Portfolio Management Services
Sam Gott provides portfolio management services on both a discretionary and non-discretionary basis. Discretionary accounts will have security transactions placed on their behalf when deemed necessary and prudent by Sam Gott without obtaining specific client consent. Transactions so placed will be based upon individual client circumstances and need. No investment discretion means that Sam Gott will make a recommendation to a client and will not take action without obtaining (and documenting) specific client consent.
To determine the individual needs, each client will be required to complete a Confidential Investor Profile containing a variety of personal and financial information. Requested information includes investment goals, income requirements, time horizons, and risk tolerances, among others. Through an analysis of this data, Sam Gott develops an asset allocation recommendation for the client. Sam Gott will refine the asset allocations as situations warrant based on market conditions or changes to the client’s personal or family obligations.
Sam Gott will then recommend, on behalf of each client, a number of mutual funds ( no-load or funds offered at NAV), stocks or bonds that have been determined through proprietary computer research and fundamental analysis to be the appropriate risk adjusted choices for the client’s portfolio. Sam Gott will then continuously monitor each client’s portfolio and, when deemed appropriate, will either make changes or recommend changes in both asset class allocations as well as specific security selections.
Clients will have the opportunity to place reasonable restrictions on the management of their portfolio, such as limiting individual securities, asset allocation weighting, industries, etc..
All clients will be required to enter into an advisory agreement with Sam Gott to receive these services. Portfolio management services will be billed quarterly, in advance, of the services provided. For accounts that are opened or closed during a calendar quarter, the fee due and payable will be pro-rated for the period.
Typically, Sam Gott will receive an advisory fee on a directly debited basis, that is the client will authorize fees directly debited from the account through our advisory contract with the client. In turn, the client will authorize the custodian of the client assets to pay the fee.
In addition, Sam Gott will send a quarterly invoice / statement which shows the amount of assets on which the fee is based, the percentage fee, the calculation of the fee and the amount of the fee due for the period. Each client will receive a statement from their custodian showing all debits and credits to the account, including the fees payable to Sam Gott, among other items.
If a client’s account does not have sufficient cash or cash equivalents to pay Sam Gott’s fees, clients who have given Sam Gott investment discretion will have an appropriate amount of assets liquidated to pay the fee. Clients who have not provided Sam Gott with investment discretion will need to approve the transaction to raise the appropriate amount of cash to cover fees.
Sam Gott, Registered Investment Advisor
4 Dominion Drive
Building 3, Suite 250
San Antonio, Texas 78257
Ph. 210-849-7772
Fax 210-881-6832
sam@sgria.com **
www.sgria.com
** We do not buy or sell securities by email; purchasing or selling of securities must be done by telephone, with verification, or in person.
Securities offered through Dominion Investor Services, Inc. Member FINRA/SIPC
Certified Financial Planner Board of Standards, Inc. owns the certification marks CFP(R), CERTIFIED FINANCIAL PLANNER(tm) and federally registered CFP (with flame logo) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
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