Batley & Associates

Batley & Associates provides portfolio management and financial planning primarily for individual investors and also works with charitable institutions, foundations, and endowments. The firm generally manages accounts on a discretionary basis and charges percentage-of-assets fees as described in client agreements.

Investment decisions are driven by fundamental analysis with a long-term, buy-and-hold orientation; the brochure notes that more than 60% of assets under management are retirement funds, and most monies are invested in mutual funds with smaller allocations to ETFs, individual stocks, bonds, and CDs. The firm generally does not use margin or options unless directed by a client and asks clients to provide a time horizon, risk tolerance, and tax preferences before making initial investments.

The firm is a small, sole‑proprietor–run advisory practice with a CFP‑designated principal and a two‑person adviser team, and it relies on a Charles Schwab relationship for custody, execution, and access to third‑party research. Distinctive operational features include not preparing its own periodic client reports (clients receive statements directly from custodians) and a stated practice of leaving proxy voting to clients, reflecting a retirement‑focused, mutual‑fund‑centric approach rather than a dedicated high‑net‑worth practice.