No Worries: Wealth Management Strategies For Long-Term Success

With Richard Brothers, there’s no need to lose sleep over your investments. Our financial advisors are experts in portfolio management and tracking, securities selection and investment optimization.

As a Richard Brothers client, you have dedicated team of Financial Professionals are ready to answer questions, optimize your financial strategy and regularly update you about any issues that need your attention.

And, of course, we encourage our clients to call at any time to discuss issues or concerns.

No Worries: Wealth Management Strategies For Long-Term Success
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Investment Advisory

Our investment process is designed to produce long-term investment results by adhering to the principles of diversification and portfolio risk management. We begin by meeting with you to learn about your account goals, risk tolerance and personal preferences. Next, we review your assets, cash flow patterns, tax planning and other factors that affect your investment horizon.

This process provides insight to help us create a plan that’s right for you. Our ongoing, careful review of performance characteristics helps keep investments on track, reduces risk and maximizes your potential return.


Portfolio Tracking & Management

We manage your portfolio the way you would — if you had the time and expertise to do it yourself. We provide detailed, graphical quarterly performance reports that track holdings and show how your portfolio is doing. We use clear graphs and charts that make it easy to understand information on current asset allocation, portfolio holdings, fund performance and more. 

Securities Selection

When selecting securities, we draw upon data compiled from established research agencies, determine strategic and tactical allocations, and then screen and rank investments from a universe of thousands of investment managers available to us. Our proprietary system uses a consolidated investment holding report that allows us to select and weight investments according to category and asset class.


Investment Optimization

At Richard Brothers, our buy/sell discipline is a critical component of the investment process. We continually screen our funds, and rebalance investments to ensure that your portfolio conforms to your original asset mix. 

We look for asset classes that are overweighted by more than 10 percent and rebalance with investment areas that are underweighted by 10 percent. Through this process, we systematically take profits and use proceeds to buy undervalued investments.


Trading & Execution

Richard Brothers uses leading-edge technology to serve as your contact on the floor of the New York Stock Exchange and other national securities markets, with the benefit of personalized attention you are unlikely to find at large institutional brokers.

All Richard Brothers accounts are insured by the Securities Investor Protection Corporation (SIPC).

Richard Brothers Financial Advisors’ affiliated FINRA Member firm is Allegiance Capital, LLC. Allegiance Capital’s clearing correspondent is Pershing, a Bank of NY Mellon Company, and the premier clearing firm on Wall Street. Pershing provides execution and clearance services with a network of floor brokers on the NYSE, and has a significant presence on all national and regional exchanges.

We require that our clients direct Richard Brothers to employ our affiliated broker/dealer, Richard Brothers Securities, to execute trades. This allows for the best execution of trades, and prevents Richard Brothers Securities from having the authority to negotiate commissions among various broker/dealers or necessarily obtain volume discounts.

Due to the potential disparity that may exist between commissions charged to clients, Richard Brothers Financial Advisors reserves the right to refuse to accept a client who directs us to use a broker/dealer other than Allegiance Capital, LLC.

Take control of your financial future today!