Broker Check

Pennsylvania (215) 591-0400

New Jersey (732) 378-9211

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Summary of Services

Comprehensive Investment and Retirement Planning Services

  • Pre- and post-retirement planning
  • Customized asset management (through LPL Financial)
  • Assistance in defining investment objectives and risk tolerances
  • Budgeting and cash flow analysis
  • Personal net worth review and update
  • Consultations to help make 401(k) choices and asset-allocation decisions1
  • Planning for lump-sum and periodic distributions
  • Tax-efficient investing strategies2
  • Client portfolio re-balancing
  • In-depth quarterly performance analysis and periodic reviews
  • Economic and market based research
  • Online access to account information
  • Coordination of services with other professional advisors
  • Aggregate reporting on assets held at other institutions
  • Traditional commission-based and all-inclusive quarterly fee options based on the size of the account, which covers portfolio administration, commission costs and custody services3

Corporate 401(k) Plans

  • Design assistance
  • Implementation support
  • Review
  • Investment choice overview
  • Fiduciary education
  • Due diligence support
  • Plan sponsor and participant education activities


1 Asset allocation cannot eliminate the risk of fluctuating prices and uncertain returns.
2 1406 Financial does not provide legal or tax advice, but we will be happy to work with your chosen legal and tax advisors to help you pursue your financial goals.
3 Independent money management may not be suitable for all clients.