ECM Private Client Group

Philosophy & Policies

Consistent Investment Policies Proven Successful For Over Thirty Years

It is the ECM Investment Management, Inc. philosophy that an investor need not take unusual risks to achieve outstanding results. We work to achieve our desired objectives by investing in conservative growth companies at what we believe are at opportune prices. We maintain that successful results can best be achieved by timely selection of quality companies with proven management, which are experiencing unusual earnings growth. This has been the hallmark of ECM's investment success.

The outlook for the economy, attractive sectors and the timing of events is critical to formulating our investment allocations. Such analysis helps us identify those industries and corporations that we expect to provide above-average earnings growth.

Conservative Investment Practices

We often build investment positions incrementally, if earnings and other business developments seem to confirm our initial commitments. Similarly, we also divest in stages as price targets are realized, or when adverse developments reduce our estimates for price appreciation. We believe this painstaking approach reduces risk and improves investment results.

We continually monitor and review the businesses in which we invest, and are frequent participants in quarterly conference calls with corporate managements. Our portfolio managers speak to or meet with members of senior management of investments in which we hold for clients, and with industry analysts on a regular basis. We feel that this is very important, and something that most small individual investors cannot do.

Our portfolios are generally concentrated, composed at any given time of no more than 20 to 30 carefully selected securities. We must believe that each investment is compelling on its merits and that it will contribute to the portfolio performance.

We believe that investment success is achieved by making timely investment decisions in the right sectors of the marketplace; whether it be individual equities, bonds, or U.S. Government securities.

Dedication

ECM's professionals know what it means to be counted on. Our clients, many of whom have been with us for decades, know that unlike many other firms or mutual funds, they have direct access to their Portfolio Manager. We are very hands on and results-oriented, and take steps to protect client assets during periods of adversity. At ECM, you will have a customized portfolio designed to meet your unique financial goals. Most mutual funds and brokers don't generally shift away from stocks in anticipation of a bear market. Our expertise in global investment opportunities affords us the ability to shift assets in an effort to protect client's investments.

Our success is tied directly to yours. At ECM, we have no products to sell, nor any conflicts of interest. 100% of our revenue comes from our attractive fee schedule from investment management. Our fees are based solely on assets under management, not on commissions.

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