Telephone: 0151 236 8200

Traditional Investment Advice

Many of our clients are experienced investors and are willing and able to manage their own investment portfolio but they value the opinion of our investment team, supported by our in-house research, when considering their final decision.

Our Traditional Investment Advice service is naturally more passive and therefore lends itself to those who are able and willing to monitor their own portfolio, but who occasionally may need to consult an investment professional. You can discuss with your account manager and other members of the investment team specific investment ideas but we do not continually monitor or engage in active management of your portfolio. We may, however, review your portfolio and recommend investments from time to time based upon our knowledge of you and your requirements.

Our traditional investment advice service involves:

  • recommending specific investments to you from time to time which we consider suitable for you and based on the information we have on your personal circumstances, investment objectives and risk profile;
  • such recommendations can be triggered by a request from you, or may be initiated by us on your prior instructions – e.g. according to a pre-agreed schedule;
  • we monitor your portfolio at the time of making such recommendations, to ensure their suitability at that time ;
  • you then decide whether or not to accept the recommendations; and
  • if you accept the recommendations, you will specifically instruct us to execute the recommended transaction(s) on your behalf.

For clients with stock registered in their own name the services offered are:

  • Recommendations regarding your investments on an ad-hoc basis that are suitable for your investment objectives and attitude to risk.
  • A contract note and an explanation of the transaction will be despatched by the end of the next business day following execution of a trade.
  • Annual valuation.
  • Quarterly Newsletter.
  • Safe custody of certificates.
  • Investments made into non-certificated securities to be registered in our Nominee Company, or held to our order in another Nominee.

If stocks are registered in nominee, in addition to the above we offer:

  • The registration and custody of your investments to be in the name of our Nominee Company – Oakwood Nominees Limited or held to our order of another Nominee.
  • Advising you with regard to corporate actions that affect your investments.
  • Quarterly statement detailing collection of income.
  • Consolidated Tax Certificate at the tax year-end.
  • Remittance of income (if required).
  • Cash management of un-invested monies.

We do not undertake management of your portfolio and therefore do not charge a management fee for this service.  Commission charges apply on transactions undertaken and stamp duty may be applicable.  If our nominee or safe custody service is required then an administration fee will be payable.  Our Scale of Charges is available to download. 

Traditional Investment Advice