Meet Your Team

Our firm was built for and around our clients. We believe an open and transparent, client-centered relationship is the key to long-term success. Our thorough wealth planning process is driven by listening first, formulating a strategy, and following through with advice and world-class service.

Pete Jones

CEO & Portfolio Manager

Fred Smith, CFA

Financial Advisor

Ted Baker, CFP®

Financial Planner

Benny Rodriguez

Advisor

Scott Smalls

Advisor

Wendy Tayler

Client Services

Karen Allen

Office Manager

Our Process

  • Discover

    A thorough understanding of your needs and goals is key to the creation of your comprehensive wealth plan. We take the time to listen, ask incisive questions, and gain insight into your life and the things that matter most to you.
  • Analysis

    In this part of the process, we gather all relevant documentation and thoroughly review your financial and estate resources to help you comprehend how your assets are positioned, how they will ultimately transfer and how they can be harnessed to achieve your overall goals.
  • Advise and Implement

    We offer thoughtful and insightful recommendations tailored to your goals and resources. We work with you to evaluate all options so that you can decide which choices are right for you. We then act to ensure that your overall plan is implemented. We excel at assembling all your advisors and subject matter professionals to ensure everyone is on the same page and working on your behalf.
  • Monitor and Evolve

    Through ongoing communication, we continuously monitor progress toward your goals. As your needs change, and as tax laws and market conditions fluctuate, we carefully consider and discuss your strategy with you. We are always candidly evaluating whether your strategy remains on target or if adjustments are needed.

FAQ

What is an independent financial advisor?
Independent Registered Investment Advisers are professional independent advisory firms that provide personalized financial advice to their clients, many of whom have complex financial needs. Because these advisors are independent, they are not tied to any particular family of funds or investment products. As fiduciaries, they are held to the highest standard of care—and are required to act in the best interests of their clients at all times. They are registered with either the Securities and Exchange Commission or state securities regulators.
What does being a Fiduciary mean?
A fiduciary is a professional entrusted to manage assets or wealth while putting the client’s best interests first at all times. Financial advisors who follow a fiduciary standard must disclose any conflict, or potential conflict, to their clients prior to and throughout the advisory engagement. Fiduciaries will also adopt a code of ethics and will fully disclose how they are compensated.
What separates us from other financial advisors?
A combination of independence, comprehensive service, and client focus sets us apart. As an independent Registered Investment Advisor, we provide the best advice for each client’s specific situation and needs without concerning ourselves with the agenda of a parent company. Our services range from financial planning to investment management to estate planning—we can meet a wide range of needs under one roof. Finally, we are oriented toward providing each client the attention and service they deserve. We treat our clients as individuals and not numbers.
Where is my money kept?
In our advisory role, we never take custody of client assets. We utilize [CUSTODIAN] as the custodian of client accounts and as our primary broker. Our relationship with [CUSTODIAN] is an arm’s length transaction with no exchange of funds between [CUSTODIAN] and us. When your account is established with [CUSTODIAN], you provide us with limited trading authorization on your account. This authority allows us to process trades directly in client accounts.
What are your fees?
We use a fee-based compensation model to best align our service with our clients' interests. By charging a flat percentage of clients' assets under management for advice and investment management, we minimize potential conflicts of interest and sit "on the same side of the table" with our clients.
How do I begin?
Typically, we only need a copy of your most recent account statement and your signatures on a few forms. We will take care of setting up your new account and transferring your assets.

Our Clients

Investors From Diverse Backgrounds

Our clients range from new retirees to young families accumulating wealth; we also serve trusts and estates.

Across Many Risk Profiles

Every person has a unique attitude and comfort level of investment risk. We’ll have a discussion of portfolio risk to set a target risk number to set up your portfolio. Whether providing steady income or rapid capital appreciation we can find the right balance for you.

Driven to Perform

We allocate capital where opportunities look favorable and likely to produce lasting results. Those may arise domestically or abroad for diversification and minimizing risk. Our clients expect results and we look to deliver.


Videos

Wealth Management

Fiduciary

Tax Advice


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