Our Consulting business is done under our corporate name, Oakmont Investment Advisors, Inc., and will take the years of statements and confirmations and input the data into our sophisticated portfolio management software. We are a PA state registered investment advisor firm that provides expert opinion, reports, testimony and consulting services for potential securities arbitration or trust litigation cases. We have given consultation on over 300 cases, providing services to either the claimant or the respondent side of the dispute.
Oakmont Investment Advisors, Inc. will take the years of statements and confirmations and input the data into our sophisticated portfolio management software. We can then generate 70 different concise, easy-to-read-and-interpret reports. These reports allow us to analyze trading patterns and to recognize if there are any compliance or fiduciary oversight issues. They can be targeted toward performance monitoring and/or measuring against indices, or analyzing the standard deviation, expenses, turnover, or cost-to-equity ratio. These reports will make your presentation easily understood by the arbitrators and all parties involved. We generally can provide these reports to you within 45 days, depending upon the complexity and the amount of material.
Procedurally, our clients must complete a consulting agreement and pay a $2,000 retainer before any work will commence. Our hourly charges are then deducted from the retainer. If the arbitration process is begun and the case is settled before a hearing is conducted, the client is charged for the services performed by us to the date of settlement. We have done work for several PIABA members and the FINRA, and references are available upon request. If you have an interest in our services, we would be happy to answer any questions.