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investment management

J. Pappas Investments provides discretionary investment management services where the client grants our firm full power to direct, manage and change the investment and reinvestment of the assets in the account, the proceeds and any additions. Our firm manages the client’s account(s) without client consultation after the initial establishment of the client’s investment objectives and appropriate asset allocation. Our authority over the client’s investments includes discretionary authority to purchase and sell securities for the client’s account, to submit aggregated trade orders for the client and others in order to obtain best execution, and to give instructions concerning these transactions to the qualified custodian with which the client’s account(s) are held.


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We are not required to first consult with the client before placing any specific order or obtain specific authorization from the client for each specific transaction. Our firm receives discretionary authority from our clients through our Engagement Agreement at the outset of our advisory relationship. Clients should understand that information related to tax and legal consequences that is provided as part of the financial plan is for informative purposes only and should not be considered tax or legal advice. Clients should contact their tax and/or legal adviser for personalized advice.

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