Buena Vista Investment Management

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The following are questions you may have as you contemplate starting an investment relationship with Buena Vista Investment Management LLC.

 

What is a Registered Investment Adviser?
Buena Vista Investment Management is a registered investment advisory firm (RIA).  This means that our partners have passed a government regulated licensing test (Series 65) and must be registered with the State or SEC. Buena Vista is currently regulated by the State of Wisconsin.

How is Buena Vista Investment Management paid for the services it provides?
We are not stockbrokers and do not sell securities to generate revenue for our firm. We are a fee based registered investment advisory firm. This means that our clients pay us for designing and implementing an investment strategy, as well as making daily investment decisions. Our fees for these services are based on the market value of investments on the last day of each quarter.

Why does Charles Schwab & TD Ameritrade act as custodian for Buena Vista Investment Management?
All of our client securities are held in custody at Schwab & Company or TD Ameritrade, highly respected and well capitalized firms. We have placed our client securities with Schwab and TD Ameritrade in order to ensure that the processing of all client transactions is handled in the most efficient manner. Schwab and TD Ameritrade process all dividend and interest payments, settles security transactions and ensures that stock splits and corporate reorganizations are completed properly.

What does it take to open account with Buena Vista Investment Management?
It is a simple process to open an investment management account(s). Buena Vista Investment Management has three documents that require a signature: an investment advisory agreement; a fee agreement; and an investment policy statement. We then complete the paperwork to open your account(s) at Charles Schwab or TD Ameritrade. The last step is to complete the transfer of investments into your new account(s) with Schwab or TD Ameritrade.

What kind of information will I receive on my investments?
On a monthly basis you will receive custodian statements directly from Charles Schwab and TD Ameritrade detailing all holdings and transactions that have occurred in your account. You will also receive  confirmation of any security trades.  On a quarterly basis Buena Vista Investment Management will provide you with detailed reports on your investments, including performance.

Do I have to approve every investment transaction that takes place in my accounts? 
Buena Vista Investment Management normally requires sole discretion on its client accounts.  This means that we make the day to day investment decisions and do not contact you prior to making changes in your portfolio.  It is important to understand, prior to any investment decisions being made, we work together with our clients to complete a detailed Investment Policy Statement (IPS).  The IPS details what types of investments and the portfolio strategy you have authorized.  Buena Vista Investment Management will manage your investment funds based on the strict conditions detailed in the Investment Policy Statement. We then will schedule semi-annual meetings to review the investments and recent activity in your portfolios.

 
     

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