CastleKeep offers a variety of services to fit your needs. Regardless of which service you decide is appropriate for you, we start with an initial evaluation of your investment holdings. These may include US Dollar and foreign currency holdings, bank deposits, money market instruments, fixed income instruments, equities, mutual funds, alternative investments, hedge funds, commodities, and real estate.

Once we have gained a thorough understanding of your total financial picture, we will evaluate your risk tolerance, tax situation, investment time horizon as well as your liquidity and estate planning needs. As appropriate, we work closely with your legal, accounting, and other trusted advisors to fully understand your overall situation. We then make recommendations on the overall asset allocation and finally agree with you on guidelines and parameters within which we will oversee or manage your assets. CastleKeep works closely with you to evaluate your current investment advisor(s) and investments with them to help you understand how you might work best with us to optimize your investment returns within your risk parameters.

CastleKeep Investment Advisors offers (1) Discretionary Asset Management, whereby you give discretionary management authority to CastleKeep; (2) Advisory Asset Management, whereby you ask for investment recommendations from CastleKeep, but give CastleKeep specific investment instructions which it then executes for you; and, (3) Money Manager Selection and Monitoring, whereby you request CastleKeep to help you select a money manager and/or to monitor performance and allocation and risk guidelines of your account with the money manager(s).

Where appropriate, we may also recommend the use of trading accounts, short sales, margin transactions, options or recommend private placements or hedge funds. These investment strategies may carry certain additional degrees of risk and we will only recommend them if they are consistent with your stated risk tolerance. They are offered within the framework of Discretionary or Advisory Investment Management Services.

Discretionary Investment Management Services

Discretionary Portfolio Management services are desirable to clients who for various reasons do not wish to participate in the day-to-day decision making of an actively managed account.

Once we complete the initial analysis of your investments and your risk and return parameters, we jointly establish investment guidelines that govern the discretionary management of your investments by CastleKeep. These are contained in the Investment Management Agreement. Performance is calculated and statements issued monthly. We review performance and guidelines with you at least yearly, but more often if warranted by changes in your situation or in the markets. On-line account accessibility is available on request.

 Advisory Investment Management Services

As in Discretionary Investment Management, we perform our initial review of investments and your risk and reward parameters and then discuss various investment strategies with you. When investment opportunities present themselves, we bring them to your attention. However, the ultimate decision rests with you. This ensures that you maintain control over all the activities in your account at all times. On-line accessibility is available on request.

 Money Manager Search and Monitoring

If CastleKeep’s investment management services are not appropriate for all or part of your investments and you request our doing so, we may perform a search for suitable money managers on your behalf. In our endeavor to identify a provider who meets your expectations, we consider the size of your account, your risk tolerance, your investment philosophy and the specialty of the money manager.

If so engaged, CastleKeep can monitor the performance of and ensure that its investments are made within established guidelines given to your money manager as well compare your account performance against certain industry benchmarks. In order to do so, we ask that you authorize your financial services provider to furnish CastleKeep with copies of your monthly or quarterly account statements. CastleKeep can consolidate these accounts and provide you with one consistent and concise picture of your investments.

Combination of Investment Management Services

If you prefer to maintain multiple managers for your investments, CastleKeep can provide a particularly useful function, in that it can help you rationalize and make your financial management of those investments more efficient. By providing consolidated statements and an ongoing, objective and independent evaluation of your financial holdings, CastleKeep can ensure that investment results meet your objectives. Our services are as unique as your and your financial situation.

Other Services

CastleKeep takes pride in the level of attention we are able to offer our clients, and we believe that our individualized service distinguishes us from many other financial services providers.

Upon request we are pleased to arrange for “family office” services tailored to your special needs. Such services, performed by independent professionals or within the Group, depending on the required expertise, include Estate Planning, Corporate Finance and M&A advisory services, residential and investment real estate management, accounting and tax preparation and personal office management.

We also arrange concierge services including personal assistance for travel and lodging arrangements, if desired.

All non-investment related services are provided by CastleKeep Advisors.

 SEC Disclosure Form

For more information on CastleKeep Investment Advisors, please click:
Uniform Application for Investment Adviser Registration (Form ADV Form Part II).
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