CV Securities Analysis, LLC

The firm provides ongoing portfolio management to individual and high‑net‑worth clients, creating an Investment Policy Statement to document each client’s goals, income, tax considerations and risk tolerance. Its advisory services cover asset allocation, asset selection and regular portfolio monitoring across mutual funds, ETFs, equities, fixed income, real estate funds, annuities, commodities, options and non‑U.S. securities.

Investment selection is informed by modern portfolio theory and quantitative analysis, with a focus on long‑term positions and the use of options strategies (including covered and uncovered positions) when appropriate. The firm seeks discretionary authority to implement its strategies, documents risk tolerances in each client’s IPS, and explicitly addresses the specific risks of options, commodities, real estate funds and non‑U.S. securities.

Compared with peers, the firm operates with a very small client base and manages a modest pool of assets while including non‑U.S. securities in its investable universe and reporting a notable non‑U.S. client presence, which is uncommon for firms of this type. Its brochure also discloses that custodial execution is limited to a specific broker, that the principal conducts unrelated tutoring and exam‑content work, and that the firm resolved a 2021 civil penalty related to late state registration.