The Small Firm Investment Team

Using his experience as the CIO of a $5 billion trust company, presenter Philip Mock will walk attendees through building a scalable “investment department” for solo and small firms using big-firm methodologies. We will discuss the necessary elements of an investment monitoring program, the research tools to manage it, and how to build it in a way that is repeatable, affordable, and helps you be a good fiduciary for your clients. Investments don’t have to be complicated to be effective. This session will NOT be about how to pick individual stocks or how to time the market. Rather, this session will cover modern investment due diligence procedures to make advisors at firms of all sizes effective in managing their investment functions.

Learning Objectives 

• Learn how to design an investment monitoring program to make your investment function seamless and effective. 
• Learn the basics of investment due diligence - whether individual securities or monitoring asset managers (TAMPs). 
• Gain insights and ideas on streamlining investment functions to spend more time directly on clients.