At Fabian Capital Management, we take a concierge approach to designing and implementing an investment game plan on your behalf.
This starts with a one-on-one conversation to better understand your financial goals, account structure, investment experience, asset allocation, and more. We typically like to discuss your risk tolerance, as well as time horizon, to get a good feel for the strategy that will best suit your needs. In addition, we answer all of your questions about our portfolio review and investment management services.
The next step in our review process involves you sending over a copy of your statements so we can review the current mix of investments and discuss what changes we would make to the portfolio. Often times clients have positions we will continue to hold if they are adding value, and we will recommend selling positions that are dragging down performance. With every legacy position we keep, we determine a sell discipline and actively monitor it with our other core holdings to ensure the portfolio is structured for success. In addition, we may recommend consolidating accounts to reduce the burden of tracking and managing your nest egg.
If you ultimately decide that working with us is the best course of action for your money, we will promptly send you our (1) Investment Management Agreement, (2) Investment Objectives Questionnaire, (3) Fidelity Account Applications, (4) and Fidelity Transfer Forms. When you receive this packet of information, we walk you through all of the documentation and answer any questions you might have.
Once we receive the signed and completed forms back to our office, we immediately begin the process of opening up your accounts and transferring the assets automatically with no further work required on your part. Our number one priority is to ensure this process is completed swiftly and flawlessly to ensure the continuity of your account structure and investments.
Finally, when the assets have arrived at Fidelity and are ready to be shifted into our portfolios, we will review the investment strategy with you and begin implementing a transition plan on your accounts. We will then keep you updated along the way as we begin to purchase the ETF and mutual fund holdings that are the last step in our getting started process.
If you are ready to take the first step to securing your future, Contact Us today to learn how we can work together to achieve your goals.
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Frequently Asked Questions
What type of communication do we receive as a client?
At our firm, communication with clients is a top priority. That is why we offer annual portfolio reviews, quarterly update calls from our executive team, and an exclusive client memo that is mailed to you each month. In addition, we regularly send all of our clients performance reports so that you can review the progress of your account and we email you any time we make a change to our portfolio allocations.
You should never feel like you are out of touch with our strategy or your account, but in the event that you do, please don’t hesitate to call our offices directly and speak with a principal of the firm. We make ourselves available to you to answer any questions. Our phone number is (888) 823-8111.
Can I watch what FCM is doing with my money?
When your accounts are at Fidelity, they are in your name with direct access to your account at all times. The accounts can be monitored 24/7 at www.fidelity.com. In addition, you will receive monthly independent account statements from Fidelity that show you the positions in your account and any transactions.
Can I work with FCM if I live out of state?
Yes! We have clients spread out all over the country, with the majority located outside of California. We overcome this small obstacle by adhering to a strict communication plan, thereby keeping our clients informed of exactly what is happening with their accounts or any changes to our strategies. Every client also has the ability to log in to Fidelity.com at any time for an up-to-the-minute view of their account value and holdings.
If I need to make a change to my account, do I contact you or Fidelity?
Fabian Capital Management is your primary point of contact for all account service needs. We pride ourselves on providing world class customer service to our clients and keeping them up to speed on their portfolios. You can call our offices any time Monday through Friday between the hours of 8 a.m. and 4 p.m. Pacific Time. Our phone number is (888) 823-8111.
Many account functions are also available online at www.fidelity.com or by calling Fidelity directly at (800) 544-6666.
Can I trade on my account?
When you are a client of Fabian Capital Management we restrict the ability for you to place an online trade on your account. This is because we don’t want you and our traders using the same cash on the same day to buy or sell a position. Instead, we encourage you to call our offices if you wish to place a trade for a specific security. We would be happy to advise you on a particular strategy and implement these trades on your behalf at no extra charge.
How do I add money to my account?
There are several ways that you can add money to an account that we manage. You can either send a check, or complete a wire transfer of funds directly to Fidelity. Make sure that you make the check payable to the name of the account, or Fidelity Investments, and write your account number on the check.
You also can send a check to our offices and we will forward it on to Fidelity on your behalf. DO NOT make the check payable to Fabian Capital Management unless you are paying management fees.
If you are making an IRA contribution, make sure that you note the year that the contribution is for.
How to I access my capital if I need to make a distribution or withdrawal?
There are two methods of accessing cash in your account: 1) If there is cash available in the account then you can request a check or wire transfer directly through your online login at www.fidelity.com. 2) If you need to free up cash by selling securities, then please call our offices at (888) 823-8111 and we can make those adjustments for your account and send you a form to distribute the amount of funds you require.
Keep in mind that if we need to sell positions, there is a three day settlement period for all securities transactions in the account before the cash is made available for distribution.
How do I change my investment objective?
We will review your investment objectives on an annual basis to make sure that your assets are properly positioned to meet your risk tolerance and goals. In some circumstances, clients may want to switch from a more aggressive to a more conservative portfolio (or vice versa).
If this is the case, we encourage you to call our offices to review your objectives and determine if another portfolio may be better suited to your needs. We will then send you a Change of Investment Objectives form that will need to be signed and returned to our offices to before we make any changes.
Remember that it is up to you to inform us in writing of any changes to your investment objective.
What do you mean by a Sell Discipline?
Fabian Capital Management implements a sell discipline on every position in your portfolio because we believe that risks must be managed according to strict guidelines. We set our sell points based on technical chart patterns, trend lines, and percentages off of the funds high water mark. Each sell discipline is unique to the investment that we have selected.
Keep in mind, that we don’t use hard stop losses on any positions. Our traders are alerted when a security falls below a pre-set point and we then are able to make an informed decision on the type of trade to place. We monitor our portfolios every trading day.
