Charney Investment Group_Advisor Brochure

BUILT BY ADVISORS, FOR ADVISORS.

Our Process

At Charney Investment Group, we have a clear process for managing our clients’ financial strategy. We call it LEAP. LEAP begins as a discovery process by which we get to know clients’ unique goals, financial and otherwise. We recognize that ours is an ever-changing industry, and we continually adopt innovative practices.

The Charney Mission

To offer holistic investment and financial planning strategies to individuals who want to grow their wealth and secure their financial future.

Learn about our clients and their priorities we recognize they are individuals with unique financial goals.

Earn our clients’ trust we promise to act with the utmost integrity.

Adopt new strategies

just like our clients, we are always learning in this ever-changing industry.

Personalize

our clients’ financial plan

we don’t believe that one-size fits all.

The support you need when you need it. The autonomy you want when you want it.

The Charney Investment Group partners with Prospera Financial Services – a new breed of independent broker dealer firm where the advisor leads the charge, individuals define their own brand of success, and the highest level of service comes standard. Founded in 1982 – by advisors for advisors – Prospera’s growth has been fueled by partnering with one of the nation’s largest securities firms, Wells Fargo Clearing Services (First Clearing). Our relationship with Prospera means you’ll enjoy the best of two worlds—the hands-on expertise and attention of a boutique, service-driven culture and the resources of one of the largest broker dealers in the country.

Benefits of Charney Investment Group’s partnership with Prospera

Trust: it’s a two-way street

A company is only as good as the values it’s built on – and that’s why we uphold principles and values of the highest integrity.

A firm that has your back

We’ve got your back – really, we do. We’re founded on integrity – and we serve advisors with trust and respect.

Selectivity: we’re about quality, not quantity

Who you are matters: you’ll be a name, not a number. Our selective process assures you’ll always be an extended member of our family while also defining your own brand of success.

More access, less bureaucracy

We’ve got the sophistication of Wall Street married with the warmth of a boutique firm…and our focus is on you and getting things done.

Freedom: you’re the boss

Freedom to grow your business. Freedom to do what is right for your clients. Freedom from a one-size-fits-all megafirm.

Advisors have a voice

We were built by advisors, for advisors. It’s really that simple. We’re an independent boutique firm where the advisor leads the charge, defining their own brand of success. We are privately owned, so our accountability is to you – not a private equity firm looking for an exit.

Unmatched advisor support with gold standard service

Gold standard service. It’s our motto – and it’s our aspiration. Our service standards are second-to-none. Our partner, Prospera, has implemented over 100 service standards to support our advisors their businesses.

Transition support (a one-stop shop)

Transitioning your business doesn’t have to hurt. We’re experienced in protocol and non-protocol transitions and we’ve built a turnkey system to make your move as easy as possible. Rest assured that our dedicated team of industry-experienced professionals will deliver a seamless experience for you and your clients.

Work on your business, not in your business: The Charney Investment Group advantage

Own your business and when you’re ready, realize the value of your practice with Succession Your Way

Technology with horsepower…with tech overlays that provide access and flexibility

Benefits of independence without the full responsibility

Support of full-service resources

More control over your business without more responsibility

Path to partnership – potential to buy-in when you’re ready

ADVISOR OPTIONS

Our clearing partnership

Prospera has a clearing relationship with First Clearing¹. Both you and your clients can expect to receive outstanding service, access to industry expertise, competitive lending and banking products, and support for all of our products and services—giving you an edge in helping yourself and your clients reach short- and long-term goals.

Tools you can take anywhere

The Black Diamond Client Experience is more than a portal, it’s a gateway to an immersive digital hub. You will have access to guide your clients on their financial life journey – setting goals, navigating major life events, making important decisions, and celebrating successes. By uniting portfolio management and comprehensive reporting with your client’s experience, you can showcase the strategy you have developed while building relationships and meeting long-term financial goals. Our partnership with Black Diamond offers a bestin-class/industry-leading portfolio management and performance reporting platform.

Developed in house by Prospera on the Salesforce chassis, COREngine is a one-stop-shop advisor platform including CRM, online document storage and data aggregation. Through COREngine, advisors and their staff process paperwork and can track its process in real time. COREngine also provides reporting and analytics, auto-form filling, and customized workflow processes. This paperless portal provides efficiency on the go, with a cloud based portal, advisors can access their accounts anytime, anywhere.

eMoney is a tool that allows clients to aggregate all of their financial information into one streamlined platform that offers real-time interaction with you as their financial advisor. Clients can gain full control of their finances with the ability to follow trends and see where they stand in relation to their financial goals. eMoney is a secure financial planning tool and highly rated in the industry. Many financial advisors add this on as an additional cost to their clients, but Charney Investment Group offers it to clients at no cost.

Nasdaq Dorsey Wright

Since 1987, Nasdaq Dorsey Wright has been a research provider to financial professionals on Wall Street and around the world. Their expertise is Point & Figure technical analysis, using Relative Strength as a core tactical engine for constructing managed portfolios, investment products and a research platform that is accessible to all investment professionals at Prospera. Advisors and institutions around the world depend upon the firm for global market insights and investment solutions. Nasdaq Dorsey Wright strategies are available within a variety of investment vehicles at Prospera, including ETFs, Mutual Funds, UITs, and a suite of Managed Accounts within PFS Models.

ABOUT PROSPERA FINANCIAL SERVICES

Break free for success your way.

With our partner, Prospera Financial Services, we offer a number of products and services tailored to your exact business needs. We have the power and experience to get you where you want to go. Our combined heart and passion have always been in providing our advisors with whatever you need to achieve your dreams. Paired with the Charney Investment Group, when you join us, that’s exactly what we’ll help you do.

Go big or go boutique?

Prospera’s growth has been fueled by our partnership with some of the nation’s largest securities firms. So, working with Prospera means you’ll enjoy the best of both worlds—the hands-on expertise and attention of a boutique, service-driven culture and the resources of some of the largest broker dealers in the country.

A PARTNERSHIP WITH CHARNEY INVESTMENT GROUP & PROSPERA BRINGS BIG BENEFITS.

INDEPENDENCE

There is nothing that gives us greater joy than seeing our advisors reach their full potential-no matter what that looks like to you. As a firm built by advisors, we understand the challenges and opportunities you have as a professional business owner. Chances are that even if you are already independent, you are not quite as independent as you would like to be. And that’s why we’re here.

FLEXIBILITY

SUPPORT

No matter what your dreams are or how you define success, we provide the flexibility to customize our offering for you. Whether you would like to tap into our practice management system, need help setting up a fee-based model or want to work with your own money manager from home, we have experts to help. With access to all of the products and services of the largest wealth management firms in the country, the mindset and service-driven culture of a boutique firm and the additional support at Charney Investment Group, you’ll receive every bit of our attention on serving and exceeding your needs.

Gold standard service.

Inspired by Ritz-Carlton, delivering gold standard service is a mission of Prospera that we continuously strive for in every interaction with our clients. That’s why, in April 2014, Prospera executives completed a week-long Ritz-Carlton “boot camp.” Since then, employees have adopted practices and values that we can incorporate each day at work and at home. We also keep visual reminders like our credo cards, which list the 28 fundamental behaviors that drive our values, along with Key Success Factor pyramids on our desks, which keep us goal-focused.

Always working to help you grow - and thrive.

At Prospera, we listen to our advisors to create valuable experiences that help you find Success Your Way.™ We have a robust schedule of advisor and client services associate conferences along with webinars, smaller regional meetings and other training opportunities for you and your staff on a variety of topics. In addition, we have advanced training opportunities in business development, practice management and succession planning to help you approach your practice as a well-informed business owner.

THE CHARNEY INVESTMENT GROUP TEAM

Doug Charney, President

Anchoring the Charney Investment Group is Investment Officer, Doug Charney. Doug attended Pennsylvania State University in Harrisburg on an Army ROTC scholarship, earned a bachelor’s degree in business administration, and received the George C. Marshall Award – the top ROTC recognition – as a distinguished military graduate. After serving in the U.S. Army and retiring with the rank of captain, he began his securities career, completing advanced studies in retirement planning and asset allocation along the way. Among many designations Doug has earned throughout his career, he is a Certified Fund Specialist and has served as a member of the Investment Management Consultants Association and the American Society of Pension Professionals and Actuaries – and currently serves on the Pennsylvania State University - Harrisburg Board of Advisors, in addition to Chairing the School of Administration’s Board of Advisors.

Tim Boyd, Director of Sales

Tim joined Charney Investment Group from State Farm, where he specialized in retirement planning, wealth management, and life insurance. Tim’s stated mission is to “enhance the quality of life of my clients,” and he shares Charney Investment Group’s commitment to always put our clients first. A graduate of the Drexel University co-op program, Tim began his career as an Equity Options Trader on the Philadelphia Stock Options Exchange in 1983. Throughout the years, Tim’s career has held a plethora of significant and rewarding roles, including founding(and selling)an equity options specialist firm in Chicago – Beartooth Capital – which was located on the Chicago Board Options Exchange; operating an import/export business; guiding clients as a financial advisor at Northwestern Mutual; and serving as the Board Chairman for Bridge Communities, a nonprofit whose mission is to serve homeless families.

Mike Ross, Associate Financial Advisor

A seasoned professional with over 35 years of financial services experience, Mike joined the Charney Investment Group team in 2024. Previously with Members 1st FCU, Mike’s approach as a conservative, knowledgeable advisor has been pivotal in educating his clients about investment choices and risk management. Michael excels in analyzing financial products and simplifying complex concepts for better understanding. Mike also spent over 20 years at GM Financial Advisors where his role encompassed a broad range of responsibilities, including stock and mutual fund analysis, model management, trading, billing, performance reporting, and ensuring compliance.

Amanda Barnett, Director of Operations

Jared Brewer, Client Associate

Lynne Shirk, Office Manager

DanaLynn Gard, Client Associate

Rachel Balsavage, Client Associate

OUR PARTNERS AT PROSPERA FINANCIAL

Tim Edwards Co-Chief Executive Officer

David Stringer Co-Chief Executive Officer

Chris Bravender Fixed Income Manager

Tarah Williams President & COO

Marco Galvan Director of Technology

Shawn Baxter Director of Compliance

Paul Keeton Managing Director, Investments & Advisory Solutions

Hilary Pluemer Chief Administrative Officer

Ken Manning Director of Platform Solutions

Tamekia Thompson Director of Operations

Katie Mohan Marketing Manager

Kim Utz Director of Advisor Services

Tony Montanari Senior Vice President, Business Development

Chris Wigington Director of Trading Solutions

An entire system to help you transition – Launch your way.

Transitioning your business doesn’t have to hurt. Although we know that you’ll need to dedicate a lot of time to personally contacting your clients and explaining your move, we’ve built an entire turnkey system run by a team of dedicated professionals to make it easier.

The members of our transition team are in a league of their own because of their ability to streamline the process to help your move go as smoothly as possible. This is due in large part to our experience of more than 40 years of honing our process and training our personnel to help you every step of the way.

Launch Your Way is a unique protocol that walks you step-by-step through the transition process so that by transition or launch day, there aren’t any surprises. This is especially helpful if you are transitioning to an independent firm for the first time. Protocol or non-protocol, second generation independent or just taking the leap, if you have an abbreviated timeline or one that spans several months, these are all areas that are used to build your site. My Launch Kit is fully customized with the forms and information that only pertain to you- and it will keep track of the percent of required affiliation paperwork you have completed so that you always know where you stand. It’s hard to take a misstep with a system and dedicated specialist guiding you every step of the way.