Retrospect Volume V

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INDEPENDENT AND PERSONALIZED

We are not beholden to a large corporation that mandates

a pre-determined portfolio. Investment selection starts

with a discussion and plan customized to your needs.

FIDUCIARY DUTY

We are not a broker-dealer claiming to recommend

“suitable investments.” We are a fiduciary registered with

the SEC, which requires us to put our clients’ interests

ahead of our own.

SECURE INVESTMENTS

We offer a range of secure investments, such as U.S.

Treasury Securities or Certificates of Deposit. Additionally,

our custodian bank, BNY Pershing, maintains insurance

and SIPC coverage in the unlikely scenario of failure.

OPEN ARCHITECTURE

We don’t have one entity we rely upon for investment

selection. We are not required or encouraged to “push”

any investment idea.

OUR VALUE

4 RETROSPECT

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