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Centralized Investment 
Management Team

Chief Investment Officer Philosophy   

(Over three decades of knowledge and expertise)

Tom Griffiths 1964-2023

CPA, MBA, PFS, ABV

Behind 30 plus years as a tax accountant, Tom Griffiths combined that knowledge with his 25 plus years in financial services and 18 years in investment advisory services to develop the Investment Management Philosophy model that is closely followed by Griffiths, Dreher & Evans, PS, CPAs

  • Responsible for setting the investment style and strategy of the firm’s investments.

  • Manage and oversee investment fund selection and the Investment Portfolios & Asset Allocation.

  • Lead the Investment Management Team who execute and     maintain client accounts, compliant with the principles of the firm and the SEC.

Investment Ofcr

advisors and their team today. Emulating a Nobel Prize Winning approach, his insights, research, and guidance continue to provide a positive impact on the firm's clients and their portfolios.

Today, the role of Chief Investment Officer is shared by a select Team of Advisors whose responsibilities include:

Compliance

Chief Compliance Officer

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Alec Griffiths

CPA

Works with management and staff to identify and manage regulatory oversight across all portfolios and levels of the firm.

  • Maintain the firm’s compliance with its outside regulatory and legal requirements.

  • Validate the firm’s compliance with its internal policies and bylaws.

  • Maintain a Code of Ethics & monitor employee compliance.

  • Analyze investment advisory practices so they align with best practices.

  • Manage the organization’s internal controls that adequately measure and manage risk factors.

Portfolio / Client Services

Portfolio Trade Desk

Responsible for executing the trading – or buying and selling of securities according to each client’s asset allocation.

Client Services Team

Implements and maintains each client’s account, helping navigate the client and portfolio through a variety of processes,

  • Onboard new accounts.

  • Align portfolio with selected asset allocation. Execute trade requests per asset allocation of the client.

  • Manage and reconcile all portfolio activities including trades.

  • Handle all day-to-day account management.

  • Onboarding Support.

  • Securities and Exchange Commission    (SEC) Oversight.

  • Approval of Securities.

  • Issuing of Regulatory Reports.

  • Client Inquiry Responses.

  • Ongoing Communications and Reviews.

Information Security Department

Information Security

Responsible for securing data and information from all forms of theft, abuse, or loss, as well as protect data at different stages- whether it is while in storage, transfer, or in active use.

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  • Use and maintain software, such as  firewalls and data encryption programs.

  • Check for vulnerabilities in computer and network systems.

  • Establish security protocols to identify and neutralize threats.

  • Document and disseminate information security policies, procedures, and guidelines

  • Monitor organization's networks for security breaches and investigate when one occurs.

  • Client tech support outreach.

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