Investment Management Team

Centralized Investment Management Team

 

Chief Investment Team

Chief Compliance Officer

Portfolio Trade Desk

Client Services Team Department

Information Security Department

Chief Investment Team

Guided by a Nobel Prize-Winning Investment Philosophy and a legacy of three decades of knowledge and expertise in tax services, advanced planning, and investment advisory services to support its clients.

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Tom Griffiths 1965-2023

Founder
CPA, MBA, PFS, ABV

Through a combined 30 plus years’ experience in tax, financial, 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:

  • Sets 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

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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

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Kristen Pierce                  Halle Hober

Portfolio Manager                                     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

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Kelly Klossner

Client Services Specialst I Partner 

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

Illustration of a yellow folder with binary code (01010101010101) across it, accompanied by a blue padlock symbolizing data security. This image represents the concepts of digital file organization and cybersecurity, highlighting the importance of protecting sensitive information. Ideal for discussions about data management, encryption, and online safety practices.

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.