Operating Strategy

We are a small firm and intend to stay that way. We also value experience. Our associates typically join us after many years in the securities industry.

While we are independent, we operate almost as an extension of our clearing firm, a New York Stock Exchange member with over $2 billion of assets. This relationship permits us to meet the most sophisticated demands of our clients while delivering the safeguards and protections associated with a large firm. At the same time, we avoid the capital costs and expenses associated with maintaining proprietary technological and back office operations.

We believe this is the best possible arrangement for serving the interests of our clients.