DBA/Rankin Capital Investment Management

The firm provides personalized investment management and financial consultation to individuals, individual retirement accounts, trusts, estates, family limited partnerships, LLCs and family offices. The brochure indicates it manages roughly $26.9 million in discretionary assets for a small number of clients (approximately a dozen clients across multiple accounts), concentrating on ongoing portfolio management rather than commission-based product sales.

The firm operates on a fully discretionary, fee-only basis, documenting client goals in a client profile and an investment policy statement and monitoring portfolios continuously with at least annual formal reviews. Investment strategies include mutual funds, ETFs, equities, fixed income and alternative investments and draw on fundamental, technical and cyclical analysis, while custodians retain asset custody and performance reports are provided to clients on request.

Noteworthy distinctions include that the sole owner also operates a separate private investment and consulting business that may occupy up to 25% of his time and may participate in private investments or receive finder's fees, an arrangement disclosed in the brochure. The firm also discloses that the owner may purchase the same widely traded securities for personal or family accounts without a formal personal-trading reporting program common at larger firms, and that it does not vote client proxies (clients are expected to vote their own proxies).