919-678-0007 Contact us Home The FDG Difference For Individuals For Employers Resources Client Access INVESTMENT ADVISORY PROCESS Investment Advisory and Financial Planning Services are offered through First Allied Securities, a Registered Investment Advisory firm. Once a financial plan has been established, we work to implement an investment strategy specific to your needs. We use a detailed Investment Selection and Process approach which is customized for you. How We Customize Your Portfolio Tailored portfolio and risk management Manager selection based due diligence Asset allocation, which may reflect outside assets Tax considerations Goals-based investment solutions Based on our analysis, we will recommend a portfolio, giving consideration to the tax makeup of the investments…in an after tax account or in a pre tax account or in a Roth. Portfolios are a sophisticated combination of ETFs, Mutual Funds, Separately Managed Accounts in one account based on the tax profile of the account. As investment advisor representatives of First Allied Securities, we stay current on industry trends and consider changes affecting client holdings, such as portfolio management changes, style drift, shifts in sector concentration, and other important variables. We speak regularly with the portfolio managers and management of investment companies where our clients’ assets are invested. We take this oversight role seriously and we ask the tough questions. We oversee each investment portfolio and recommend modifications as needed, taking into account your changing personal and financial circumstances and our analysis of the investments in the portfolio. As you move from accumulation to distribution, we model the best approach to take including social security, required minimum distributions, periodic withdrawals, annuity or pension distributions. Fees We act as fiduciaries and the investments would be charged a fee based on the assets under management. The fee covers ongoing financial planning and investment advisory services. This structure aligns our incentives with yours. As a financial planning and investment advisory client of First Allied Securities, we value our relationship with you. We work to keep you informed about your investments and other investment related topics through various communication channels. There are no guarantees in any investment or strategy. Contact Office: 919-678-0007 Toll-Free: 919-678-8423 Fax: 919-675-1981 5001 Weston Parkway Suite 200 Cary, NC 27513 Send an Email Quick Links Retirement Investment Estate Insurance Tax Money Lifestyle All Articles All Videos All Calculators All Presentations Check the background of your financial professional on FINRA's BrokerCheck. The content is developed from sources believed to be providing accurate information. The information in this material is not intended as tax or legal advice. Please consult legal or tax professionals for specific information regarding your individual situation. Some of this material was developed and produced by FMG Suite to provide information on a topic that may be of interest. FMG Suite is not affiliated with the named representative, broker - dealer, state - or SEC - registered investment advisory firm. The opinions expressed and material provided are for general information, and should not be considered a solicitation for the purchase or sale of any security. We take protecting your data and privacy very seriously. As of January 1, 2020 the California Consumer Privacy Act (CCPA) suggests the following link as an extra measure to safeguard your data: Do not sell my personal information. Copyright 2021 FMG Suite. Securities offered through First Allied Securities, Inc. A Registered Broker/Dealer. Member FINRA & SIPC. Advisory Services offered through First Allied Advisory Services, A Registered Investment Adviser. First Allied entities are under separate ownership from any other named entity. This site is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security which may be referenced herein. We suggest that you consult with your financial or tax advisor with regard to your individual situation. This site has been published in the United States for residents of the United States. Persons mentioned in this site may only transact business in states in which they have been properly registered or are exempt from registration. Important Disclosures | Business Continuity Important COVID-19 NY EXECUTIVE ORDER Individuals affiliated with this broker/dealer firm are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services.