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Professionals are typically between the ages of 35-55, own a home, and are established in their profession. As their net worth continues to grow, evaluating their employee benefits suite and retirement plan investment options is also deemed important. College education funding and retirement income planning are paramount. Various risk management areas are evaluated, including obtaining the proper amount of life and disability insurance.

Financial Planning Areas

•  Customized “Sailing & Rowing” Asset Allocation Model
•  RetireUp® Retirement Income Projection                
•  401(k) Allocation Review & Recommendations     
•  Employee Benefits Review                
•  Insurance Analysis (life, disability, long term care, etc.)
•  Education Funding Analysis and Implementation

•  Mortgage / 2nd Home Purchase Analysis
•  Cash Flow Analysis & Budget Construction
•  Stock Option/RSU Analysis
•  Student Loan/Debt Reduction Consultation              
•  Estate Planning & Coordination              
•  Capital Gains Tax Reduction Strategies 

Resources & Tools

•  AdviceWorks™ Client Portal
•  AssetMap® Visual Balance Sheet             
•  Riskalyze® Advanced Investment Risk Alignment Report
•  Morningstar® Portfolio Analytics 

•  Consolidated Multi-Period Investment Performance Reports
•  Weekly & Quarterly Newsletter Subscriptions
•  Educational Workshop Invitations
•  Online Education Suite Access


•  2 Initial Complimentary Meetings
•  2-4 Pre-Scheduled Portfolio & Planning Review Meetings per year          
•  Unlimited Telephone & Email Conversations

Engagement Levels & Compensation

Option #1: Investment Advisory & Financial Planning

Investment Advisory Fee Schedule*

•  1.25% for first $1,000,000                                                                                                
•  1.00% for amounts greater than $1,000,000 and up to $2,000,000                       
•  0.75% for amounts greater than $2,000,000 and up to $5,000,000                              
•  0.65% for amounts greater than $5,000,000 and up to $10,000,000                                   
•  0.50% for amounts greater than $10,000,000                                                               

Financial Planning

•  All financial planning areas are included in the fee schedule above 

Option #2: Financial Planning Only

•  Choose any two Financial Planning Areas for $1,500                                                   
•  Unlimited Financial Planning Areas for $4,500 or $375/month         


*$1,000,000 is household minimum. Annual investment advisory fees are billed quarterly and based upon the account value at the end of each quarter. Family members will benefit from account balance aggregation to achieve favorable advisory fee breakpoints.

Let's Get Started

We will work with you to find the right mix of services and personal planning tools for your needs.  

Schedule Meeting