Broker Check

Strategic Partners

Effective financial strategies often require a team of experts working together to serve your best interests. In such situations, we act as the quarterback who makes sure everyone is working together to achieve the best possible results. In order to best serve the needs of our clients, we have chosen to align ourselves with strong companies that share our values and objectives. Our relationships with these companies are detailed below.

Pacific Advisors

Pacific Advisors, LLC supports our firm directly in our day-to-day operations by providing office space, administrative and marketing support, education, and more. As a community-family of financial professionals almost 200 strong and growing, we collectively operate under shared values (D.E.E.D.S.) from about 15 office locations across the Western US. Pacific Advisors is a non-affiliated general agency for Guardian and serves over 45,000 individual and business clients.

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Park Avenue Securities

Park Avenue Securities (PAS) is our dually-registered broker-dealer and registered investment advisor (RIA) firm.  This is the name you'll see at the top of most of your investment account statements.  All of our firm’s financial planning service agreements as well as any investment advice we give is overseen and approved by PAS through the local compliance team in Claremont CA (OSJ).  Park Avenue Securities is headquartered in New York, and they are a wholly-owned subsidiary of Guardian.

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Guardian is a Fortune 250 company with about 8,000 employees and a network of about 3,000 financial representatives.  Guardian provides some of the tools we use in financial planning, including The Living Balance Sheet and is also one of our providers for various insurance products and solutions.  Founded in 1860 and based in New York, Guardian is one of the largest mutual life insurance companies in the United States and is also one of the strongest and most stable financial institutions in the country.

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BNY Melon

We utilize BNY Mellon as a custodian bank for our clients who have brokerage accounts with banking capabilities through our firm.  They are the considered the world's largest custodian bank and asset servicing company.

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This is our primary custodian and clearing firm and a subsidiary of BNY Mellon.  They provide the NetXInvestor tools our clients use to access their investment accounts.  Like many of the world’s most sophisticated financial services firms, we rely on Pershing for clearing and custody, investment technology and data management, trading capabilities, and brokerage services.

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Through our affiliation with InsMed, our firm provides access to disability insurance benefits for CIR union members training at these Northern California hospitals: Santa Clara Valley Medical Center, Highland Hospital, and Valley Consortium for Medical Education (VCME).

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BNY Melon, Pershing and Insmed are not affiliates or subsidiaries of PAS or Guardian. Trademarks are the property of their respective owners and are used with permission.  The Guardian Network® is a network of preferred providers authorized to offer products of The Guardian Life Insurance Company of America (Guardian), New York, NY and its subsidiaries. Pacific Advisors is an independent agency and not an affiliate or subsidiary of Guardian.