Broker Check

Investment Advisory Process

Investment Advisory and Financial Planning Services are offered through First Allied Securities, a Registered Investment Advisory firm.

Once a financial plan has been established, we work to implement an investment strategy specific to your needs. We use a detailed Investment Selection and Process approach which is customized for you.

How We Customize Your Portfolio


  • Tailored portfolio and risk management
  • Manager selection based due diligence
  • Asset allocation, which may reflect outside assets
  • Tax considerations
  • Goals-based investment solutions

Based on our analysis, we will recommend a portfolio, giving consideration to the tax makeup of the investments…in an after tax account or in a pre tax account or in a Roth. Portfolios are a sophisticated combination of ETFs, Mutual Funds, Separately Managed Accounts in one account based on the tax profile of the account.

As investment advisor representatives of First Allied Securities, we stay current on industry trends and consider changes affecting client holdings, such as portfolio management changes, style drift, shifts in sector concentration, and other important variables. We speak regularly with the portfolio managers and management of investment companies where our clients’ assets are invested. We take this oversight role seriously and we ask the tough questions.

We oversee each investment portfolio and recommend modifications as needed, taking into account your changing personal and financial circumstances and our analysis of the investments in the portfolio. As you move from accumulation to distribution, we model the best approach to take including social security, required minimum distributions, periodic withdrawals, annuity or pension distributions.

Fees

We act as fiduciaries and the investments would be charged a fee based on the assets under management. The fee covers ongoing financial planning and investment advisory services. This structure aligns our incentives with yours.

As a financial planning and investment advisory client of First Allied Securities, we value our relationship with you. We work to keep you informed about your investments and other investment related topics through various communication channels.

There are no guarantees in any investment or strategy.