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Portfolio Management

Why do investors choose Rockingstone Advisors to manage their wealth?

  • Aligned Interests.  We are 100% fee-based, not commission based.
  • Comprehensive. Finding under-valued assets is difficult.  We don't believe it should be made harder by limiting the potential investable universe.  We are global and multi-asset, not sector or style-specific.
  • No Divide Between Relationship and Analysis.  Wall Street has re-structured asset management into those who manage relationships and those who analyze investments.  We do not.
  • A Higher Standard.  Investment advisors have a "fidcuiary" duty always to act in the best interest of our clients, not just ensure "suitability" as it is for brokers.

Our Wealth Management philosophy starts with a thorough understanding of the unique needs of each client.  Some may be preserving capital, while others are focused on growing capital to achieve specific goals.  Some have exceptionally complex investments with multiple managers, others have just one account. What each client does share is a thoughtful assessment of how we can achieve his or her financial goals through prudent investing and risk management.

Typically, the first step is to create an asset allocation strategy that encorporates a client's financial objectives adjusted for risk.

Once an appropriate asset mix is established, we select the appropriate fixed income and equity investments through research-- both proprietary and Street-- with an eye to high quality securities that are mispriced in the market. While we have a long-term view, we will also manage to the near-term to attempt to limit volatility and risk. Next, we layer alternative investments into the asset mix principally using ETFs, but we will utilize alliances in illiquid areas such as real estate and private equity in an effort to lower overall volatility and to expand duration.

It is critical-- just as we would insist that our assets are held in custodial accounts-- that client assets are too. We have selected Charles Schwab & Co., Inc. as our third-party clearing and custodial agent to house client assets.