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Aggressive Balanced Income Style <<<  >>>  Aggressive Growth Style                          

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Aggressive Growth Style   


The objective of the Aggressive Growth Style is capital appreciation through the establishment and development of individual equity securities as selected by the investment adviser. The equity security is primarily chosen for its growth potential but may also pay a dividend that is accumulated in the client’s portfolio or reinvested (under a dividend reinvestment plan or “DRIP”). Gains and/or losses will be realized by the sales of equity positions are at the discretion of the investment adviser.  Those gains and/or losses will be realized by the client during the tax year in which they occur and will be reported as such to the Internal Revenue Service by IRS Form 1099.


The size and diversification of the equity positions will be managed at the discretion of the investment adviser. Initially, or as deemed appropriate by the investment adviser, the account may maintain a significant cash and/or money market balance either as a result of gains/losses being realized or as a deliberate investment strategy. Further, there are no minimum or maximum number of security positions that must be established or maintained in each account. Accounts will seldom be “fully invested”, that is 100% invested in equity positions. Moreover, accounts may be invested in 2-5 positions with up to 66% of investable funds. The general objective is to have 15 as the maximum number of positions for a fully invested account.


Banking equities, debt, and preferred equities of banks or bank holding companies, whether they are U.S. domestic or foreign, will not be purchased for the client’s account. While some diversified industrial companies selected may include financial activities, those activities related to lending and/or financial services are not a majority of the company’s business as measured as a percentage of annual revenues.


Types of equities eligible for investment include common and preferred equities, American Depository Receipts (ADR’s), real estate investment trusts (REIT’s) and master limited partnerships (MLP’s)  that trade on the New York Stock Exchange (NYSE), American Stock Exchange (AMEX), the National Association of Security Dealers  Quotation System (NASDAQ) or the Over-The-Counter Market (OTC). There will be no investment of shares of investment companies (mutual funds) with the exception of investments in equity index funds. Equity positions may consist of companies considered large-capitalization, mid-capitalization or small capitalization to be determined by the investment adviser. Accounts may be diversified among the various capitalization levels. The holding period of each security position will be determined by the investment adviser and may be either long-term (12 months or more) or short-term (12 months or less) depending on market conditions, gain/loss considerations and/or earnings expectations, all to be considered in context to the value of the portfolio and the total equity exposure deemed appropriate by the investment adviser.


The investment styles offered involve risk and are not suitable for all investors.  Principal loss is possible.  Investment strategies may be concentrated, which means a client may be invested in a single security or industry that comprises a significant portion of their total investable assets and as a result, these strategies may be more susceptible to a single adverse economic or financial occurrence affecting one or more of these issuers and returns may be volatile.



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