We are portfolio management specialists.

Our team provides portfolio management expertise and support to financial advisors.  We offer multiple strategies at different risk levels. All our portfolios are globally diversified and built for long-term investors.

In managing portfolios, our key services include:

  • Determination of asset allocation strategies
  • Identification of appropriate investment vehicles
  • Monitoring of current positions and capital markets
  • Tax-sensitive portfolio management
  • Implementation of rebalancing strategies
  • Access to low-cost share classes
  • Review and analysis of prospective client accounts
  • Account transition review and support

We communicate clearly and concisely about our investment decisions using the following tools:

  • White papers and reports
  • Videos
  • Conference calls
  • One-on-one discussions


Client Service and Operations

Our role is to reduce administrative burdens so financial advisors can spend more time focused on their clients.

As partners to financial advisors, here are some of the services we offer:

  • Paperless account opening
  • Trading
  • Billing
  • Transfers in-kind
  • Holding of legacy assets
  • Reoccurring distributions
  • Performance reporting
  • Advisor and client online account access
  • Advisor branding

We are experienced problem solvers. Give us a call or send us an email to see how we can help.

Customized Solutions

We consider custom engagements on a case-by-case basis.

Examples include:

  • Custom portfolio design and implementation
  • Sub-advisory services
  • Transition assistance
  • Research support

We are always available to discuss how we might be able to help.

401(k) Resource

The 401(k) Resource program provides advisors with elegant and flexible ways to serve their retirement plan clients.  Our solutions help plan sponsors fulfill their fiduciary responsibilities, while providing for the investment needs of plan participants.

We will serve as an independent investment manager under ERISA Section 3(38) and take on fiduciary responsibility for the management of plan assets.

In that role, we can provide plan sponsors with a range of investment options, including:

  • A diversified selection of mutual funds for plan participants
  • Pre-screened target date funds covering a range of retirement dates
  • A series of globally diversified portfolios managed to a variety of objectives

As a fiduciary, we perform ongoing due diligence and monitoring of all recommended investment options.  We modify our managed portfolios over time as conditions change.

We offer our services directly to financial advisors and their plan sponsor clients, as well as through our partner platform  Fiduciary Shield.

Fiduciary Shield is a retirement plan marketplace that allows financial advisors to solicit bids quickly and easily for record keeping and TPA services from dozens of providers.

Fiduciary Shield will also monitor plans on an ongoing basis to help ensure that each plan’s record keeper and TPA continue to be appropriate for plan participants.

To learn more, click on the Fiduciary Shield logo below, or contact First Ascent.