Your Guide to Getting Started

Ulin & Co. is a boutique independent SEC -Registered Investment Advisor (RIA) and branch office of LPL Financial, headquartered in Boca Raton, Florida. Our branch, along with most RIA’s, is positioned to provide you with an objective approach and a consultative (not product) driven process. Our firm believes that independence is key to offering you objective investment advice.

Your initial meeting is designed to provide a clear understanding of how our firm capabilities along with the resources of LPL Financial can benefit you.

Most importantly, this meeting is designed to get to know you, your family, your problems, worries, needs and desires. Our conversation with you begins with this understanding. We will explore your present financial situation, clarify your concerns and define what you hope to accomplish through a relationship with our firm.

As your investment partner and financial advocate, we are committed to helping you address your unique financial goals while providing exceptional service. After developing a thorough dialog, we will work together to create a customized investment program designed for you.

We encourage you to ask any and all questions about our branch, team, licensing, affiliations, expertise, technology, products, fees and our investment philosophy.

Once we get started, your investment account custodian will be LPL Financial. Ulin & Co. will be designated as your Registered Investment Advisor and dedicated account representative. Ulin & Co. does not take custody of client assets. We simply advise on your accounts, place trades and request changes on your behalf.

runner progress

“The underlying principals of sound investing should not alter from decade to decade, but the application of these principals must be adapted to changes in the financial mechanisms and climate.” – Ben Graham 

Five Step Process to Working with Us:

1.Discovery    2.Recommend    3.Strategy    4.Implementation   5.Service

1) Discover your goals

For your first consultation, we will complete a confidential personal profile which will allow us to explore your current financial situation and goals.  We will discuss your unique values and feelings about money, collect and analyze your statements and note existing financial relationships.

  • Assess your investment, retirement, insurance, tax and estate planning status.
  • Understand your investment experience and expectations.
  • Review your current portfolio statements.
  • Identify your risk tolerance and investment objectives.
  • Discuss our wealth management services and holistic approach to financial planning.

2) Recommend your portfolio strategy

At our second meeting, we will present a detailed analysis of your current portfolio & propose customized recommendations.

  • Provide a performance, cost and risk analysis of your current portfolio.
  • Outline our Strategic Wealth Management (fee-based) investment platform.
  • Review brokerage, insurance and alternative investment strategies where appropriate.
  • Present your customized investment strategy including buy-sell decisions. 

3) Develop your strategy

At our second meeting, we will present a detailed analysis of your current portfolio and propose asset allocation and investment recommendations.  In many instances we may be able to hold and or manage some of your current products and investments as part of our comprehensive strategy. 

  • Provide an analysis of your current portfolio holdings, performance, risk, fees and expenses.
  • Outline our fee-based investment platform and other investment products you may consider.
  • Present your customized investment strategy including buy-sell decisions.

4) Implement your recommendations

After careful consideration, you agree upon the best approach to take and we put your personalized plan into action. It typically takes about 7-10 business days after opening your new accounts atL PL Financial to transfer over your existing business.

  • Complete and sign all new LPL Financial account opening paperwork.
  • Execute account transfers and funding.
  • Provide 24/7 LPL Financial Account View Access

5) Track your progress through regular review meetings 

Our focus is to provide you ongoing “concierge” level services, tools and resources composed of the following program elements.

  • Ongoing review meetings in person and by phone with your advisor.
  • Continual Portfolio management, rebalancing and optimization.
  • Morningstar and Portfolio Manager consolidated performance reports.
  • Investment newsletters and educational events hosted by Ulin & Co.
  • Monthly statements and trade reports provided from LPL Financial.
  • Year end statements and tax reporting documents from LPL Financial.

 By working with us to develop a consistent strategy tailored to your goals, you can be confident that your investment plan will be designed and managed to help achieve, maintain and protect your life goals, retirement and estate.

Call us today at (561) 210-7887 if you have any additional questions or if you would like to set up a complementary consultation and free portfolio risk-analysis.

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Take charge of your financial future!

Contact us today

Learn About LPL Financial:

Wealth & Wisdom, WXEL TV: – Jon Ulin, CFP®

Read More:

        About Us

Strategic Wealth Management

Our Investment Philosophy

Our Investment Management Process

Key Investment Concepts

The smartest investment you can make today is in your own financial health and sustainability–make the investment towards your next financial future with Ulin & Co. Wealth Management.

How may we help you reach your goals?

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Ulin & Co: Modern Investing, Traditional Approach 

-National Independent Broker-Dealer Access? YES! √
-SEC Registered Investment Advisor Firm? YES! √
-Recognized CFP® professional? YES! √
-Fee-Based Portfolio Management? YES! √
-Retirement Income Planning? YES! √
-Diligent Research? YES! √
-Concierge Service? YES! √
-Fiduciary Focus? YES! √
-Clear Reporting? YES! √
-Genuine Approach? Absolutely!!