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The Investment Manager (AFA) is a full-time salaried position (based upon a standard 40-hour workweek) which supports the core business operations of Centerstone Family Wealth Advisors franchise, a Private Wealth Advisory Practice of Ameriprise Financial, Llc.  The Investment Manages is primarily responsible for developing and implementing investment strategies for clients under the direction of senior advisor(s).  The position is focused on the analytical side of investing rather than the sales aspect.  In addition, the Investment Manager role is the heightened level of technical proficiency in the skilled handling all fund research.  The Investment Manager consistently demonstrates solid understanding of Centerstone Family Wealth Advisors Ameriprise Financial, Llc.  This includes the skilled handling of financial transactions and trades under advisor direction and within FINRA and Ameriprise Financial Services, Llc. strict guidelines. Responsibilities, therefore, include creating and managing investment allocations for clients under the direction of the senior advisor(s).  in charge of day-to-day investment transactions. 

Need to be competent in reviewing and interpreting client’s financial statements, examine client data for accuracy and completeness, enter data into various financial analysis software. Knowledgeable in analyzing complex client financial situations and prepare financial planning recommendations for discussion with Advisor.  Help Advisor prepare for client meetings by working on various solution scenarios. As needed, be able to conduct and/or participate in client meetings to present recommendations/deliver advice.

Required efficiency in Microsoft office suite and financial tools (such as Morningstar Advisor Workstation, Moody’s, Thomson One, and Vestmark brokerage platform, etc.).  This person will be expected to interact with clients and wholesalers and have strong interpersonal communication skills.  As needed this person may be asked to help with other office duties such as marketing, office campaigns and community involvement. 

Key daily activities in addition to the above are the continued provision and strengthening of client relationship through managing, gathering and analyzing client data, helping prepare preliminary investment strategies, working with clients to resolve issues and other practice management duties as needed.  Responds to ad hoc requests, coordinates/tracks projects and leads out in business-as-usual projects such as co-conduct Lunch & Learns.

Essential Position Functions include, but are not limited to:


40% Client Care 

  • Collaborates with and takes direction from all on-site Financial Advisors while providing meaningful business input and considerations to same
  • Drafts applications and initial product solutions for advisor review and use in client meetings; instructs Business Planning Assistant I in same.
  • Prepares and/or modifies charts, graphs, tables, illustrations, and other visual aids to be used in implementation meetings with clients and/or office business meetings.  Ensures completion in a timely manner.  Includes, but is not limited to PMT, Re-projections, GDC, RMDs, etc.
  • Apply applicable business knowledge and industry compliance standards in fielding client questions and provide readily available information to clients, if requested, as it relates to servicing their accounts
  • Review and update client information as needed for client review meetings. Attend and participate in client meetings if necessary
  • Resolve client service problems
  • Perform other duties as assigned by the financial advisor(s), within scope of licensing and other legal constraints.
  • Is called upon to represent Centerstone Family Wealth Advisors through participation in community events and positive public relations and in development of Centers of Influence. 

60% Investment Management

  • Reviewing, researching, creating, and reporting on potential investment strategies 
  • Making informed financial recommendations and decisions
  • Managing managed accounts, 401(k), and SRAs
  • Supports advisor(s) in developing appropriate product deliverables

Marketing and Client Acquisition

  • Prepare for and attend 401(k)  and SRA client’s in-service days and similar outreach & client touch points when needed
  • Participate in Centerstone Family Wealth Advisors client events as appropriate
  • Developed key relationships with fund companies’ representatives

Product Solutions 

  • Maintain required licenses and designations for this position, including staying up to date and current on all continuing education requirements.
  • Develop investment strategies for specific client cases as well as developing & maintaining overall practice management and investment philosophies
  • Attend local Ameriprise Financial training days (which may include FINRA credits)
  • Stay current with changes to products and/or new products and technologies, including attending WebEx conference, teleconferences, and learning via Ameriprise University
  • Monitor economy, markets, and world events to determine if any strategic rebalancing is needed

Team Practice Support

  • Collaboration with other team members for team practice processes evaluations and/or design
  • Field questions and provide service for clients of other advisors when they are out of office, including answering client service questions, accepting transaction requests, and placing transactions
  • Sharing of technical or specialized knowledge insights with advisors/team members as requested or needed
  • Run, format, and analyze, when needed or requested, various practice reports including but not limited to Required Minimum Distributions, Managed accounts, Capital Gains estimates, and Morningstar Workstation reports.
  • Provide support for contracting advisor, as needed, in any of the previously mentioned areas.

This position will consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities.

Key Traits of a Successful Investment Manager

  • Thorough and penetrating analysis/in-depth research with a strong analytical foundation.
  • Have conviction with respect to investment recommendations and confidence to add to a position if fundamentals are intact but stock is down.
  • Ability to independently prioritize workflow and meet deadlines, and otherwise manage time efficiently
  • Strong work ethic
  • Direct attention to detail and organization
  • Conducts all client business in confidential manner
  • Excellent face-to-face and telephone communications.
  • Effective and positive verbal and written communication with clients and other advisors/staff
  • Ability to work effectively and positively within, and in support of, a team environment
  • Ability to multi-task and/or manage frequent interruptions
  • Ability to appropriately interpret, adhere to, and communicate applicable work procedures, policies, and regulations as stated and required by local franchise management, advisor, Ameriprise Financial and regulatory agencies.
  • Ability to support and provide guidance for compliance within the advisor’s practice
  • Computer literacy and ability to learn new electronic programs and platforms utilized within Ameriprise and local office environment
  • Exercises judgment, discretion, and diplomacy in the handling of myriad client and office-related internal and external business requirements.

Education and Other Requirements:

  • BS Degree preferred, or equivalent (combination of college and related work experience)
  • Minimum 2 years related experience
  • Must be detailed oriented, task and calendar driven, as the role involves timely task management to client service deadlines.
  • FINRA registrations and state licenses preferred; include FINRA SIE/Series 7, FINRA Series 66, and CA State Resident Insurance Producer with Accident and Health Agent, Life-Only Agent and Variable Contracts Agent qualifications. 
  • Will also be required to acquire & maintain non-resident insurance and outside state licenses for clients living outside of CA, as well as any additional state insurance licenses needed when supporting the clients on behalf of other team advisors.