What you see before you request an introduction.

Practice snapshot

Firm type

Independent, fee-only RIA

Firm size

Boutique — 6 advisors, 4 support staff

Years in practice

18 (lead advisor)

Primary metro

North Dallas / Plano corridor

Proximity to you

Approximately 12 miles

Meeting model

In-person or virtual — your preference

Credentials & background

Designations

CFP®, CFA

Education

MBA, finance concentration

Regulatory history

Clean — no disclosures on record

Prior experience

12 years at a major wirehouse before founding current practice

Fiduciary standard

Yes — 100% of the time, in writing

Who this advisor serves

Household count

Approximately 85 client families

Typical client

Pre-retirees and executives with $2M – $15M in investable assets

Specialty focus

Equity compensation, concentrated stock strategies, pre-liquidity tax planning

Also experienced with

Multi-generational estate coordination, business owner exits, physician households

Minimum relationship

$1M investable (flexible for the right fit)

Investment philosophy

Portfolio approach

Evidence-based core using low-cost index and factor funds. Selective active exposure only where cost and process are defensible. No proprietary product.

On concentrated stock

Structured diversification programs (10b5-1 plans, exchange funds, charitable strategies) coordinated with tax and estate work — not one-size-fits-all liquidation.

On alternatives

Used sparingly and only for suitable households — private real estate, direct indexing, structured notes reviewed case by case.

Behavioral stance

Written investment policy statement for every household; rebalancing rules set in advance to remove emotion.

Service model

Relationship structure

Dedicated lead advisor with a named associate advisor and a client service lead — no rotating call center.

Planning scope

Integrated financial planning: cash flow, tax, equity comp, retirement, insurance review, estate coordination with your attorney.

Review cadence

Two formal planning meetings per year, quarterly portfolio updates, unlimited ad-hoc access

Response time

Same-day for calls and emails during business hours

Technology

Secure client portal, aggregated net worth reporting, encrypted document vault

Fees

Compensation model

Fee-only. No commissions, no product sales, no revenue sharing, no referral compensation.

Fee schedule

Tiered AUM: 1.00% on first $2M, 0.75% on next $3M, 0.50% on next $5M, 0.35% thereafter. Financial planning included.

Planning-only option

Flat retainer available for households who don't want AUM management

Custodian

Independent third-party custodian — assets held in your name

Why we're routing this advisor to you

Written by the Be Aligned matching team based on your completed profile.

Fit rationale

You have concentrated employer stock and a vesting event on the horizon — this advisor's core specialty. They serve households in your net worth band as their primary client segment, not an afterthought. Fee-only, planning-led model matches your stated service preferences.

What to probe on the first call

Ask how they'd structure diversification around your vesting cliff, and how they coordinate with an outside estate attorney. Both are strengths on paper — worth confirming in conversation.