Investment Management Team

Centralized Investment Management Team

 

Chief Investment Team

Chief Compliance Offiicer

Portfolio Trade Desk

Client Services Team Department

Information Security Department

Chief Investment Team

Guided by a Nobel Prizing Winning Investment Philosophy and a legacy of three decades of knowledge and expertise in tax services, advanced planning, and investment advisory services to support it’s clients.

Tom Griffiths 1965-2023

Founder
CPA, MBA, PFS, ABV

Through a combined 30 plus years in tax services, financial services, and investment advisory services, founder Tom Griffiths developed an investment philosophy that emulates a Nobel Prize Winning approach, designed to provide a positive impact and maximize the investments for the firm’s clients and their portfolios.

His insights, decision-making, and guidance are the foundational principles behind the successful Investment Management Philosophy model that continues to be followed throughout Griffiths, Dreher & Evans, PS, CPAs.

Today, the role is shared by our Chief Investment Team, Senior Advisors, whose responsibilities include:

  • Responsible for setting the investment style and strategy of the firm’s investments.

  • Manage and oversee investment fund selection and the Investment Portfolios & Asset Allocation.

  • Lead the overall Investment Management Team who execute and maintain client accounts, compliant with the principles of the firm and the SEC.

Chief Compliance Officer

Alec Griffiths

Partner I CPA, AAMS, APMA, WMS

Works with management and staff to identify and manage regulatory oversight across all portfolios and levels of the firm.

  • Maintain the firm’s compliance with its outside regulatory and legal requirements.
  • Validate the firm’s compliance with its internal policies and bylaws.
  • Maintain a Code of Ethics & monitor employee compliance.
  • Analyze investment advisory practices so they align with best practices.
  • Manage the organization’s internal controls that adequately measure and manage risk factors.

Portfolio Trade Desk

Kristen Pierce

Portfolio Manager

Responsible for executing the trading – or buying and selling of securities according to each client’s asset allocation.

  • Onboard new accounts.
  • Align portfolio with selected asset allocation. Execute trade requests per asset allocation of the client.
  • Manage and reconcile all portfolio activities including trades.
  • Handle all day-to-day account management.

Client Services Team

Alec Griffiths

Partner I CPA, AAMS, APMA, WMS

Implements and maintains each client’s account, helping navigate the client and portfolio through a variety of processes.

  • Onboarding Support.
  • Suitability Report Management.
  • Issuing of Regulatory Reports.
  • Client Inquiry Responses.
  • Ongoing Communications and Reviews.

Information Security Department

Responsible for securing data and information from all forms of theft, abuse, or loss, as well as protect data at different stages- whether it is while in storage, transfer, or in active use.

  • Use and maintain software, such as firewalls and data encryption programs.
  • ​Check for vulnerabilities in computer and network systems.
  • Establish security protocols to identify and neutralize threats.
  • Document and disseminate information security policies, procedures, and guidelines
  • Monitor organization’s networks for security breaches and investigate when one occurs.
  • Client tech support outreach.