Investment Management

We have the experience to align your investments with what matters most to you.

As an independent wealth management firm, we are not tied to an in-house investment team to manage every portfolio. We make recommendations on how to best implement investment strategies based upon understanding your specific situation, goals, tolerance for risk, tax efficiency and values.

Investment Management Services

Access to Alternative Investments
Asset Allocation, Diversification, and Rebalancing
Concentrated Stock Strategies, RSU, and Stock Option Planning
Consultation
Customized Portfolio Management
Income Strategies & Cash Flow Planning
Money Manager Selection
Ongoing Monitoring
Performance Reporting & Market Commentaries
Secure Client Portal
Sustainable and Socially Responsible Investment (SRI/ESG) Solutions
Tax Efficient Investing

Our Fiduciary Duty

At Carlton & Company Financial, we are proud to uphold the fiduciary standard of care when serving our clients, with a commitment to place out clients' interests first and foremost.

We have a duty to act solely in your best interest when recommending financial strategies on your behalf, and to disclose all material facts or conflicts of interest that could compromise that duty.
We practice transparency in sharing how we are compensated for our services.
We uphold all standards and regulations under the Investment Advisers Act of 1940, including an obligation to put you ahead of ourselves at all times.

No investment strategy can guarantee a profit or protect against loss.

Advisor Fee Schedule

Up to $750,000 1.0%
$750,000 to $3,000,000 0.75%
$3,000,000+ 0.55%

Investment management fees vary with platform and investment structure.