Overview
We are dedicated to providing individuals and other types of clients with a wide array of
investment advisory services. Our firm is a limited liability company formed in the State of New
York and has been in business as an investment adviser since 2009. The firm is one hundred
percent owned by Eric Brodwin, Managing Member, Chief Compliance Officer, and Chief
Investment Officer.
Description of the Types of Advisory Services We Offer
Asset Management:
We emphasize continuous and regular account supervision. As part of our asset management service,
we generally create a portfolio, consisting of individual stocks or bonds, exchange traded funds (“ETFs”),
options, mutual funds and other public and private securities or investments. The client’s individual
investment strategy is tailored to their specific needs and may include some or all of the previously
mentioned securities. Each portfolio will be initially designed to meet a particular investment goal,
which we determine to be suitable to the client’s circumstances. Once the appropriate portfolio has been
determined, we review the portfolio at least quarterly and if necessary, rebalance the portfolio based
upon the client’s individual needs, stated goals and objectives.
Retirement Plan Consulting:
Our firm provides retirement plan consulting services to employer plan sponsors on an ongoing basis.
Generally, such consulting services consist of assisting employer plan sponsors in establishing,
monitoring and reviewing their company's participant-directed retirement plan. As the needs of the plan
sponsor dictate, areas of advising may include:
• Establishing an Investment Policy Statement – Our firm will assist in the development of a
statement that summarizes the investment goals and objectives along with the broad strategies to
be employed to meet the objectives.
• Investment Options – Our firm will work with the Plan Sponsor to evaluate existing investment
options and make recommendations for appropriate changes.
• Asset Allocation and Portfolio Construction – Our firm will develop strategic asset allocation
models to aid
Participants in developing strategies to meet their investment objectives, time
horizon, financial situation and tolerance for risk.
• Investment Monitoring – Our firm will monitor the performance of the investments and notify the
client in the event of over/underperformance and in times of market volatility.
• Participant Education – Our firm will provide opportunities to educate plan participants about
their retirement plan offerings, different investment options, and general guidance on allocation
strategies.
In providing services for retirement plan consulting, our firm does not provide any advisory services
with respect to the following types of assets: employer securities, real estate (excluding real estate funds
and publicly traded REITS), participant loans, non-publicly traded securities or assets, other illiquid
investments, or brokerage window programs (collectively, “Excluded Assets”). All retirement plan
consulting services shall be in compliance with the applicable state laws regulating retirement
consulting services. This applies to client accounts that are retirement or other employee benefit plans
(“Plan”) governed by the Employee Retirement Income Security Act of 1974, as amended (“ERISA”). If
the client accounts are part of a Plan, and our firm accepts appointment to provide services to such
accounts, our firm acknowledges its fiduciary standard within the meaning of Section 3(21) or 3(38) of
ERISA as designated by the Retirement Plan Consulting Agreement with respect to the provision of
services described therein.
Tailoring of Advisory Services
We offer individualized investment advice to all Investment Advisory clients. We usually do not allow
clients to impose restrictions on investing in certain securities or types of securities due to the level
of difficulty this would entail in managing their account. In the rare instance that we would allow
restrictions, it would be limited to the Asset Management Service.
Participation in Wrap Fee Programs
We do not participate in any wrap fee programs.
Regulatory Assets Under Management
We manage $295,989,793 as of December 31, 2023, all of which are on a discretionary basis.