Client Experience

As our client, you have direct access to the person that is selecting and trading investments on your behalf. We are more than “Asset Gatherers” unlike some financial professionals. We offer a range of investment management solutions to meet your needs.

We manage your assets “In-House” using our well-defined processes and analytics to help you meet your investment objectives. We encourage input on asset selection from our clients who wish to have that ability. With this option, your investments are held at TD Ameritrade Institutional for safe keeping; we do not take custody of client money. In this scenario, our ability to impact your account is limited to the buying and selling of securities within your account, and performing service tasks related to account maintenance and your servicing requests. TD Ameritrade Institutional is one of the largest investment custodians in the world.

We also have the ability to select “Third Party” investment managers. Because we are independent and not confined to proprietary products, we evaluate your needs, and then can help you select a manager that aligns with your needs and desires. In this scenario, we do not maintain the “buy-sell” discipline for your investment holdings, but give that job over to the selected manager. We "manage" the manager, perform reporting functions and communicate those results to you. In addition, we monitor “performance expectation” verses the “performance reality” on an ongoing basis to measure the effectiveness of the selected manager over time.

Whether you choose to have your investments managed “In-House” or through a “Third Party Manager,” we are always just phone call away. Or, if you have the time, stop by. It is always good to see you.

Finally, we actively engage our clients and alert them to any current or potential future material change in the status of their investments. We feel strongly that simple inattention is one of the largest factors in prolonged or greater-than-normal investment loss. Conversely, we believe in a consistent, disciplined approach to investment management.

TD Ameritrade is not affiliated with LPL Financial, Inc.