Market
Advisor/RIA
Member Level
Chalice
Last Activity
this month
Profile Age
194 days old
General
Location
N. Tustin, CA, US
Profile Type
Buyer
Fee 0% Commission 100%
Overview

We are two financial professionals (and staff) looking to succeed peers heading into retirement by buying books of business. I am a seasoned investment advisor / broker (7/24), first licensed in 1987 (no disclosures on BrokerCheck), with a B.S. in computer science from UC Irvine. In 1993, I switched to a fee-based model of asset management and moved my clients to Schwab Institutional. Three years ago, I retired from the business, and I'm now returning (thanks to divorce). My new partner is a well-established CPA/CFO/Series 6/IAR, with two offices in the San Fernando Valley. We are open to locations from Santa Barbara to San Diego. With my partner's active tax-practice, we can offer full financial planning. My expertise is in relationship management, market analysis, and portfolio construction/management. My intention is to respect the relationships that outgoing advisors have with their clients, embracing their methodologies to provide continuity. Rest assured that our clients would not be absorbed into a mill, but would instead receive dedicated attention, due to my unique position.

My prior clients -- some with no other source of income -- appreciated my rigor and focus on the safety of their money. They cared most that: 1) I had a sound, principle-grounded process, and 2) I cared about them, their money, and their future -- sometimes more than they did. Central to helping them reach their wealth accumulation/distribution goals, I used my extensive market research dating back to 1901, combined with my programming/math skills, to bring valuable/actionable insights. For example, during the "lost decade", my models provided unique insights into market valuations, returns, and volatility. My clients rested comfortably during the two 50% crashes, having been alerted that 2000 valuations were at 1966 levels (preceding a 15-year stagnant period) and that 2009 (bottom) levels were as cheap as 1981 levels, levels that initiated the run-up to 2000. (I keep a PowerPoint that illustrates my models and what I was seeing before, during, and after this period.) My models also suggested several other events that came to pass: emerging markets would be dead money from 2010 to present, energy stocks would be laggards at best, crude oil would bottom at $26/bbl, Tesla would resume it's 2010 bull market... Admittedly, this isn't much help for passive investors, but it benefits active ones.

In summary, my partner is a seasoned CPA/Series 6/IAR and prior CFO of several companies, with offices in Thousand Oaks and Simi Valley. I am a prior Series 7/24/IAR in Newport Beach/Irvine area, willing to establish an office in a location appropriate for our clients. I am comfortable with all aspects of equities/debt, ETF's, open/closed funds, sectors, big/small, value/growth/income, factors, active/passive, foreign/domestic/global, momentum, indexing with floors/caps, etc... I have four approaches to handling client money, including passive, active, cap/floor indexing, and third-party managers. Our goal is to succeed one or more advisors within the next 3-12 months. My partner would handle tax and financial planning, while I would handle relationship management, wealth-building advisory, and related financial products. Meet us, and you will see that a personal touch is assured.

I desire a period of acclimation to the advisor's philosophy, followed by client introductions, so I can help assure a smooth experience for all involved.

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