Why do investors choose Rockingstone Advisors to manage their wealth?

• We address a significant gap in portfolio management strategies, and attempt to benefit from innovation in financial services and a re-assessment of traditional passive “buy and hold” strategies.

• Our Managing Partner has broad-based experience analyzing complex securities across multiple asset classes in a variety of market conditions.

• Our firm possesses extensive industry and Street contacts, has access to thought-leading research, and maintains strategic relationships with complementary and highly-talented investment firms.

• We use Charles Schwab Institutional to provide independent verification of client assets and statements; technology provides solid execution and web-based account data.

Our Wealth Management philosophy starts with top-down asset allocation, but takes more than age into consideration: we adjust for individual issues such as personal exposure to financial markets (such as a spouse who works on Wall Street; a primary residence in Manhattan) as well market issues, such as relative value between asset classes (bonds inexpensive against stocks). In this way we develop an ideal asset mix that is customized for the individual client.

Once asset mix is established, we select the appropriate fixed income and equity investments through research-- both proprietary and Street-- with an eye to high quality securities that are mispriced in the market. While we have a long-term view, we will also manage to the near-term to attempt to limit volatility and risk. Next, we layer alternative investments into the asset mix principally using ETFs, but we will utilize alliances in illiquid areas such as real estate and private equity in an effort to lower overall volatility and to expand duration.

It is critical-- just as we would insist that our assets are held in custodial accounts-- that client assets are too. We have selected Charles Schwab & Co., Inc.as our third-party clearing and custodial agent to house client assets.