San Diego Office

2221 Camino Del Rio South,

Suite 307
San Diego, CA 92108

Special Investment Portfolio Considerations for Attorneys

“It takes years to gain a client’s trust… and seconds to lose it.”

Trust and integrity are central to a thriving law practice.  As a successful attorney, you are privy to confidential and material nonpublic information during the normal course of business with your trusted clients.  This includes, but is not limited to, mergers & acquisitions, new product launches, the issuance of securities, pending litigation, regulatory actions and more.

While attorneys work hard to manage legal exposure for their clients, there is one area where attorneys commonly expose themselves to questions and scrutiny – their personal investments. Even a slight misstep in this area can damage your credibility and your practice.

Holding stock or other investments associated with clients or client interests raise the risk of conflicts of interest.  Even the perception that an attorney benefited from his or her inside information can result in lost clients, damaged reputation, substantial fines, or penalties from the SEC or the American Bar Association. Navigating this landscape on your own while tending to your practice is a challenging feat indeed.

We have many attorney clients and are familiar with their needs, concerns and wants.  We help attorneys manage this exposure via the following:

  • We can identify potential conflicts in their practice, construct a restricted list of securities and build a custom, diversified portfolio that minimizes client exposure to those conflicts while helping preserve and grow wealth over time.
  • Due to our familiarity with various law firm 401k and deferred compensation plans, we can make sure that the allocations and investments within these plans are integrated with our clients’ personal financial goals.
  • We can help manage complex personal financial needs while helping our clients’ maintain regulatory compliance.

Conflicts are inherent in the practice of law and a practice by nature cannot be conflict-free.

Work with a portfolio manager who understands this very real concern and you can spend more time doing what you love – practicing law.