Broker Check

Strategic Relationships


AssetMark is a business partner that provides us with invaluable due diligence and research about the money managers and strategists that we entrust to manage portfolios for our clients. AssetMark is a publicly traded firm on the NYSE under the ticker AMK. AssetMark supports our relationships with our clients through:

  • Providing the platform for investable assets
  • Offer access to money managers and analysis of indices, peer groups and industry standards
  • Reduced fees due to the combined level of business from our group of financial advisors
  • Provides data aggregation and reporting capabilities
  • Offer a private support services team for a superior client experience

Fidelity Institutional Wealth Services

Fidelity Clearing and Custody provides a comprehensive clearing and custody platform, brokerage services and trading capabilities for our client accounts. Fidelity has $3.0 trillion of assets under administration.

Securities in accounts at National financial Services LLC (NFS), a Fidelity Investments Company, are protected in accordance with the Securities Investor Protection Corporation (“SIPC”) up to $500,000. Excess SIPC coverage is provided by Fidelity for brokerage accounts through Lloyds’s of London, together with other insurers. Total aggregate excess SIPC coverage available NFS’s excess of SIPC policy is $1 billion . There is no per-account dollar limit on coverage of securities, but there is a per-account limit of $1.0 million on coverage of cash.

SIPC and Fidelity’s excess of SIPC policy do not protect against a decline in the market value of securities, nor does either coverage extend to certain securities that are considered ineligible for coverage. For more details on SIPC, or to request a SIPC brochure, visit or call 202-371-8300.

Institutional Firms/Investment Managers

We chose investment firms and managers to execute both the long-term strategy and purpose of your investment, as well as any short-term objectives of your strategy. These firms:

  • Provide intellectual capital execution based on experience, expertise, peer group and benchmark analysis
  • Execute trades based on research, strategy, and analysis of multiple markets
  • Provide asset allocation support
  • Monitor markets, both equities and fixed income, global and domestic
  • Provide commentary
  • Execute our investment objectives
  • Work closely with your financial advisor, and offer private access to you as an investor
  • Are crucial in providing performance and market opportunity based on their valuations, formulas, and trigger mechanisms

Broker Dealer (Grove Point Financial)

As our Broker Dealer, Grove Point Financial, provides us with world-class services including:

  • Overseeing all business operations to assure best practices are followed
  • Processing business transactions
  • Compliance and licensing to assure we meet or exceed industry rules and regulations
  • Monitoring portfolios to assure proper investment suitability
  • Acting as a liaison between financial advisor and regulators such as FINRA and Department of Labor, etc.
  • Practice management support