Groundwork Wealth Management, LLC

Groundwork Wealth Management, LLC serves individual and high-net-worth clients with comprehensive portfolio management and financial planning, and also offers educational seminars on topics such as retirement, estate planning, and market overviews. Its advisory services encompass a broad range of securities, including stocks, bonds, mutual funds, ETFs, options and certain private investments, and clients may place reasonable restrictions on holdings.

The firm combines fundamental, technical and cyclical analysis and employs long-term, short-term and trading strategies as appropriate to client objectives and risk tolerance. Portfolios are reviewed at least quarterly and the firm may manage accounts on a discretionary basis when authorized by the client.

Groundwork is notable among solo independent advisers for several uncommon features disclosed in its brochure: it has a regulatory disclosure event involving a consent order and an administrative assessment related to procedures for inverse and leveraged ETFs, it maintains legacy wrap-fee program clients being transitioned into its advisory service, and it incorporates derivatives (including options and inverse/leveraged ETF exposures) in client accounts while also offering seminar-based client education. These elements distinguish its practice model from many peers that do not sponsor wrap programs, rarely use derivatives, or provide paid educational workshops.