage or disadvantage certain client portfolios, and accordingly, SRA’s policy is to seek fair and equitable allocation of investment opportunities/transactions among its clients to avoid favoring one client over another over time. It is SRA’s policy to allocate investment opportunities and transactions it identifies as being appropriate and prudent, including initial public offerings ("IPOs") and other investment opportunities that might have a limited supply, among its clients on a fair and equitable basis over time.

When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours. Under this special rule’s provisions, we must:

  • Meet a professional standard of care when making investment recommendations (give prudent advice);

  • Never put our financial interests ahead of yours when making recommendations (give loyal advice);

  • Avoid misleading statements about conflicts of interest, fees, and investments;

  • Follow policies and procedures designed to ensure that we give advice that is in your best interest;

  • Charge no more than is reasonable for our services; and

  • Give you basic information about conflicts of interest.

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