TAX & FINANCIAL MANAGEMENT

Overview

Tax & Financial Management is a small, independent registered investment adviser operating as a sole proprietorship that serves individual and family clients. The firm blends fee-based portfolio management with commissionable insurance products, reflecting its dual role as an adviser and insurance broker. Investment activity centers on publicly traded pooled vehicles—primarily mutual funds—and the practice emphasizes financial planning, portfolio management for individuals and small businesses, and client education through newsletters and seminars. The firm is not positioned as an active ESG investor and does not present itself as a multi-state or institutional capital allocator. Portfolios appear constructed around diversified mutual fund sleeves rather than concentrated individual equity positions or broad use of third-party alternative fund managers. Insurance products and annuities are used alongside mutual funds to meet income, tax-deferred growth and risk-transfer objectives for clients.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices