Faulkner Investment Services

Investment Experience. FIS combines client-focused service with Nobel Prize winning state-of-the-art Modern Portfolio Theory, risk management, and diversification. We’ll take care of your investments so you can focus on living your life.

Focus on YOU. We truly care about helping make your dreams a reality. We take the time to understand you and your needs. Then we bring a wealth of investment expertise and years of experience to bear on your investment goals. We intend to be retained for life and to that end we work hard to earn our clients’ confidence and trust.

Service. Our small size and friendly character stand in sharp contrast to much of Wall Street and the financial services industry. We really enjoy working with our clients. When you call FIS you will not be shuffled from one person to the next. You will work with one manager who takes the time to know and understand your unique circumstances on an ongoing basis. Our unwavering commitment to client service sets us apart in a crowded field.

Independence. We are 100% independent from all investment and insurance products and distributors. We do not sell investment products. We do not accept any sales commissions. You will never be pressured to buy any particular investment or insurance product. This ensures that you receive unbiased investment advice from us.

Fiduciary relationship. As a fiduciary, we are required by law to put your best interests before ours. Registered representatives of broker/dealers (e.g., stockbrokers) are not required to be a fiduciary to a client. Since we are a fiduciary, you get advice that is untainted by compensation conflicts-of-interest. Our compensation is 100% fee-only all the time, under all circumstances.

Achieve your goals. We help you realize your goals for today, plan for your dreams of tomorrow, and leave a meaningful, lasting legacy to future generations. We provide a written investment plan to get the job done. We track, report, and update your progress toward your goals so you know you are staying on target.

Transparency and safety. FIS will never take title of your assets. Your assets will be held in your name at Charles Schwab & Co., Inc. You will have access to your portfolio at all times. You will receive monthly statements from Schwab, and quarterly performance reviews from FIS.

Eliminate unnecessary risks. Our portfolio management process helps us eliminate unnecessary volatility in your investment portfolio. Our investment planning process helps you reduce the risk of missing your personal financial goals.

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