CES Investment Strategies

CES Investment Strategies provides advisory services to individuals, high-net-worth individuals, pension and profit‑sharing plans, and business entities, offering ongoing portfolio management, financial planning, and pension consulting for employer-sponsored plans (including 401(k) plans). The firm prepares written Investment Policy Statements and pension consulting plans tailored to client or plan goals, demographics, time horizons and risk tolerances and generally manages client accounts on a discretionary basis.

The firm’s investment process draws on a mix of methods — including fundamental, quantitative, technical analysis and modern portfolio theory — to construct diversified portfolios across mutual funds, ETFs, equities, fixed income and real estate funds. CES Investment Strategies documents client risk tolerance in an IPS, conducts at least monthly reviews, and discloses use of more active tools such as short sales, margin and options; it custodians client assets at Schwab and generally executes trades through that custodian while acknowledging receipt of related research and services.

Compared with many single‑advisor independents, the firm’s provision of pension consulting (manager selection, monitoring, and written plan creation) is a distinguishing feature given its small scale (roughly $22 million in AUM and about two dozen clients). The brochure also discloses standing letters of authorization for transfers from client accounts and a practice of not aggregating block trades, which are operational and custody details that may differ from peer practices.