Case Study:

 

INVESTMENT MANAGEMENT – BUSINESS OWNER

Mr. Brown was referred to the Wealth Management Division of Broadway several years ago.  At that time, he had investments at two other institutions including a local brokerage firm.  He came to us with the desire to diversify his investments and asked us to manage a modest equity portfolio for him.  For the first few years, we worked closely with Mr. Brown, meeting with him on a periodic basis to review the progress of his investments.  We also gave him feedback and analysis of his outside investments.

Over the course of several years, we advised him to further diversify his assets in order to reduce the overall risk.  We introduced “alternative assets” which had characteristics different from traditional stocks and bonds. These included gold shares, commodity funds and highly-liquid hedge fund mutual funds.  As a result, the overall risk level of his portfolio was lowered considerably. 

As we developed a strong business relationship with him and he relied more and more on our guidance and observations, Mr. Brown began to bring additional funds for us to manage.  Eventually we received several additional family accounts, including personal retirement funds and company funds.  Because we were able to see his entire financial picture, we were able to give more complete guidance to help him achieve his goals.

During the severe markets of late 2008, we increased our contact with him in order to help him navigate through the difficult environment.  During this period, he moved all of the assets from one of the other financial institutions, giving us the bulk of his financial assets to manage. We continue to provide guidance as his needs and objectives change – with a relationship that is built on trust, consistent communication and flexibility to meet his changing needs.

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1177 N. E. Loop 410, San Antonio, Texas 78209