Know where you are going
Just like a good pilot operates from a good situational awareness, similarly a good financial advisor navigates your financial course with a heightened awareness of your hopes, dreams, concerns and goals and how they might best be pursued given the complexity and vast opportunities of the financial world. For 27+ years Dave flew for two great Fortune 500 companies. He knew the day would come to hang up his wings, but his skills as an aviator; focused, dedicated, disciplined and methodical have helped him serve his clients, and can help serve you.
Our Mission, Vision & Values
To know and understand your financial situation and provide you with professional knowledge, services and products to help you reach your goals.
It is our goal to be your most trusted financial advisor. In order to accomplish this, our professional knowledge, integrity and caring, personalized service are our top priorities.
- Professional knowledge
- Relentless commitment to clients’ goals, objectives and risk tolerance
- Customer service second to none
- Relationships based upon mutual integrity, trust and honesty
We will collaborate to understand your current financial situation, your unique goals, dreams and potential life events which will greatly impact your plan. Understanding your goals will solidify your investment objectives and risk profile. From these a customized and intentional plan will be proposed. Following implementation, your progress will be continuously monitored, measured and communicated to you.
The selection of all investment vehicles will remain objective and independent. There is complete freedom to seek out the best opportunities from among a vast universe. Detailed economic forecasts and analysis will provide the foundation and springboard which will help us recognize and manage risk as well as take advantage of emerging opportunities.
Our goal is to provide first class service, treating our relationship with respect and high regard. We acknowledge and accept the responsibility to communicate clearly, often and honestly. As your advisor, I will diligently continue my education and professional development for the sole purpose of deepening my capacity to address the ever-changing, ever-increasing financial related dynamics which can affect your financial security.
Client Bill of Rights
It is important that you understand the principles upon which we commit to build and maintain our relationship.
1Quality of Service – You have the right to receive consistent quality service delivered in such a manner that you would be confident to recommend us to others, knowing that your referrals would be treated with the same high level of respect and courteous service.
2Trusted Advisor – You have the right to work with a trustworthy, caring and dependable financial advisor who at all times strives to understand your perspective, needs and objectives. Your best interests will always come first.
3Recommendations Based on Your Needs – You have the right to independent, objective advice based on your revealed values, needs and goals. Your risk tolerance and liquid net worth will also be taken into consideration.
4Confidentiality – You have the right to the strictest levels of confidentiality with all information you give us. Your personal information will be protected to the highest standards outlined by SEC, FINRA, LPL Financial and state and regulatory agencies.
5Transparency – You have the right to a fully transparent relationship and to clearly communicated costs of portfolio management, transactions and advisory services. At no time should you be hesitant to ask for clarification of any questions you might have.
6Prompt Response – You have the right to receive communications from your trusted advisor in a timely manner. We will be available to answer your questions as they arise and commit to returning all calls within a 24 hour time frame. Should your request require additional research, we will set a clearly defined time frame to meet your expectations.
7Timely Communication – You have the right to receive communications from us in a timely manner. We will prepare performance reports that clearly identify all account positions, and present said information in a comprehensive portfolio review. The frequency of reviews will be agreed upon mutually. Our goal is to proactively provide portfolio information before the question arises.
Lori has been providing operational support for Dave’s clients since Dave joined LPL Financial. Lori is detail oriented and draws great personal satisfaction from providing exceptional, friendly and highly personalized customer service. Intentional and efficient would be two words to describe Lori’s professional style.
Our Ideal Client
1Holds an engaged, optimistic, fun and productive perspective on life
2Seeks the value of a financial advisor and is willing to pay for and heed advice given
3Desires the benefits of a strategic, coordinated, easily monitored, intentional financial game plan
4Professionals – both working and retired
5Holds investable assets of $200,000 to $5 million