Wealth Management – 5 Steps to Getting Started

Ulin & Co. partners with three of the nation’s leading broker dealers, LPL Financial, Charles Schwab and Fidelity to provide our clients dynamic service in asset custody, trading, research and reporting. Your initial consultation is designed to provide a clear understanding our firm capabilities along with gathering information regarding your personal goals and objectives.

Note: Charles Schwab and Fidelity are separate entities from Ulin & Co., IFP and LPL Financial. 

1.Discover    2.Recommend    3.Implement  4. Manage  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 approach and financial planning services
•Provide information on our team, branch and broker-dealer affiliations. 

2) Recommend your portfolio strategy

At our second meeting, we will present a detailed analysis of your current portfolio and propose 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 Strategic Wealth Management (fee-based) investment platform
•Review brokerage, insurance and alternative  products and strategies where appropriate
•Present your customized portfolio investment strategy including buy-sell decisions. 

3) Implement your recommendations

After careful consideration, you agree upon the best approach to take and we put your personalized plan into action. 

•Complete and sign all new account opening paperwork.
•Execute account transfers and funding.

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

4) Portfolio management and optimization. 

When constructing our cornerstone fee-based portfolio models utilizing no-load, low cost active and passive investments, our goal is to provide a sophisticated top-down investment decision making process with a strategically allocated based approach on the following 5 key factors:

•Economic and Market Research
•Sector Analysis
•Portfolio Construction
•Investment Selection
•Monitoring Entry/ Exit Strategy

Our clients are provided a disciplined investment process with ongoing tracking and rebalancing parameters. We utilize the latest technical analysis software to enhance investment entry and exit decisions, helping you to capitalize on investment opportunities and also staying on top of economic and market changes.

5) Service through regular review meetings 

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

•Ongoing service meetings in person and by phone with your advisor.
•Morningstar and Portfolio Manager performance reports for our meetings.
•Investment newsletters and educational events hosted by Ulin & Co.
•Monthly statements, trade reports and tax reporting documents provided by selected Broker-Dealer. 

The first step is to give us a call to get started! Your initial  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.

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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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?


“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