FAQs

What type of investments do you select for client portfolios?

We generally recommend a wide variety of investments across multiple asset classes in portfolios. Diversification and lower volatility are goals that can be achieved through proper portfolio structure. Client portfolios may include separate account money managers, mutual funds, ETFs, and other types of securities.

How often do you review client portfolios?

Client portfolios are reviewed on a weekly basis with our software for consistency with each client’s investment policy statement. When a portfolio drifts outside the policy guidelines, the advisor will be prompted to review the portfolio and make any necessary changes. Advisors also review portfolios throughout the quarter as necessary through our consolidated reporting system that is updated daily.

How is Column Capital regulated, and have you ever been disciplined for any unlawful or unethical activity?

Column Capital Advisors is an investment advisor registered with the Securities and Exchange Commission. You may obtain a copy of our Form ADV registration by clicking on the link at the bottom of the page. There has never been a disciplinary action against the firm or any of its advisors.

What types of insurance and protection are available for my investment accounts?

Brokerage accounts are protected by the Securities Investor Protection Corporation (SIPC) for securities and cash in the event of broker-dealer failure. This protection does not cover fluctuations in or losses related to the market value of your securities. The SIPC provides up to $500,000 of protection for clients’ accounts held in each separate capacity such as joint tenant or sole owner, with a limit of $250,000 for claims of uninvested cash balances. More information about SIPC coverage is available at www.sipc.org. In addition, most custodians carry an additional amount of insurance protection.

What custodians do you use for client accounts?

While our clients may use any custodian of choice, we recommend Schwab Institutional for most clients. We have worked with Schwab for many years and have been very satisfied with their organization and level of service.

How will you work with my attorney, insurance agent, and other advisors?

We will help you assess your current needs and complement what is being provided by other advisors. We do not draft legal documents or sell insurance products. However, we do provide planning and an objective viewpoint in these areas to help our clients through the complex issues that they face. Our clients appreciate a team approach and feel they can make better decisions when they have consensus among their advisors.

Do you have a minimum fee?

Our firm is committed to providing a high level of service and maintaining a select number of clients. As a result, our client minimum fee is normally $10,000. While there can be exceptions to this minimum, we only accept client relationships where we feel we can provide significant value and be compensated accordingly.

How quickly do you invest client portfolios?

Client portfolios can generally be invested using two different methods: Lump Sum and Dollar Cost Averaging. Investing the portfolio at one specific time reduces transaction costs and is generally recommended for a lump sum. Dollar cost averaging is a technique designed to reduce market risk through the systematic purchase of securities at predetermined intervals and set amounts. Your advisor will evaluate your personal situation and recommend a strategy that meets your needs.

Latest Blog Post

Weekly Market Insights: Markets Upbeat, Despite Gloomy Inflation Talk

September 12, 2022

In a holiday-shortened week of trading, stocks posted healthy gains despite more tough talk on monetary policy from Fed officials.The Dow Jones Industrial Average rose 2.66%, while the Standard & Poor’s 500 gained 3.65%. The...

Weekly Market Insights: Friday Rally Stems Week of Losses

July 18, 2022

A record-high inflation report, the prospects of a more aggressive Fed, and growing recession fears sent stocks lower– though losses were pared by a Friday rally.The Dow Jones Industrial Average slipped 0.16%, while the Standard...

Weekly Market Insights: Markets Start 2021 on a High

January 19, 2021

Shrugging off COVID-19 infections and the disruption at the Capitol on January 6, stocks powered higher to kick off a new year of trading.The Dow Jones Industrial Average gained 1.61%, while the Standard & Poor’s 500...

AdvisoryHQ uses a multi-step selection methodology for identifying, researching, and generating its list of top ranked firms. AdvisoryHQ’s review and ranking articles are always 100% independently researched and objectively written.

Firms do not pay for their ranking. In fact, most firms do not even realize that they are being reviewed and ranked by AdvisoryHQ until after their reviews have been completed and published to the public. Below is a step-by-step overview of AdvisoryHQ’s methodology process.

Step 1: Using publicly available sources, AdvisoryHQ identifies a wide range of firms that are providing services in a designated area (city, state, or local geographic location).

Step 2: AdvisoryHQ’s review team then applies initial methodology filters to narrow down the list of identified firms/products. These filters include company strengths, trustworthiness, transparency, professional reputation, managed asset, ROI/ROA effectiveness, fee structure, what customers/clients are saying about the organization, and many more.

Step 3: After trimming down the initial list, AdvisoryHQ then conducts a deep-dive assessment of the remaining firms. The award criteria takes into account a range of factors, including experience level, level of customization, site quality, resources, features, range of provided services, innovation, value-added, and many more factors, to build up a broad picture of what each firm or product has to offer, before the final selection process occurs.

Step 4: Based on the results of the performed assessment, AdvisoryHQ’s research and selection team then finalizes the list of entities that make it into its top rated publications, which are then published to the general public.

Click here for additional information on AdvisoryHQ’s Selection and Ranking Methodologies.

*Please Note: Limitations: Neither rankings nor recognitions by unaffiliated rating services, publications, media, or other organizations, nor the achievement of any professional designation, certification, degree, or license, membership in any professional organization, or any amount of prior experience or success, should be construed by a client or prospective client as a guarantee that the client will experience a certain level of results if the investment professional or the investment professional’s firm is engaged, or continues to be engaged, to provide investment advisory services. A fee was not paid by either the investment professional or the investment professional’s firm to receive the ranking. The ranking is based upon specific criteria and methodology (see ranking criteria/methodology). No ranking or recognition should be construed as an endorsement by any past or current client of the investment professional or the investment professional’s firm. ANYQUESTIONS: Column’s Chief Compliance Officer remains available to address any questions regarding rankings and/or recognitions, including the criteria used for any reflected ranking.

CLICK HERE TO SEE IMPORTANT DISCLOSURE INFORMATION

SPACE