Investments and Brokerage

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Managed Account Programs

Through our partnership with UVEST Financial Services Group, Inc., a broker dealer registered with FINRA and a SEC registered investment advisor, our customers have access to institutional investment managers who seek professional portfolio management. UVEST's professional portfolio management programs are appropriate for individual and institutional investors, and utilize an extensive customer profiling process to help the client determine the most appropriate asset allocation and investment style. Clients receive comprehensive account reporting as well as ongoing consultative services from their financial consultant.

Professional portfolio management for the serious, objective-oriented investor
Investment decisions made today will determine your standard of living tomorrow. Managing your financial affairs to comfortably meet your future needs may be one of the most challenging tasks of your lifetime. Today, you—the serious, objective-oriented investor—are faced with a virtually unlimited number of investment choices, the selection of the right investment strategy, and your ability to implement this strategy. Professional asset management through UVEST guides you through this process and helps you attain your long-term financial objectives.

Your Financial Consultant and you: a tailored service approach
Selecting the appropriate program, one which provides the investment discipline required to help you meet your financial goals, begins with the formulation of your own investment strategy. Your Financial Consultant is prepared to assist you through the completion of a unique Investor Profile Questionnaire that will help you determine your investment goals, your attitude toward risk, investment preferences, and expected cash flow requirements. Your UVEST Financial Consultant will use the information gathered to help determine your investor profile and formulate an investment strategy that utilizes an appropriate asset allocation in consideration of your specific financial objectives.

Program selection
The investment manager for each program was selected specifically on the basis of experience in various investment disciplines and asset allocation classes, long-term investment performance, and other quantitative and qualitative criteria. Based on your investor profile, your UVEST Financial Consultant can help you choose one or more appropriate programs for your consideration.

And your UVEST Financial Consultant will continually keep a watchful eye on your account, helping you to interpret portfolio performance and acting as your liaison with the team of professionals managing and maintaining your account.

Informed investing
Each quarter you can look forward to receiving a comprehensive report detailing the performance of your program account, complete with historical performance. Your UVEST Financial Consultant will be available to review the report and your account's progress with you. Should conditions warrant, your UVEST Financial Consultant will be prepared to advise on any changes to ensure continued conformance to your financial profile and selection standards. In addition to your quarterly performance evaluation, you will receive a periodic statement of account activity and asset reporting.

Securities held in custody by Pershing for your program account receive the highest level of account protection in the marketplace today—unlimited account protection for the securities and cash awaiting reinvestment held in custody by Pershing for your account. Of this total, Securities Investor Protection Corporation (SIPC) provides $500,000 of coverage including $100,000 for claims for cash awaiting reinvestment. The remaining coverage is provided by Pershing through a commercial insurer. The account protection applies when a SIPC member firm fails financially and is unable to meet obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments.

All-inclusive fee
Through our arrangements with UVEST, you benefit from a program in which the management fee is based on value rather than transactions, commissions, or ancillary professional fees. This means that you limit your costs and know in advance the total management fee associated with the management of your account.*

* Please refer to the VISTA Manager Direct investment advisory agreement for a full breakdown of fees associated with this service.

How to get started
Southern Investment Services endeavors to build life-enhancing relationships by helping clients identify and achieve their goals. We have contracted with UVEST tp provide our customers with a team of dedicated professionals committed to providing quality service through sound planning, insightful advice, proper asset allocation and professional management. When you select the program that is right for you, simply ask your UVEST Financial Consultant to initiate the procedures to enroll you in that program.

• Consultative Account


• Mutual Fund Wrap


• Multi Strategy Accounts


• Separately Managed Accounts

Securities, investment advisory services, and insurance products offered through UVEST Financial Services and its affiliates, member FINRA / SIPC and a SEC registered investment advisor UVEST and Southern Investment Services are independent entities.