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About Forza Investment Advisory, LLC |
Forza Investment Advisory LLC, is an independent Registered Investment Advisory (RIA) firm based in Westfield, NJ, that provides fee-only investment advisory and professional money management services to private clients and select institutions with investable assets greater than $500,000.
Our goal is to create and maintain wealth for our clients through a comprehensive investment planning approach. We differentiate ourselves by managing money in-house using an investment approach developed from 22+ years experience as an institutional and private-client portfolio manager. We deliver a combination of professional money management and personal service that is usually unavailable to individual investors and small institutions.
We provide our services to individuals, families, small businesses and other institutions. Our services include: - Investment Strategy and Implementation - Investment Advisory - Separately Managed Accounts - Asset Allocation - Portfolio Management - Retirement Planning - Savings Plans - Other Investment Planning.
We provide professional investment management and financial advisory services for many types of portfolios and Plans including IRA's, Trusts, Personal Accounts, Rollover 401Ks, Pensions, Endowments, Charitable Accounts, 401Ks, Profit-Sharing Plans, Education Plans...
We also offer a Free Financial Consult to allow you to get to know us better. Call us at 908-344-9790 to setup an appointment.
We are licensed in NJ and can operate in all states. |
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General Information |
| Years of Experience in Financial Services: |
27
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| Foreign Languages Serviced: |
Basic Italian
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| Work Experience: |
2010-Present,President,Forza Investment Advisory;1996-2009 Managing Director, MacKay Shields, LLC; 1994-1996, Portfolio Manager, Gibraltar Advisors, NY;1992-1994 Portfolio Manager, Foxhall Investment Management, Washington DC; 1991-1992 Senior Financial Analyst, Federal Natl Mortgage Association;1987-1991, Planning Officer, First American Bankshares
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| Name of Custodial Firm: |
Scottrade
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| Number of Years with Current Firm: |
5
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| Work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations
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| States Willing to do Business in: |
all
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| Advisory Services Provided: |
401K Rollovers, Retirement Planning, Portfolio Management, Financial Advice & Consulting
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Education |
| Academic Background |
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| MBA Finance, George Mason University; BS Accounting, University of Scranton; CFA, CFA Institute |
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Services |
| Investment Types: |
Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs)
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| Can meet clients in the following ways: |
Your Office, Email, Phone, Our Office, Your Home
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Financial Analyst (CFA)
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| Financial Organization Memberships: |
CFA Institute; NYSSA; Amer Assn of Indiv Investor
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| Non-Financial Organization Memberships: |
Westfield UNICO
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Firm Information |
| Assets Managed by Firm: |
>$25,000,000
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| Assets Managed by Advisor: |
>$25,000,000
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| Advisor's Number of Clients: |
25+
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| Firm's Number of Clients: |
>25
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| Advisor's Number of Managed Clients: |
25+
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| Firm's Number of Managed Clients: |
>25
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Compliance |
| Criminal Disclosures in Last 5 years: |
Have a clean record
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| Compliance Disclosures in Last 5 years: |
Have a clean record
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| Registered Investment Advisor: |
Yes
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| Acknowledged fiduciary: |
Yes
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Compensation and Fees |
| Fee % Based on Assets: |
schedule
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| Additional Details on Charges: |
Billed quarterly as % of Assets
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| Compensation Methods: |
Based on Assets
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| Minimum Portfolio Size for New Managed Accounts: |
$500,000
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Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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We are a customer-focused firm and offer a boutique-style service. Client satisfaction is of prime importance to us. Our customers can give immediate notice if they are not satisfied and move their funds. |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Will you be the only person working with me? |
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No. We are a discretionary investment manager only. |
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| Q. |
How much risk should I be willing to take? |
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We work with each of our clients before setting up a portfolio to help determine your risk tolerance, goals and objectives. |
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| Q. |
Have you ever been charged with any breaches? |
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What is your approach to financial planning? |
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Forza is a fee-only advisor and charges asset-based management fees so our incentives are aligned directly with our clients' best interests and our compensation is linked directly with investment performance. |
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| Q. |
What services do you offer? |
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Forza is an independent RIA without conflicting ties to a brokerage platform of products. We specialize in creating innovative and personalized solutions for each client. We manage your money in-house, so you deal directly with an experienced investment manager. Each portfolio is customized to your goals and objectives. |
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What services do you provide? What are your specialties? |
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You can visit our website at www.forzainvestment.com for a full list of services. In general we provide:
Investment Advisory,
Customized Portfolio Management,
Asset Allocation,
Retirement Planning,
Investment Planning,
Rollover 401Ks into IRAs
Small 401K Plan Investment Management |
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What is your experience? How many clients do you currently manage? |
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Our investment professional holds the Chartered Financial Analyst®, CFA® designation and has worked over 30 years in the financial services industry including the last 25 years as a professional money manager. He has managed equity mutual funds as well as institutional and private client portfolios. His educational background includes an MBA Finance and a BS Accounting. |
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What financial institution(s) do you represent? |
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Forza Investment Advisory is an independent Registered Investment Advisor. |
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| Q. |
What are your management fees? |
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Management fees are negotiable and depend on the type of service and assets under management. However, total fees are typically lower than the average advisor and are on a declining % scale as assets increase. |
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What kind of plans do you specialize in? |
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Separately Managed Accounts. We create a custom allocation for each of the plan participants. Forza only acts as investment manager and does not do administration. |
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Do you have a minimum requirement for number of employees or total investment value? |
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We will work with small plans of 5 or less people. Investable plan assets must be greater than $1,000,000. |
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What type of plans do you offer? |
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Managed Accounts. We can provide investment advice to plan participants working within their current plan or we can provide sepatately managed accounts at our Custodian - Scottrade. |
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Do you offer any additional services? |
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We will visit your office and provide educational investment seminars at least annually. |
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| Q. |
What are your qualifications? |
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Our investment professional holds the Chartered Financial Analyst®, CFA® designation and has worked over 30 years in the financial services industry including the last 25 years as a professional money manager. He has managed equity mutual funds as well as institutional and private client portfolios. His educational background includes an MBA Finance and a BS Accounting.
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| Q. |
What is your approach to 401 K plan rollovers? |
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We will walk you through all the necessary paperwork to execute a tax-free rollover to our custodian. We then work with each individual in the plan to determine their appropriate asset allocation based on their unique set of circumstances. |
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How long does the process of rolling over a 401K plan usually take? |
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Generally after the required paperwork is submitted, the rollover can occur in as few as 5 days but possibly up to a few weeks. |
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What financial institutions do you represent? |
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We are an independent registered investment advisor and have no conflicting ties to any financial institutions. We utilize Scottrade as our primary custodian to house the assets. |
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| Q. |
How many years of experience do you have? |
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I have been in the investment business for over 21 years managing portfolios and providing investment advice. |
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What are your fees for this service? |
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Our fees are very competitive and depend on assets under management. |
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How many 401K rollover clients do you currently manage? |
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We manage 1 401K Plan at the present. We also manage several individual client accounts that have rolled over their 401K plans to an IRA. |
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| Q. |
Why should I roll over my 401K plan to your firm? |
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If you would like the personalized touch of a managed account for your plan, Forza provides this service. We take away the fiduciary duty of investment management freeing plan participants from having to monitor and manage their own accounts. If you are an individual that has left your company, you can roll into an IRA where we will manage the account for you. |
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