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Skip Navigation LinksHome > Personal Services > Wealth Management > Investment Advisory Process

Investment Advisory Process

You will find that Signature Securities’ advisory process is anchored in a robust information gathering stage. . During an initial consultation a Signature Securities Financial Advisor works directly with you to gain a comprehensive understanding of your personal and business financial situations, as well as the nuanced interplay between personal wealth and that of your business(es). Your advisor takes into careful consideration your goals, family, business, retirement, gifting strategies and more. The result–a clear picture for you, and your advisor, of a complex relationship.

When the information gathering discussion has been exhausted, a Signature Securities Financial Advisor will then present you with an investment management plan that details portfolio allocation, projected cash flow, assets, expenses and net-worth over time, while accounting for variables such as retirement, planned sale of a business or property, and business succession.

After this thorough assessment of your financial situation, implementation begins. This stage of the investment management process often involves a reallocation of a portion of investible assets as well as the drafting of pertinent documents, such as buy-sell agreements, and other estate planning tools. Implementation, however, does not mark the end of the your dialogue with your advisor. The advisory process continues with regular follow-up and progress evaluation. As a Signature Securities advisory client, you will receive regular reports regarding your investments. Moreover, your Signature Securities Financial Advisor will initiate frequent conversations about the changing needs of your personal and business interests.



Signature Securities Group is a registered broker-dealer, member FINRA and SIPC and a non-bank subsidiary of Signature Bank. Signature Securities Group is not a tax adviser. We suggest you consult your personal tax adviser before making tax-related investment decisions.

Past performance is not indicative of future results. Please obtain from your Financial Advisor, the prospectus(es) or other offering documents as applicable for the fee-based account program and read carefully before investing.

Asset allocation cannot eliminate the risk of fluctuating prices and uncertain returns.

For more complete information about any of the mutual funds available through the Mutual Fund Advisory, including investment objectives, investment risks, and all charges and expenses, contact a Financial Advisor for a free prospectus. The prospectus contains this and other important information that you should consider. Please read the prospectus, schedule H, the wrap brochure, form ADV and the investment advisory agreement carefully before you invest or send money. Investment return and principal value will vary so you may have a gain or loss when you sell shares.

It is important that you carefully read the agreements and disclosures that we provide to you about the products or services we offer. While we strive to ensure the nature of our services is clear in the materials we publish, if at any time you seek clarification on the nature of your accounts or the services you receive, please speak with your Financial Advisor.


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No information on this web site should be considered a recommendation or solicitation to invest in a particular security or type of security.

Signature Securities Group Corporation ("SSG") is a registered broker dealer, registered investment adviser, and licensed insurance agency. SSG, Member FINRA/SIPC, is a wholly owned non-bank subsidiary of Signature Bank.

Securities, Insurance and Monogram Money Market Funds Program products are:
• NOT FDIC INSURED • NOT BANK GUARANTEED • MAY LOSE VALUE

Signature Bank and SSG comply with Section 326 of the USA PATRIOT Act. This law mandates that we verify certain information about you while processing your account application.

Signature Bank, Member FDIC, is an Equal Housing Lender 



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