Summary
Advisory Accounts Summary
Overview: Fanning Financial LLC provides advisory services to focus on long-term growth while balancing potential gains with market risk. We use Modern Portfolio Theory for portfolio evaluation and diversification across different asset classes. We implement this process to match potential returns to the client’s level of risk. Fanning Financial acts as Fiduciary for Advisory Accounts, and has discretion to direct the management of investments, make changes, re-balance, and replace funds as needed. We all believe in strong partnerships to provide full financial services and receive the support of with four separate entities to manage the Advisory investments.
- Fanning Financial, LLC Team
Ken Fanning, Financial Advisor/Investment Advisor Representative, has over 20 years as a Financial Advisor/Investment Advisor Representative with Cetera Advisor Networks LLC, one of the nation's largest broker dealers. Ken’s financial business experience includes 15 years as Vice-President of U.S. Eagle Federal Credit Union, where he later served 9 years as the on-site financial advisor, and almost 9 years at the Seagull Street Office. Ken graduated from UNM Anderson Schools of Management and holds the Accredited Investment Fiduciary Designation.
Matt Jones, Financial Advisor/Investment Advisor Representative, has 6 years with Fanning Financial including 5 years as a client and 1 year as an Advisor. Matt earned his Bachelor of Business Administration degree from the Anderson Schools of Management with a concentration in Finance at UNM in 2021. Matt plans to continue his education in pursuit of the Certified Financial Planner designation. With 2 years experience at Vanguard, Matt had the opportunity to streamline processes and provide superior client follow-up on complex issues.
Brandie Montoya, Administrative Assistant, has over 17 years with Fanning Financial. Brandie is responsible for a wide range of operational and administrative duties including opening new accounts, account maintenance and running the money desk. Brandie is the first line of contact for most clients and has a focus on supporting clients by tailoring her approach to the client’s individual situation. Brandie is also responsible for resolving a variety of financial issues.
- Portfolio Partners, a division of AdvisorNet, is responsible for overseeing investments to ensuring the Investment Strategy is in line with the Investment Policy Statement. They provide support to local representatives, and present report and analysis at regular meetings. Portfolio Partners provides ongoing review and maintenance, macroeconomic positioning, and adjustments for multi-strategy portfolios based on current and forward outlooks. They conduct weekly due diligence reviews, periodic manager review calls, and annual product review, write monthly newsletters, and periodic updates. Portfolio re-balancing to match the IPS is a regular process for portfolio management. Portfolio Partners has the staff of professionals with expertise and experience including several professional designations.
- Stonebridge Capital Advisors: Stonebridge provides investment research, portfolio management, product selection, client service, and support for multi-strategy portfolios plus traditional strategic allocations. Stonebridge has over 25 years of experience and employs 9 portfolio managers where they provide a deep bench that creates stability in the management of your investment portfolio.
- Cetera Advisor Networks is a national, registered securities broker-dealer and registered investment adviser. Cetera provides the independence necessary to select solutions that best suit client financial needs and objectives, and superior technology and support. Cetera also provides a wide range of financial and investment services including Advisory Accounts. Please see the “The Big Picture: Working Together” that highlights the differences between Commission Based Brokerage Services and Fee-Based Advisory Services.
Fanning Financial provides investment and financial planning services and is licensed in 10 states. As a fiduciary, Fanning Financial provides investment advice and portfolio management that is in the best interest of the client for an annual management fee based on the asset balance, not commissions from trading.
Deliverables: We provide several points of communication, reports, and market updates:
* Monthly Statements.
* Monthly Newsletters published by Portfolio Partners in conjunction with Stonebridge.
* Periodic Updates and economic outlook provided by Stonebridge.
* Regular account meetings where we review the following:
* 20+ page Quarterly Advisory Reports with a Quarterly Recap, Market Analysis, Performance Reports and Graphs
* Review Newsletter Highlights
* Account Summaries with asset history
* Discuss account trading and re-balancing as needed
The Fanning Financial team is available locally for any questions, withdrawals, deposits or other account maintenance activity.
If you have further questions or comments, please contact Ken 505.263.2291, Matt, 505.507-8042, or Brandie 505.300.4638 or send me an e-mail to kenfanning@fanningfinancial.com.
The Fanning Financial Team