Brian Sly and Company, Inc. is a Registered Investment
Advisor with the state of California.
Brian Sly and Company, Inc. was established in 2010 as the
successor company to Brian Sly and Company, a sole
proprietorship that Brian established in 1994 after 11
successful years in the retail stock brokerage industry.
His desire was to expand and enhance his money management
services and investment opportunities for his clients.
Brian offers investment management advisory services for
publicly traded stocks and bonds. These services match
client investment objectives and risk tolerances with
Nobel Prize winning economic research and methodologies.
Brian began his investment career in 1983 as a Financial
Consultant with Merrill Lynch in San Francisco, CA. He
achieved President's Council performance in 1984, 1985 and
1986 and achieved Chairman's Council performance in 1987
Brian was recruited and accepted a position as Vice
President - Investments for Shearson Lehman Hutton in 1988.
He achieved the $1 Million Club in 1989 and was ranked in
the top 1% of all brokers worldwide for Shearson.
He was recruited and accepted a position as Senior Vice
President - Investments for Prudential Securities in 1990.
During his tenure, Brian was ranked in the top 1% of the
Western Region in the Managed Assets Consulting Services
/ Money Manager Program.
Brian Sly and Company, Inc. is an S Corporation registered with
the State of California as a Registered Investment Advisor.
Nothing on this website and email, including any attachments,
should be construed as an offer to sell or as a solicitation of
an offer, or a recommendation, to buy any interest in any
investment or other product. This website and/or email may
contain information on investments that are high risk and
have substantial risk of principal loss. It is for
informational purposes only and may not be relied upon.
Statements in this communication that are not statements of
fact are merely opinions or forward looking statements from a
potentially biased source(s) that involve known and unknown
risks, uncertainties and other factors that could cause actual
future results to differ materially from any prior or projected
results. Statements in this communication may be inaccurate
and/or unsuitable for you. You must perform your own due
diligence. Your investment decisions should always be made based
on your specific financial needs, suitability, objectives, goals,
time horizon and risk tolerance. Any decision is at your sole
discretion and at your sole risk. You are advised to consult
with your individual investment, legal and tax professionals
before making any investment. Brian Sly and Company, Inc. is
not a CPA or tax professional and accepts no responsibility for
any tax issues, consequences or monies due for any reason from
your actions or inactions. Brian Sly and Company, Inc. is not
your investment advisor and has no obligation of any type or
kind to you unless you have a current, signed and paid advisory
contract with the Company and only then for the specific services
and terms contracted. The advisory contract limits and defines
all responsibilities. Past performance is no guarantee of
What Brian Sly and Company, Inc. Offers
Investment Management Advisory Services
for Publicly Traded Stocks and Bonds
Brian Sly and Company, Inc. matches client investment objectives
and risk tolerances through a proven money management process
based on Nobel Prize winning economic research.
Using state-of-the-art portfolio design and diversification
techniques, Brian offers customized investment programs that
are created to meet your financial goals while keeping within
your risk parameters.
Helping Clients Help Themselves
Brian Sly and Company, Inc. can demonstrate methods that show
- How much you need your money to earn to get where you want
- How much you need to invest to get where you want to go.
- What your portfolio may be worth
In Five Years
In Ten Years
in Twenty Years
- How to quantify and control the risk in your portfolio.
- How to reduce your risk in declining stock, bond or income
- How to maximize your return based on the risk profile that
you set in advance.
With over three decades of investment experience, Brian's
success is built upon a commitment to provide comprehensive,
personalized money management services for his clients.
Individual Service, Institutial Quality
1. Detailed individual consultation to determine specific
financial goals, methods for achieving these goals and
2. Use of research methodology based on principles that won
a Nobel Prize in Economics to diversify money among stocks,
bonds and cash based upon the greatest historical rate of
return for any given level of risk.
3. Access to proven institutional money management firms
through a diversified portfolio of no load, low expense
4. Automatic re-balancing of asset classes with the goal
of maximizing return and minimizing risk over market cycles.
5. Consolidated, detailed statements with extensive tax
reporting and portfolio analysis.
This methodology is used by many of the nation's largest
pension funds and meets the government's strict Employee
Income Retirement Security Act ("ERISA") "Prudent Expert"
fiduciary requirements. The result is a comprehensive, well
diversified portfolio that seeks to provide the greatest and
most consistent return for any given level of risk.
Knowing the Client - Statement of Investment Objectives
With Brian's guidance, the client's first step is to develop
and agree upon a personal Statement of Investment Objectives
which controls the entire investment strategy. A structured
dialogue establishes specific financial goals, time frames
for accomplishing these goals and risk assessment.
Great care is taken to avoid exposing a client to more
volatility than can be accepted, either financially or
psychologically. This can significantly reduce the chances of
abandoning a well-designed portfolio during periods of
short term market variability.
Clients come to understand that over the long term the
challenge is not only in the performance of the financial
markets, but in the investor's behavior and reaction to
that performance when viewed on a short term basis.
Asset Allocation and Portfolio Diversification
Brian's investment methodology is based upon research which
won the Nobel Prize for Economics in 1990. This research,
called Modern Portfolio Theory, showed that over 90% of a
client's long term return can be attributed solely to the
asset class in which he invested. Primary examples are stocks,
bonds and cash. These broad asset classes can be separated into
their meaningful "style" sub sets, each of which has its own
distinctive risk and reward characteristics.
This research is utilized to determine an asset mix of
stocks, bonds and cash and their various style subsets,
structured to maximize return and minimize risk over the
long term. The result is a well-diversified portfolio that
is designed to achieve the required goals while acting as
a shock absorber against short term volatility. Fewer
surprises mean that clients sleep better.
Building a Portfolio
This analysis creates a series of strategic investment
selections ranging from conservative capital preservation
portfolios to highly aggressive global growth portfolios.
The common characteristic of each portfolio is that it
is specifically designed to help provide the greatest and
most consistent return for its stated level of risk.
Brian provides the methodology, the tools, and the
discipline to help clients achieve their goals over
the long term.
Once specific investment styles that add value to a client's
diversified portfolio are defined, a search is done to find
a money manager for each investment style. Key criteria are
the firm's performance, philosophy, organization, discipline
The managers selected apply their expertise to that
specific portion of the client's portfolio that has
been allocated to their investment style.
This provides the client with disciplined investment
management through a team of specialist money managers
actively working to add value in their niche area of the
market. This synergistic combination of specialist managers
is one of the keys to the program's success.
These managers are continuously reviewed and analyzed. Each
one is compared to a specific benchmark to measure long term
performance and stability of returns.
Detailed quarterly performance reports and monthly statements
are used to monitor the overall portfolio as well as its
separate components to assess whether or not the client's
return expectations are being met within their risk tolerances.
Thus, Brian's clients benefit from the same sophisticated
money management techniques employed by large institutional
This program of consulting services, portfolio optimization,
investment implementation and performance monitoring is
provided on a fee basis. No commissions are charged,
reducing the potential for any conflict of interest. The
advisory fee is based on a percentage of the assets
under management and varies with the size of the account.
No load, low expense ratio mutual funds provide a
cost effective solution. The value added by this
methodology can be significant.
The minimum investment in this program is $250,000.
To Learn More
If this approach appeals to you or your company, if you
manage fiduciary assets, or if you would like to find out
more about this process, please contact Brian Sly for a
Clients of Brian Sly and Company, Inc.
The ideal client of Brian Sly and Company, Inc. is an
An "Accredited Investor" is defined by the United States
Securities and Exchange Commission and meets at least one of
the following three criteria:
1. An individual net worth (excluding the value of your home),
or your spouse and yourself have a joint net worth (excluding
the value of your home), in excess of $1,000,000.
2. An individual income of more than $200,000 in each of the
last two calendar years, and a reasonable expectation to have
an individual income in excess of $200,000 in the current
3. A joint income with your spouse of more than $300,000 in
each of the last two calendar years, and a reasonable
expectation to have a joint income with your spouse in excess
of $300,000 in the current calendar year.
A client must be able to accept an investment both on a
psychological as well as a financial basis. The client must
be able to bear the full economic risk of the investment and
not have it affect the client's current or future lifestyle.
Contact Brian Sly & Company, Inc.
If this investment methodology appeals to you or your
company, if you manage fiduciary assets, or if you would
like to find out more about this process, please contact
Brian Sly for a confidential appointment.