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
Kelly Klossner
Client Services Specialist
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.