Concert Investment Operations

Investment Operations for Financial Professionals

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Investment operations services

My background as a mutual fund and ETF wholesaler, combined with my dedication to increasing my expertise through programs such as the CFA®, CFP®, CIMA® (expired), and CAIA® (expired) has given me a certain skillset with investment-related operational tasks that other financial planners may find valuable - I can give you some of your time back.

I am available on an hourly basis, at a rate of $200 per hour, to assist financial planners with the administrative/clerical work involved in portfolio analysis and design. I will use publicly available and/or subscription-based software tools such as BlackRock Advisor Center, Vanguard Financial Advisor Services, Morningstar, and others in order to run the analysis and comparison tasks that take up your team’s time. For advisors using TD Ameritrade Institutional as your custodian, I can provide tutorials on setting up iRebal for a more automated investment management process.

Sample projects may include:

  • Fund/Portfolio Comparisons

  • Fund/Portfolio Analysis

  • Fund/Fund Family Research

  • Software Tutorials

  • Investment Strategy Consultation

  • Investment Strategy Analysis

  • Portfolio/Model Review, Cleanup, and Organization

  • Other Ad-Hoc Requests

Please note that I do not take on projects that would constitute “Advisory Services”, which in turn would require me to register as an IAR with your firm. Please check with your CCO or compliance consultant, if applicable.

Process

  • Call - Set a time using the button at the top-right of the screen to discuss whether I can help.

  • Engage - We sign the Investment Operations Services Agreement and set up billing through AdvicePay.

  • Organize - I will send you a questionnaire to synthesize the project details and to obtain relevant documents.

  • Process - I will use the appropriate tools relevant to the specific task(s) to complete the project.

  • Deliver - I will organize and deliver the output, which may include Excel files, PDF’s, and/or video tutorials.

so we are on the same page…

This service is designed to be “operational” in terms of functionality. My role is to be reactive to your requests and direction for investment analysis and portfolio construction, and other investment-related operational tasks. I do not provide “advisory services” to you or your clients.

The goal of this service is to provide other financial planners with an organized set of deliverables to more efficiently provide investment advice to their clients. Just like you cannot create a financial plan without clear input and goals from your clients, I cannot fulfill my tasks without clear input and desired output goals from you. I am happy to explain my own investment strategy philosophy in the course of our discussions, but your goals for your clients will dictate the outcome for your clients!

interested in outsourcing this stuff?

Please use the Schedule a Call button at the top-right of the page to set a time to discuss your needs!