Business Description

We are an independent registered investment advisor. Our approach is based on applying the principles and techniques of some of the most long-term successful investors in the world. We practice a type of investing called value investing which emphasizes using techniques to minimize risk and increase returns and is a sound approach for achieving long-term success for those who can implement it with discipline. Kaushal B. Majmudar, our President and Managing Partner, has been a successful investor for over a decade. He has completed the requirements to recieve a CFA charter in Sept 2005 and is also an honors graduate of Harvard Law School. His partner, Ahalya Nava has an MBA from Harvard Business School. We pride ourselves on investing right alongside our clients and have millions of our own money invested in the same stocks and funds that we recommend to our clients. We have a good track record of producing results for our clients.

General Information

Gender:

Male

CRD#:

2527197

Firm CRD#:

121220

States Licensed in:

NJ, NY, CA

States Willing to do Business in:

All States

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Non-Profit Organizations, Institutional Investors, Investment Clubs

Education

Academic Background

Harvard Law School '94
Columbia University '91

Services

Investment Types:

Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Insurance, Commodities, Mutual Funds, Options & Futures, Alternative Investments, Mortgages & Real Estate, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Chartered Financial Analyst (CFA), JD

Securities Licenses:

Series 65

Financial Organization Memberships:

CFA Institute, Paladin Registry

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-only financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Flat Fee, Based on Assets

Prepared By:

Ken Majmudar, JD, CFA