Strategic partner · Compliance support
How we use
RIA in a Box.
Compliance and license renewals, with a dedicated advocate for our firm.
In Loren’s words
Prepared for
what’s to come.
Loren ShermanFounder & Financial Advisor
We lean on RIA in a Box for everything related to compliance and the renewal of licenses.
In this industry, staying on top of regulatory changes and supervision of our firm are both key aspects of running a practice in accordance with the law.
Having a dedicated advocate for our firm helps us stay on top of what is required, and prepared for what is to come.
Check our records
Our licenses,
in the open.
We’re licensed as Investment Advisors, and we don’t work with a broker-dealer. Here are our own public records.
Our fiduciary commitmentAdvisor License Check provides a database of all past and present advisors in the United States, listing whether they are licensed as a Broker, Investment Advisor, or both and also if the advisor in question has ever had any disciplinary action. You can look up any advisor the same way.
Search any advisor (opens in a new tab)Our strategic partners
Personal guidance.
Thoughtful resources.
Specialist knowledge and technology help connect the details, so the conversation can stay focused on you.
TIFIN Wealth
Investment insight
Tools that connect risk, portfolio analysis, and planning conversations.
Holistiplan
Tax planning
Tax-return analysis and scenario modeling to inform forward-looking decisions.
Right Capital
Your financial picture
A connected view of cash flow, retirement scenarios, and the details of your plan.
CreativeOne
Education & engagement
Support for educational events, podcasts, webinars, and client experiences.
Wealth.com
Estate planning
Resources to help organize, review, and understand estate planning documents.
The people behind your plan
Our Team
Meet Loren and the specialists who work on your investments, taxes, insurance and Medicare.
Your next best step
Let’s start
a conversation.
A chance to meet, share what matters to you,
and see whether we’re the right fit.