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Investment Advisory Services


As a wholly owned affiliate of RubinBrown LLP, one of the nation's largest accounting and business consulting firms, RubinBrown Advisors is dedicated to providing you a level of personalized service with integrity and expertise that reflects our parent firm's legacy of excellence.

We help our clients identify, prioritize and achieve their financial goals and objectives utilizing an experienced group of professionals that integrate your income taxes, estate planning and investment advice all in one place.

RubinBrown Advisors:

  • Is independent and objective
  • Serves as fiduciaries
  • Educates clients about investments and matters of personal finance
  • Is fee based only, no commissions
  • Offers no proprietary products
  • Is relationship, not transaction oriented
  • Offers a high level of service with frequent communication

We follow a systematic, disciplined and comprehensive investment approach. We also have direct access to the rest of the RubinBrown team, including a full range of integrated wealth advisory services.

In some cases, you may also benefit from reduced investment minimums and management fees through our strategic partnerships with institutional programs not available to individual investors.

Our relationships will also enable you to keep your all-in costs and fees at reasonable levels.

RubinBrown Advisors LLC adheres to strict privacy and confidentiality guidelines. See below to view a copy of our privacy policy.
 

At RubinBrown Advisors it is always our goal to provide you with comprehensive objective information to ensure you can make an educated decision about your financial future. For your convenience, we have developed the following list of frequently asked questions:

If you have additional questions, or if you would like to discuss a topic in more detail, please contact us directly.

Why was RubinBrown Advisors created?

There are thousands of investment products and portfolio managers from which to choose.

RubinBrown clients, who are also concerned investors, asked that we provide advisors they can trust. They asked for advisors who can offer objective and experienced advice and help them develop strategies to achieve their goals consistent with their tolerance for risk and time horizon.

In addition, clients have told us they need help understanding the benefits and considerations of available investment alternatives.

Why should I choose RubinBrown Advisors?

RubinBrown Advisors pride ourselves on providing exemplary service. We:

  • Identify, prioritize and help clients achieve goals and objectives
  • Offer independence and objectivity
  • Provide an integrated suite of services using a team of highly skilled, experienced professionals in taxation, estate planning and investments
  • Deliver excellent service and frequent communication
  • Follow a systematic, disciplined approach to investing
  • Serve as fiduciaries
  • Educate you about investments and matters of personal finance
  • Provide services for fees only, no commissions
  • Are relationship, not transaction oriented
  • Offer reasonable fees

Is RubinBrown Advisors a registered investment advisor?

RubinBrown Advisors is registered with the Securities and Exchange Commission as an investment advisor.

How does RubinBrown Advisors get paid?

As independent advisors:

  • We work for you.
  • We do not sell investment products.
  • We do not receive commissions on investment recommendations or manage a proprietary portfolio.
  • Our success is directly tied to your success. 

We are generally paid a percentage of the assets for which we provide investment advisory services. Fees vary by the amount of client assets on which we consult.

How does RubinBrown Advisors protect my personal information?

RubinBrown Advisors adheres to strict privacy and confidentiality guidelines. To view a copy of our privacy policy, please click here.

Where are my investments held?

RubinBrown Advisors custodies all client assets at third-party companies like Charles Schwab, T.D. Ameritrade, and SEI Private Trust Company. In addition to being audited annually, none of these entities engages in risky proprietary trading or investment banking.

RubinBrown Advisors Privacy Policy

Your privacy is important to us, and maintaining your trust and confidence is one of our highest priorities.  In accordance with a recent rule enacted by the General Trade Commission, professionals who advise on personal financial matters re now to inform their clients of their policies regarding privacy of client information.

A. Types of Information We Collect

We collect certain personal information about you—but only when that information is provided by your or is obtained by us with your authorization. We use that information to provide various investment and financial planning services to you at your request.

B.  Parties to Whom We Disclose Information

As a general rule, we do not disclose personal information about our clients to anyone
without their permission. However, to the extent permitted by law, certain nonpublic information about you may be disclosed in the following situations: 

  1. To comply with a validly issued and enforceable subpoena or summons;
  2. In the course of a review of our firm’s practices under the authorization of a state operational licensing or regulatory board;
  3. As a part of any actual or threatened legal proceedings or alternative dispute resolution proceedings either initiated by or against us, provided we disclose only the information necessary to file, pursue, or defend against the lawsuit and take reasonable precautions to ensure that the information disclosed does not become a matter of public record; and
  4. To provide information to affiliates of the firm and non affiliated third parties who perform services or functions for us in conjunction with our services to you, but only if we have a contractual agreement with the other party that prohibits them from disclosing or using the information other than for the purposes for which it was disclosed. If we do not have a contractual agreement, with the other party, we will ask for your consent prior to sharing confidential information with them.

C. Confidentiality and Security of Nonpublic Personal Information

Except as otherwise described in this notice, we restrict access to nonpublic personal information about you to employees of our firm. Their right to further disclose and use the information is limited by the policies of our firm, applicable law, our Code of Professional Conduct, and nondisclosure agreements where appropriate. In order to guard your nonpublic personal information, we maintain physical, electronic and procedural safeguards that comply with our professional standards.

D. Record Retention Policy 

We retain records relating to professional services we provide, so that we are better able to
assist you with your professional needs, and in some cases, to comply with professional guidelines. Our policy is to maintain copies of your personal financial information for seven years before they are destroyed. Thank you for allowing us to serve you. We value your business and are committed to protecting your privacy. Please call us if you have any questions regarding our privacy or record retention policies.

RubinBrown Advisors regularly provides general information about markets and investments. To view these communications, please click on the links below.  

Market Update - February 3, 2017

Market Update - January 19, 2017

Quarterly Investment News - Q1 2017 

Market Update - December 7, 2016

Market Update - November 9, 2016

Market Update - October 26, 2016

Quarterly Investment News - Q4 2016 

Market Update - October 12, 2016

Market Update - September 28, 2016

Market Update - August 19, 2016

Market Update - August 8, 2016

Market Update - July 19, 2016

Quarterly Investment News - Q3 2016

Market Update - July 8, 2016

Market Update - June 22, 2016

Market Update - June 8, 2016

Market Update - April 29, 2016

Market Update - April 12, 2016

Market Update - March 29, 2016

Market Update - March 15, 2016

Market Update - March 2, 2016

Market Update - February 18, 2016

Market Update - February 4, 2016

Market Update - January 20, 2016

Market Update - January 8, 2016

Quarterly Investment News - Q1 2016
 

Market Update - December 11, 2015

Quarterly Investment News - Q4 2015 

Market Update - October 5, 2015

Market Update - August 6, 2015

Quarterly Investment News - Q3 2015

Market Update - July 8, 2015


Market Update - June 11, 2015


Market Update - May 28, 2015

Market Update - May 18, 2015

Market Update - April 29, 2015

Market Update - April 14, 2015

Quarterly Investment News - Q2 2015

Market Update - March 31, 2015

Market Update - March 17, 2015

Market Update - March 3, 2015

Market Update - February 17, 2015

Market Update - February 5, 2015

Market Update - January 20, 2015

Quarterly Investment News - Q1 2015

Market Update - December 23, 2014 

Market Update - December 10, 2014    

Market Update - November 25, 2014   

Market Update - November 12, 2014  

Market Update - October 30, 2014 

Market Update - October 14, 2014

Quarterly Investment News - Q4 2014

RubinBrown Advisors may only transact business in any state if we are first registered, excluded or exempted from the applicable registration requirements.
Follow-up, individual responses or rendering of personalized investment advice for compensation will not be made absent compliance with applicable state registration requirements or an applicable exemption or exclusion.