| Advisor Profile |
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| Disclaimer |
| We apply the investment management techniques used by institutional investors. These techniques entail the quantificdation of risk (as measured by an assets standard deviation of returns). Our portfolios focus on maximizing returns and controlling risk by incorporating alpha seeking capacities. We use both quantitative and qualitative methodologies. |
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Business Description |
We are a wealth / asset management firm. We are a Registered Investment Advisor(RIA), which legally binds us to put our clients interests first (fiduciary obligation) Our compensation is fee based.
INVESTMENT PHILOSOPHY: We apply investment techniques widely followed by large institutional investors, such as university endownments, pension funds. Such institutions have traditionally realized returns that surpass overall market returns.
We manage assets, which includes their selection, proportionate weighting, and rebalancing, in the context of your total portfolio. How an asset performs in conjunction with the other assets (statistical correlation) is critical in maximizing returns and controlling risk. We call this approach "I to the 4th" -- Institutional Investing for Individual Investors.
Furthermore, we structure portfolio's with assets that do not strictly follow ordinary stocks, bonds, or most mutual funds. The latter enables us to better manage 'downside' risks during contractions.
EDUCATION: The firms principals have gradiuate degrees from high quality universities. We also require principals to be professionally certified. The firms Chief Investment Officer has graduate degrees from the prestigious University of Chicago, is a licensed securities and insurance professional, and is a Chartered Alternative Investment Analyst (CAIA).
EXPERIENCE: In business since 1992, raising and / or managing over $2 billion. The firm's CIO spent twenty years on Wall Street with the Investment Division of Bank of America, where he designed new securities and investments. |
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General Information |
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| Name of Broker/Dealer: |
Colony Park Financial Services, llc
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| Name of Custodial Firm: |
JPMorgan Chase
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| States Willing to do Business in: |
UT, CA, VA, TX, ID, CO, NV
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| Years of Experience in Financial Services: |
25+
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| Number of Years with Current Firm: |
15
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| Work Experience: |
13 years Bank of America (Corporate Treasury; Investment Banking (designing new securities); Asset Management)
15 years managing director Acadia Capital Advisors
Senior director has raised or managed over $2 billion in debt and equity.
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| I work with the following types of clients: |
Businesses, Individual Investors, Institutions / Trusts / Endownments, Non-Profit Organizations
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Education |
| Academic Background |
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| MBA University of Chicago; MA (econ)U of Chicago; MA (intern'l dev.) U of Chicago; BS Econ U of Utah; BS History U of Utah |
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Services |
| Investment Types: |
Bonds, Stocks, Annuities, Insurance, Commodities, Mutual Funds, FOREX & Currency, Options & Futures, Alternative Investments, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Alternative Investment Analyst (CAIA)
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| Securities Licenses: |
Life & Health, Series 66, Series 7
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| Insurance and Annuity Licenses: |
Variable Life, Health, Variable Annuity, Long Term Care, Life, Disability, Annuity
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| Financial Organization Memberships: |
Financial Planning Association (FPA), National Association of Estate Planners & Councils (NAEPC)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Assets Managed by Firm: |
$15M
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$250K
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| Compensation Methods: |
Hourly, Flat Fee, Based on Assets
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| Fee % Based on Assets: |
max 1%
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| Additional Details on Charges: |
managaed accounts in excess of $2.5M are eligible for reduced fee
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| Prepared By: |
Michael Petersen |
Frequently Asked Questions |
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| Q. |
Do you have a customer satisfaction or refund policy? |
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Generally such arrangements are not allowed under the securities laws. |
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| Q. |
What are your qualifications? What is your education background? |
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20+ years financial planning, managing over $2 billion in debt and equity investments for a global bank.
Graduate degrees in business (MBA) and Economics from one of the highest quality, most prestegious colleges in the US, the University of Chicago. |
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| Q. |
What is your approach to financial planning? |
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Holistic. We treat the clients financial matters as a whole. Our objective is NOT to sell stuff for a commission. |
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| Q. |
What services do you offer? |
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Wealth management; portfolio management; investment / security selection; long-term financial planning; business plan preperation; estate-planning; raising capital for small / medium sized business; alternative asset class investment specialists. |
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| Q. |
How many clients do you currently manage? |
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We recently transitioned from a transaction based business model to an on-going revenue (annuity type) business. We are actively adding quality clients who have a need / desire for a long-term holistic financial relationship. |
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| Q. |
Will you be the only person working with me? |
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How are you compensated? How will I pay for your services? |
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We follow industry norms and charge a fee as a percent of assets under management. For the preparation of stand alone personal financial plans we may charge a flat (project) or hourly fee. |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Yes. We only run non-discretionary accounts |
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| Q. |
Do you offer any guaranteed results? |
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How much risk should I be willing to take? |
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That depends on a variety of factors related to your current financial resounces, your objectives, level of tolerance for risk , age, among others. We use statistical methods in quantifying portfolio risk widely used by institutional investors (pension funds, insurance company's, trust departments, etc). |
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| Q. |
Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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Portfolio structuring; wealth management; investment analysis and selection; we are licensed to buy and sell every listed stock and bond, mutual fund, futures - listed option. We specialize in managing alternative investments as a part of your portfolio. This can include investments in companies / securities which do not display close correlation with broader market indices (such as the S&P 500). |
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What is your experience? How many clients do you currently manage? |
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What financial institution(s) do you represent? |
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We use the custody, research, and book keeping capabilities of JPMorgan Chase. |
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How do you charge for your services? |
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Do you provide a free initial consultation? |
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Why should I choose you as my financial advisor? |
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We approach client needs with a desire to understand your objectives and resources.
we are fiduciaries as that term is defined under the secuirity laws of the USA, which means we are legally obligated to put the clients interest first, unlike stock brokers and insurance agents. |
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| Q. |
What are your qualifications? |
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What is your approach to 401 K plan rollovers? |
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The benefit of a rollover is to avail yourself of an entirely new range of investments. We approach rollovers from a portfolio perspective, and look to appropriately balance risk and returns. |
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How long does the process of rolling over a 401K plan usually take? |
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It only takes a few days to physically transfer account balances, but it may take weeks or months before your funds are fully invested, depending on market factors. |
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What financial institutions do you represent? |
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every public listed company in the world; every mutual fund in the US; off-shore entities; institutional investors for the private placement of debt or equity. We also have access to alternative asset classes - this can include managed futures, commodities, real estate investment trusts, hedge funds, and private equity. |
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| Q. |
How many years of experience do you have? |
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What are your fees for this service? |
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| Q. |
How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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Do you provide a free initial consultation? |
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