The McGowanGroup Asset Management, Inc. is a federally Registered Investment Advisor (RIA) firm and is considered a Fiduciary. This means we are held to a higher standard of care than ordinary commission-based brokers.

Investment Plan Dallas - FAQ

FAQ’s for a Registered Investment Advisor

The McGowanGroup’s (MGAM) most Frequently Asked Questions provides an educational tour of the advisory process for prospective clients.

What are the key parts of an Investment Plan with The McGowanGroup?

McGowanGroup’s Investment Plan is a broad outline tailored to your unique circumstances and includes:

A long term definition of client goals with realistic income and cash flow estimates
An Allocation Strategy including specific asset categories distinctive to your plan
Tax Planning and Estate Planning key facts
Highly customized insights and recommendations

The Investment plan is delivered by email during the initial fact finding appointment along with an in-person comprehensive educational notebook.

How has The McGowanGroup performed for its clients over time?

What information do clients receive regarding individual performance?

How frequently will we meet to discuss my portfolio and the progress we are making toward my investment goals?

Where are my assets held?

All MGAM client investment assets are held with Pershing Advisor Solutions*.

*Pershing Advisor Solutions LLC, member FINRA, SIPC, is a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Clearing, custody or other brokerage services may be provided by Pershing LLC, member FINRA, NYSE, SIPC. Pershing Advisor Solutions relies on its affiliate Pershing LLC to provide execution services. Bank custody and private banking solutions are provided by BNY Mellon, N.A., member FDIC, a wholly owned subsidiary of The Bank of New York Mellon Corporation.

What statements and reports will I receive?

Are you a Fiduciary?

What experience does your firm have with newer technologies and algorithm trading?

We believe MGAM is ahead of the curve technologically since we’ve adopted a secured cloud based internal structure with integrated features such as Salesforce and Modest Spark in addition to Pershing’s own website.

Our secure cloud based system allows us to be nimble enough to work from anywhere and have access/communication with our clients in real-time with real-time updates. Our Business Continuity Plan (BCP) includes technology platforms to insure client service, communication, and trading can be performed in the event of disruptions.

The firm embraces algorithm trading for our portfolios, via our custodian’s trading desk, to execute large orders to ensure we obtain best possible execution prices for our clients. Additionally, we rely on the human touch of our Investment Committee to vet and produce actionable trading intelligence for our client base.

What is ``Limited Discretion`` over an account?

“Limited Discretion” usually refers to the trading authority necessary to manage the allocations within an account. This authority allows for securities transaction to be completed and information to be given, but money movement such as a wire or check from an account, account detail changes, change of address or change in ownership is allowed only with an account owner’s signature. MGAM, as an RIA firm, has discretionary trading over client accounts.

Address:	300 Crescent Court, Suite 1776, Dallas, TX 75201
Phone:	214.720.4400
Email:	[email protected]

Frequently Asked Questions

FAQ’s for a Registered Investment Advisor

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