RJ Aubrey Investments Corp.

RJ Aubrey Investments Corp. is a small, fee-only registered investment adviser that provides discretionary investment management and limited financial planning to individuals, trusts, estates, charitable organizations, corporations and pension and profit-sharing plans. The firm typically establishes relationships through a client investment policy statement and ongoing management agreement rather than delivering comprehensive written financial plans.

The adviser emphasizes asset allocation and long-term investing, seeking to moderate downside risk while using quantitative, fundamental and technical analysis for security selection; mutual funds, ETFs and fixed income are used to manage portfolio volatility. Accounts are generally managed on a discretionary basis with regular monitoring and at least quarterly reviews, and clients receive custodial statements and trade confirmations from a major institutional custodian.

Notable distinctions for a firm of this type include accepting pension and profit-sharing plan engagements and managing portfolios for both high-net-worth and non-high-net-worth individuals—client types that are uncommon among peers—while employing percentage-of-assets fees within a fee-only model. The firm does not advise or operate private funds or charge performance-based fees, and it discloses a potential conflict of interest because the firm’s principal operates a separate marketing business that receives compensation from represented companies.