Investment Management

The firm acts as a promoter and referral source for a third‑party, registered money manager, introducing prospective investors that include individuals, endowments, businesses, and nonprofit/charitable organizations. It provides due‑diligence, information sharing, and introductory services rather than custodying assets or providing ongoing portfolio management.

In day‑to‑day practice the firm screens prospects for suitability under the referred manager’s eligibility criteria, furnishes Form ADV materials and a Promoter Disclosure, and facilitates initial contact and documentation; all specific investment advice and account management are provided by the third‑party manager. The firm limits the personal information it retains for referrals to basic contact details and does not create individualized investment plans or manage client accounts directly.

What is distinctive relative to many independent advisers is the firm’s explicit focus on making referrals (rather than offering direct portfolio management) and its stated work with charitable organizations and other institutional‑type clients, which is less common among peers. The firm is compensated by the asset manager for referrals and discloses that arrangement and related conflicts in writing to prospective investors before any advisory agreement is signed.