integrated planning for life

Portfolio Management Services

RubinBrown provides portfolio management services through a wholly owned affiliate of the firm, RubinBrown Advisors, LLC.

RubinBrown Advisors is dedicated to providing you a level of personalized service with integrity and expertise that reflects our parent firm's legacy of excellence.

RubinBrown Advisors:

  • Is independent and objective
  • Serves as fiduciaries
  • Educates clients about investments and matters of personal finance
  • Is fee based only, no commissions
  • Offers no proprietary products
  • Is relationship, not transaction oriented
  • Offers a high level of service with frequent communication

We follow a disciplined and comprehensive investment approach. We also have direct access to the rest of the RubinBrown Wealth Advisory team.

In some cases, you may also benefit from reduced investment minimums and management fees through our strategic partnerships with institutional programs not available to individual investors.

Our relationships will also enable you to keep your all-in costs and fees at reasonable levels.

RubinBrown Advisors, LLC adheres to strict privacy and confidentiality guidelines. See below to view a copy of our privacy policy.

At RubinBrown Advisors it is always our goal to provide you with comprehensive objective information to ensure you can make an educated decision about your financial future. For your convenience, we have developed a list of frequently asked questions.

If you have additional questions, or if you would like to discuss a topic in more detail, please contact us directly.

Why was RubinBrown Advisors created?

There are thousands of investment products and portfolio managers from which to choose.

RubinBrown clients, who are also concerned investors, asked that we provide advisors they can trust. They asked for advisors who can offer objective and experienced advice and help them develop strategies to achieve their goals consistent with their tolerance for risk and time horizon.

In addition, clients have told us they need help understanding the benefits and considerations of available investment alternatives.

Why should I choose RubinBrown Advisors?

RubinBrown Advisors pride ourselves on providing exemplary service. We:

  • Identify, prioritize and help clients achieve goals and objectives
  • Offer independence, transparency and objectivity
  • Provide an integrated suite of services using a team of highly skilled, experienced professionals in taxation, estate and financial planning, risk management and investments
  • Engage in frequent communication
  • Follow a systematic, disciplined approach to investing
  • Serve as fiduciaries
  • Educate you about investments and matters of personal finance
  • Provide services for fees only, no commissions
  • Are relationship, not transaction oriented
  • Offer reasonable fees

Is RubinBrown Advisors a registered investment advisor?

RubinBrown Advisors is registered with the Securities and Exchange Commission as an investment advisor.

How does RubinBrown Advisors get paid?

As independent advisors:

  • We work for you.
  • We do not sell investment products.
  • We do not receive commissions on investment recommendations or manage a proprietary portfolio.
  • Our success is directly tied to your success.

We are paid a percentage of the assets for which we provide investment advisory services. Fees vary by the amount of client assets on which we consult.

How does RubinBrown Advisors protect my personal information?

RubinBrown Advisors adheres to strict privacy and confidentiality guidelines. To view a copy of our privacy policy, please click here.

Where are my investments held?

RubinBrown Advisors custodies all client assets at third-party companies like Charles Schwab, T.D. Ameritrade, and SEI Private Trust Company. In addition to being audited annually, none of these entities engages in risky proprietary trading or investment banking.

Your privacy is important to us, and maintaining your trust and confidence is one of our highest priorities. In accordance with a recent rule enacted by the General Trade Commission, professionals who advise on personal financial matters re now to inform their clients of their policies regarding privacy of client information.

A. Types of Information We Collect

We collect certain personal information about you—but only when that information is provided by your or is obtained by us with your authorization. We use that information to provide various investment and financial planning services to you at your request.

B. Parties to Whom We Disclose Information

As a general rule, we do not disclose personal information about our clients to anyone without their permission. However, to the extent permitted by law, certain nonpublic information about you may be disclosed in the following situations:

  1. To comply with a validly issued and enforceable subpoena or summons;
  2. In the course of a review of our firm’s practices under the authorization of a state operational licensing or regulatory board;
  3. As a part of any actual or threatened legal proceedings or alternative dispute resolution proceedings either initiated by or against us, provided we disclose only the information necessary to file, pursue, or defend against the lawsuit and take reasonable precautions to ensure that the information disclosed does not become a matter of public record; and
  4. To provide information to affiliates of the firm and non affiliated third parties who perform services or functions for us in conjunction with our services to you, but only if we have a contractual agreement with the other party that prohibits them from disclosing or using the information other than for the purposes for which it was disclosed. If we do not have a contractual agreement, with the other party, we will ask for your consent prior to sharing confidential information with them.

C. Confidentiality and Security of Nonpublic Personal Information

Except as otherwise described in this notice, we restrict access to nonpublic personal information about you to employees of our firm. Their right to further disclose and use the information is limited by the policies of our firm, applicable law, our Code of Professional Conduct, and nondisclosure agreements where appropriate. In order to guard your nonpublic personal information, we maintain physical, electronic and procedural safeguards that comply with our professional standards.

D. Record Retention Policy

We retain records relating to professional services we provide, so that we are better able to assist you with your professional needs, and in some cases, to comply with professional guidelines. Our policy is to maintain copies of your personal financial information for seven years before they are destroyed. Thank you for allowing us to serve you. We value your business and are committed to protecting your privacy. Please call us if you have any questions regarding our privacy or record retention policies.

RubinBrown Advisors may only transact business in any state if we are first registered, excluded or exempted from the applicable registration requirements. Follow-up, individual responses or rendering of personalized investment advice for compensation will not be made absent compliance with applicable state registration requirements or an applicable exemption or exclusion.