Overview
A. Description of the Advisory Firm
R.H. Buchanan & Company Asset Management LLC is a Limited Liability Company organized in
the state of Georgia. The firm was formed in February 2013, and the principal owner is Ryan
Hambrick Buchanan.
B. Types of Advisory Services
R.H. Buchanan & Company Asset Management LLC (hereinafter “RHB”) offers the following
services to advisory clients:
1. Investment Advisory Services to Individuals and High-Net-Worth Individuals
RHB offers Investment Advisory Services based on the individual goals, objectives, time horizon,
and risk tolerance of each client. RHB creates an Investment Policy Statement for each client,
which outlines the client’s current situation (income, tax levels, time horizon and risk tolerance
levels) and then constructs a plan to guide the selection of a portfolio that matches each
client’s specific situation. Investment Advisory Services include, but are not limited to, the
following:
Investment Policy
Investment Strategy
Security Selection
Asset Allocation
Portfolio Monitoring
RHB evaluates the current investments of each client with respect to their Investment Policy
Statement. RHB will request discretionary authority from clients in order to select securities
and execute transactions without permission from the client prior to each transaction. Risk
tolerance levels are documented in the Investment Policy Statement, which is given to each
client.
2. Institutional Investment Management
RHB offers Institutional Investment Management Services based on the goals, objectives, time
horizon, and risk tolerance of each institutional client. RHB reviews the client portfolio and
evaluates portfolio holdings to determine if a portfolio needs to be rebalanced or modified.
RHB creates a transition plan for the client if necessary and creates an Investment Policy
Statement for each institution outlining the current situation and then constructs a plan to
guide the selection of a portfolio that matches the client’s investment objectives.
Institutional Investment Management Services include, but are not limited to, the following:
Investment Policy
Security Selection
Asset Allocation
Discretionary Investment Advisory Services
Transition Planning
RHB evaluates the current investments of each client with respect to their Investment Policy
Statement. RHB will request discretionary authority from clients in order to select securities
and execute transactions without permission from the client prior to each transaction.
3. Investment Management of the RH Buchanan Collective Investment Funds
RHB is the Investment Manager, (“Investment Manager”), of The
RH Buchanan Collective
Investment Funds. The RH Buchanan Collective Investment Funds (each a “Fund,” and together
the “Funds”) are collective investment funds maintained by Alta Trust that are designed to
serve the investment needs of tax-qualified employer sponsored retirement plans. Alta Trust is
the sponsor and, trustee and acts in a fiduciary capacity for the administration of the funds.
Alta Trust is a South Dakota state chartered trust company that provides retirement plan
services to plan sponsors throughout the USA.
4. Retirement Plan Asset Management, Administration and Consulting Services
RHB manages Employee Retirement Income Security Act of 1974, as amended, (“ERISA”)
assets in the RH Buchanan Collective Investment Trust (“CIT”). The CIT is bank maintained
and not registered with the Securities and Exchange Commission. The CIT is not a mutual
fund registered under the Investment Company Act of 1940, as amended, (“1940 Act”) or
other applicable law, and unit holders are not entitled to the protections of the 1940 Act.
The regulations applicable to the CIT are different from those applicable to a mutual fund.
The CIT’s units are not securities registered under the Securities Act of 1933, as amended or
applicable securities laws of any state or other jurisdiction.
RHB offers consulting services to pension or other employee benefit plans (including but not
limited to 401(k) plans). Pension consulting may include, but is not limited to:
Third-Party Service Provider Selection and Management
Documentation and Notice Preparation
Plan Governance
Participant Education
5. Financial Planning
RHB offers Financial Planning services based on an hourly fee of $450, and the final fee
structure is documented in Exhibit II of the Financial Planning Agreement. Elements of Personal
financial planning may include, but are not limited to, investment advisory, life insurance, tax
concerns, retirement planning, college planning and debt/credit planning. Based on the size of
an account and the fee structure RHB may include elements of financial planning as part of the
investment advisory engagement.
C. Client Services and Imposed Restrictions
RHB provides client focused services and our engagement starts with an Investment Policy
Statement. This Investment Policy Statement guides services provided. Clients may not impose
restrictions in investing in certain securities or types of securities in accordance with their
values or beliefs.
D. Assets Under Management
RHB has the following assets under management:
Discretionary Amounts: Non-discretionary Amounts: Date Calculated:
$ 165,168,575 $0.00 12/31/2023