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Financial Advisor-Directed Portfolio Management

Our Financial Advisor-Directed Portfolio Management programs allow your financial advisor to assume the responsibility of making day-to-day investment decisions on your behalf. This relieves you of the stress of having to make those decisions yourself.

To serve as a portfolio manager, your financial advisor must have significant experience and advanced training. This includes passing a stringent industry examination. These requirements ensure that your financial advisor is equipped with the knowledge and experience necessary to make informed decisions about your investment portfolio. The benefits of our Financial Advisor-Directed Portfolio Management programs include:


Customized Approach
After working with you to review your goals, objectives and risk tolerance, your financial advisor, acting as your portfolio manager, will determine the investment style and asset allocation that is best suited for your investing needs. Each investment will then be chosen based on your unique situation.

Personal Service
When your financial advisor is serving as your portfolio manager, not only do you benefit from professional portfolio management, you also receive personalized service from someone you know and trust. You enjoy the advantages of working with an investment professional who has a deep understanding of your unique goals and concerns.

You also get the confidence of knowing your financial advisor is backed by a wide array of resources and investment analysis that will help him or her make appropriate investment decisions based on your situation and current market conditions.

Performance Monitoring
As your portfolio manager, your financial advisor will monitor the performance of your portfolio and will keep you informed as investing circumstances change. In addition, you can contact your portfolio manager to get ongoing updates and communicate necessary details if your personal or financial situation has changed.

You will also receive:

  • Easy, convenient online access to account information
  • Monthly statements summarizing the activity that has taken place in your portfolio
  • Quarterly performance reports detailing the value of your portfolio at the beginning and the end of the preceding quarter; net contributions and disbursements; and a comparison of your portfolio’s performance to that of appropriate market indexes
  • Year-end summary of all transactions and activity in your account, including realized capital gains and losses

Fee-Based Relationship
Because active portfolio management in pursuit of superior performance can involve substantial trading activity, our Financial Advisor-Directed Portfolio Management programs are fee-based rather than commission-based.

Please contact your Dorsey & Company Financial Advisor for specific information about our Financial Advisor-Directed Portfolio Management programs.

The fee for your Financial Advisor-Directed Portfolio Management account is based on the value of your investments. This fee covers all eligible transactions and your portfolio manager’s personalized services.

Fees are subject to the trade agreement between you and your financial advisor; some transaction costs may still apply. Advisory programs are not designed for excessively traded or inactive accounts and may not be suitable for all investors. Ask your financial advisor for more detailed information, which can be found in the disclosure document that accompanies the program you choose.

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