FAQs

FREQUENTLY ASKED QUESTIONS

  • Are you Fiduciaries

    Yes, we are Fiduciaries!

  • What is a Fiduciary?

    A fiduciary is a person or organization that acts on behalf of another person or persons, putting their clients' interests ahead of their own, with a duty to preserve good faith and trust. Being a fiduciary thus requires being bound both legally and ethically to act in the other's best interests.

  • What licenses do you carry?

    A series 65 securities license and an insurance license. The Series 65 license, known as the Uniform Investment Adviser Law Examination, qualifies individuals to provide investing and general financial advice to clients. Passing the Series 65 exam qualifies individuals as Investment Advisor Representatives (IARs).


  • Are you independent?

    Yes, I chose to set myself up as an independent advisor. What that means is that apart from what I just shared, I am not compensated in any way to steer your money in any particular direction. Just what is in your best interest.

  • What is your educational background?

    I have bachelors in Accounting from Indiana University and a Masters in Management from Northwestern University’s JL Kellogg Graduate School of Management

  • How do you get paid?

    When I manage money, I am paid a fee. When I suggest an insurance based solution, the company pays me directly out of their general fund. 100% of your money is invested.

  • Where is your client’s money held?

    TD Ameritrade

  • How often to you talk to your clients?

    Typically every 60 days

  • If I hire you, is it forever?

    No. You are asked to give 30 days notice, but that isn’t really enforced. You can leave at any time. (Thankfully, it doesn’t happen too often!)

  • Do you have a retirement planning philosophy?

    I do and I call it SECURiMENT™. It doesn’t hold your teeth in, as has been suggested, but it does hold your future together.

  • Do you pick the investments?

    My Registered Investment Advisor is called Brookstone Capital Management.


    Brookstone helps independent advisors (1000+) manage assets of more than 8 Billion dollars as of (12/31/2022). Although I am intimately involved in your investments, I rely heavily on Brookstone’s investment committee. We have numerous models and investment choices but tend to favor less variation in our investment returns.


    Simply, our strategies aim to capture more of the upside in positive months, and less of the downside in negative months. We feel this leads to better (less emotional) decision making.

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