Frequently Asked Questions

1. What is the first step to getting started?
2. How should we distinguish you from other financial planners or advisors?
3. Have you or your firm ever been disciplined or reprimanded in any way by any regulatory or industry agency?
4. In what year did you first become a professional wealth advisor?
5. What should a client expect from his or her relationship with you, and how should they judge your performance?
6. What should clients not expect from their relationship with you?
7. What is the total dollar amount of assets under management at your firm?

1. What is the first step to getting started?

Contact our office to set up a telephone appointment.

The Wealth Strategies Group
7761 Shaffer Parkway, Suite 210
Littleton, CO 80127

Lori Keating	303-933-6483
	Lkeating@wealthstratgroup.com
Lisa Valdez	303-933-6771
	Lvaldez@wealthstratgroup.com

Fax: 303-933-7175

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2. How should we distinguish you from other financial planners or advisors?

What makes us unique is that we take the time to look at how the asset pieces of the puzzle flow based on inevitable life changing events. We examine clients’ life events such as costs associated with purchasing a larger home, college education for the children, second or third home purchases, retirement, etc. and map them out many years in the future. We then overlay our economic and investment outlook for the same time frame over the client’s life. This enables the client to see what their life needs will be and when. This approach estimates what the economy and the investment markets could be doing over this same time period. To make these estimates of future economic trends we look at demographic data and probabilistic reoccurance of prior historical cycles, which is combined with a review of the fundamentals of investment alternatives and technical analysis before an asset allocation is recommended to the client. Before investments are implemented this detail is reviewed for suitability with the client’s constraints for time, risk and volatility.

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3. Have you or your firm ever been disciplined or reprimanded in any way by any regulatory or industry agency?

NO

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4. In what year did you first become a professional wealth advisor?

1982

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5. What should a client expect from his or her relationship with you, and how should they judge your performance?

In addition to independent, unbiased financial advice each client should expect to receive direction, capability and confidence from our custom designed thinking process. Our process incorporates tools, techniques and systems, which make up The Wealth Planning Strategy™ created by James O. Lunney. This unique process goes beyond traditional financial planning as it continually monitors progress toward the client’s future based goals. Our client can measure our performance based on his or her progress toward these self identified family goals then to the performance of an index of comparison, even though this is likely not equal to risk tolerance or ability to withstand volatility. This approach helps to avoid emotional based decisions and instead encourages focus on the goals based progress that were outlined together.

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6. What should clients not expect from their relationship with you?

We sit down with the client to prepare their Wealth Planning Strategy. Once they have decided to implement the plan, they have entrusted our team to be the prudent stewards of their assets. Thus, they should not expect to micro manage the plan or “trade” securities in the account. If they choose to do this the client must understand it is away from our work together and not encouraged. They should not expect discussion, research or ideas in the short term trading area.

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 7. What is the total dollar amount of assets under management at your firm?

$200,000,000

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