About Us

Mountain and Stream

Our Story

Our story begins on Wall Street, where our founder worked for 14 years as an executive at several major investment banks. After a successful career on Wall Street, his entrepreneurial spirit led him to launch an independent financial practice. The most important skill he took from Wall Street was the ability to assess and manage risk at an institutional-quality level.

Our firm opened its doors as a Registered Investment Advisor in 1996 when we began providing investment management services to an elite group of friends and family in the midst of the dot-com bubble. Our core investment principles enabled us to navigate the very challenging bust in that market cycle. As our business successfully navigated that difficult period, client confidence in our investment process and acumen grew. Our record established during the dot-com bust, as well as our effective communication with clients, gave our clients the confidence to trust our abilities to navigate the next crisis: the Great Financial Crisis of 2007-2009.

When the Covid-19 pandemic broke out, our playbook of focus, discipline and client engagement served our clients well once again. As our client base, professional staff and resources grew, we found ourselves in a position to serve many more of our clients’ evolving needs (including financial planning). We also recognized the need to find a partner that would allow us to maintain our independence while providing a more comprehensive suite of financial solutions for our clients. After years of due diligence, in October 2023, we joined Mariner Investment Advisor Network (“MIAN”) to help us best service our clients for the future.

Our Values


Our commitment to our clients’ success and satisfaction is the cornerstone of our core mission.



Our deep relationships with our clients are predicated on clear and consistent communication.



Collaboration begins with a clear understanding of the unique needs of each client.

Our highly experienced team of specialized financial professionals collaborate to create a robust and customized financial road map for each of our clients.



We believe in the importance of having a team with a deep and diverse set of competencies to help our clients navigate through their unique goals and challenges.

There is no assurance that any planning or investment strategies will be successful.  Investing involves risk, including the possible loss of principal.


This Area is Widget-Ready

You can place here any widget you want!

You can also display any layout saved in Divi Library.

Let’s try with contact form: