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Professional Client Advisory

Professional Client Advisory

Choosing Your Status

Some clients are deemed ‘per se’ professional, usually because they are ‘entities’ rather than individuals. But some individuals meet the regulators’ tests and choose professional status, so called Elective Professionals.

Developing Processes

Requesting Professional Treatment

We have developed a process to assess clients who request professional treatment. Such clients give up certain protections afforded to our Retail clients and we write to them to confirm that they are aware of this. Generally, clients who request professional status for investment prefer to retain retail status for Wealth Planning.

Our Elective Professional advisory clients enjoy all the flexibility of our advisory clients but in addition can access investment solutions that would be considered too arcane for Retail investors.

Professional Client Advisory

Investing In High Conviction Funds

Many like to invest in our High Conviction Funds - highly specialised boutique managers running concentrated portfolios that reflect their approach, unconstrained by any benchmark. These managers will generally be too small - or simply too idiosyncratic - to be attractive to mainstream wealth managers. That’s fine with us.

We like to combine them in a way that benefits from diversification by process, or what quants would call ‘factors’. They have shown a tendency to lag rising markets a little and beat falling markets by quite a bit more. That’s also fine by us.

Building Relationships With Clients That Last A Lifetime

Building Relationships With Clients That Last A Lifetime

The client, is retired after a long and successful career in the City. That said, he’s probably as busy now as he was when he was in full time...

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