CES Investment Strategies

CES Investment Strategies is a single-advisor independent registered investment adviser managing roughly $22 million across 23 client relationships. The firm provides discretionary portfolio management, financial planning, and pension consulting for individuals, high-net-worth clients, pension and profit-sharing plans, and business entities, and documents client objectives in an Investment Policy Statement for each account.

The firm’s investment process combines multiple methods of analysis — including charting, cyclical, fundamental, modern portfolio theory, quantitative and technical analysis — and employs a range of strategies from long-term buy-and-hold to short-term trading, including short sales, margin transactions, and options. CES Investment Strategies generally requires discretionary authority to implement its plans, reviews accounts at least monthly, and delivers monthly and quarterly reporting through the custodian.

What is distinctive about the firm is its pension consulting offering — including creating written pension consulting plans, recommending money managers and service providers, and monitoring plan investment options for 401(k) and other employee benefit plans — a service relatively uncommon among solo independent advisers. The firm also requires clients to custody assets at Schwab Institutional, does not aggregate trades across clients, and maintains standing transfer authorizations (SLOAs), features that can influence trade execution and custody arrangements.