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Who Is Arlington Capital Management 2018-03-26T11:43:52+00:00

WHO IS ARLINGTON CAPITAL MANAGEMENT?

Arlington Capital Management (ACM) is a privately held, SEC (www.sec.gov) Registered Investment Advisory (RIA) firm specializing in providing portfolio management services to individuals, families and small businesses. Founded in 2000, ACM employs a proprietary proactive investment methodology. Our Proactive Asset Allocation Strategy (PAAS), Proactive Income Strategy and Proactive 401(k) Strategy have all been developed in-house, and all portfolio decisions are made internally by our Investment Policy Committee, chaired by Joseph LoPresti. As a fee-only RIA, our revenue is solely derived from the fees assessed on assets under our management. We do not earn commissions of any kind. As advisors held to the highest fiduciary standards in today’s financial services industry, we are obligated to act in the best interests of our clients.

Arlington Capital Management currently has $276 million in client assets under advisement. Headquartered in suburban Chicago, we have satellite offices in Houston TX, Scottsdale AZ, and Brookfield WI.

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MEET THE ACM TEAM

President & CIO
President and Chief Investment Officer

Joe is the President and Senior Portfolio Manager of Arlington Capital Management (ACM), a Registered Investment Advisory firm he founded in 2000 with corporate headquarters in the Chicago Metro area. A 29-year veteran of the financial services industry, he possesses a strong background in investment research and portfolio construction, as well as a demonstrated dedication to client service. Joe is the author of Empowered Investing: Strategies for Proactive Investors and the host of the syndicated weekly radio program, Empowered Investing. In addition to his leadership role at ACM, Joe is also the founder of The Investor Education Institute, an organization that teaches proactive strategy courses online as well in classroom settings. Joe studied at Millikin University.

Chief Compliance Officer
Chief Compliance Officer

John is a Senior Portfolio Manager, responsible for investment research, portfolio management and client service. He joined the firm in 2011, when he began his second career after leaving a large public utility where he served in a variety of senior Information Technology roles. John also is an instructor with the Investor Education Institute, leveraging his prior teaching experience and contributing to the continual dynamic content available through the Institute. John earned his BA in Information Systems and Computer Programming from Purdue University and his MBA from the University of Chicago. John holds the Series 65 Investment Advisory Representative license.

Chief Technology Officer
Chief Technology Officer

Ion serves as our Head of Technology Services. A highly skilled professional, he brings his strengths in the areas of analysis, planning and program development to Arlington Capital Management through all he does for the firm. Possessing in-depth experience in desktop and web-based software applications, as well as complex programming and internet technologies, he continually works to improve both our infrastructure and client service tools. Ion is both a Microsoft and Sun certified professional.

Executive Assistant
Executive Assistant

Amanda Konder recently joined ACM as Executive Assistant to our senior management team. Possessing over 18 years of financial industry experience with firms including Merrill Lynch Wealth Management and a private commodities trading firm, she is primarily responsible for ensuring that our Private Client Group receives the best in service. Amanda is a true professional who brings her passion for the industry and a strong operational background to Arlington Capital Management.

Lead Advisor
Lead Advisor

Marty’s pursuit of a proactive investing approach and unbiased financial advice landed him at Arlington Capital Management in 2014. As a Lead Advisor, Marty takes great satisfaction in listening to clients to understand their financial goals, working towards them with a clear framework, and delivering these services to a Fiduciary Standard. He has a passion for educating and empowering his clients. Marty’s prior professional career spanned 23 years in the Automotive and Consumer Products industries, managing global business process enablement teams across Finance, Logistics, Manufacturing, and Customer Service . Marty has been an avid investor and trader for most of his adult life, earned his BSBA from the University of Wisconsin, and holds the Series 65 Investment Advisory Representative license.

Lead Advisor
Lead Advisor

Ron has been involved in the financial services industry for the past decade and is one of our Lead Advisors. Ron’s experience includes a number of senior management positions with CNA Financial during the earlier part of his career. During the last ten years, Ron has found great satisfaction as a financial advisor helping families of college-bound students develop strategies to pay for college without jeopardizing their retirement. His passion for working with people and desire to help grow their wealth while minimizing downside risk attracted him to ACM and led to a new chapter in his career. Ron earned BA and MBA degrees from DePaul University and holds the Series 65 Investment Advisory Representative License.

Senior Portfolio Manager
Senior Portfolio Manager

Justin is a Senior Portfolio Manager, who joined the firm in 2015. A passionate student of Economics in its many forms, he brings with him more than 15 years of discretionary portfolio management, trading, finance, and business industry experience. Justin has been featured in the Wall Street Journal and is a regular contributor to Kiplinger, Forbes, U.S. News & World Report, TheStreet, and The Motley Fool. He is excited to counsel clients to a higher, fiduciary standard and give practical advice that is free of the usual brokerage conflicts. In addition to helping his clients, Justin is also committed to helping his community and is currently involved as a Board Member of The Gale Sayers Foundation and as the Communications Chair of the Associate Board of Children’s Home & Aid. He was also previously involved with The Chicago Lighthouse and The Life Enrichment Fund of the Levy Senior Center. Justin earned a BA and MA concurrently from Northwestern University and holds the Series 66 license.

 

Arlington Capital Management, Inc. (“ACM”) utilizes a proactive asset allocation strategy (“PAAS”) in advising its clients. PAAS combines quantitative-based buy, sell and reallocation indicators, with qualitative research, selecting from US and global securities, in seeking to achieve attractive risk-adjusted returns over a long-term investment horizon. As with any investment strategy, ACM has in the past, and may in the future, modify the investment approach and portfolio parameters of PAAS in any manner which it believes is consistent with the strategy’s overall investment objective.  In that light, the following material modifications were made to PAAS: in February 2009 (creation of Universe Trend and Cash Comparison Indicators for trend analysis), June 2009 (creation of Long-Term Momentum Indicator for trend analysis), September 2009 (expanded Asset Class Ranking System and started PAAS computerized testing), December 2009 (creation of Global Indicator Set for buy and sell signals), April 2010 (inception of PAAS Computer Model), October 2010 (implementation of Tactical Indicators and Signals for short term risk management), January 2011 (modify Global Sell Signal with additional criteria including pattern determination), June 2011 (close Global Signals with stop loss criteria), September 2011 (inception of PAAS Long Only Model), May 2012 (modify Global Buy Signal wait period to enhance signal timing), October 2012 (first use of PAAS Stock Model), November 2012 (implement ETF replacement criteria), December 2012 (additional historical data for Cash Comparison Indicators), November 2015 (modify Global Buy Signal with additional criteria), June 2016 (modify Tactical Sell signal criteria); however, none of these changes modified the objectives or overall investment strategy of PAAS. Rather, as noted previously, ACM made these changes to seek to enhance the manner by which it runs PAAS, and thus each change, individually or in the aggregate, might have impacted the performance of PAAS (either positively or negatively, depending upon the efficacy of the changes(s)) after their implementation.  For more information regarding any of these material modifications, please contact ACM at 855-471-5796.

While PAAS currently is ACM’s primary growth focused investment strategy, ACM also offers a proactive income strategy.  Client portfolios are managed with different weights on PAAS and the proactive income strategy based on each client’s desired risk level (e.g., aggressive, moderate, conservative).

The performance returns and investment portfolios shown on this website are those of model portfolios, which are used to illustrate the hypothetical performance of an account managed using PAAS, and do not represent the results of actual trading using client assets. The performance of the model portfolios has been independently examined by Ashland Partners & Company LLP (“Ashland”), a certified public accounting firm, for the following periods:  PAAS Managed Model for the periods from August 1, 2010, to December 31, 2015; PAAS Managed ETF Model for the periods from October 1, 2012, to December 31, 2015; PAAS Managed Stock Model for the periods from October 1, 2012, to December 31, 2015; PAAS Managed Long Only Model for the periods from September 1, 2011, to December 31, 2015.  A copy of Ashland’s opinion letter is available on request.

The performance of the model portfolios shown reflects the assumptions, views and analytical methods utilized by ACM. Hypothetical or model performance results have certain inherent limitations. Unlike actual performance results, model performance results do not represent actual trading and the results may have under- or over-compensated for the impact, if any, of certain market factors, such as market disruptions, lack of liquidity and the effect of interest rates. There can be no assurance that ACM will take positions for client accounts similar to those taken in the model portfolios.  No representation is being made that any client account will or is likely to achieve profits or losses similar to those of the model portfolios shown. There frequently are sharp differences between the hypothetical or model performance results and the results subsequently achieved by any particular trading or investment program. ACM clients have had investment results that have been better or worse than the performance results of the model portfolios shown on this website. The performance results of the model portfolios assume a starting value of $500,000 at model inception, and are shown net of fees and expenses (i.e., an assumed annual investment management fee of 1.50% and brokerage commission applied as follows: Prior to January 1, 2013, transaction prices used are net of commissions; after January 1, 2013 gross transaction prices are used and a $10 commission is assessed per portfolio transaction), and reflect the reinvestment of dividends and other earnings. The model fee of 1.5% is ACM’s highest published asset-based fee, and it is charged to clients with a minimum portfolio size of $500,000.  ACM does provide management services to clients with portfolios ranging from $250,000 to $500,000.  These clients are charged a fixed annual fee of $7,500, which ranges between 1.5% and 3% of their managed assets.  Clients with less than $500,000 to invest should be aware that the fees they pay will be greater than those deducted from the model portfolio, and that the performance shown would be less if the fixed fee were to be deducted.  ACM’s standard fee rates are available: (i) upon request; (ii) on ACM’s website; and (iii) in Part 2 of its Form ADV. The model performance results shown on this website reflect the purchase and sale of securities using the price of block trade execution at ACM’s primary custodian. Past performance is not a guarantee of future results.

Any index information contained on this website was included for comparative purposes, to show general market trends during the periods indicated, and is not intended to imply that any model portfolio is similar to the index (or indices) shown either in composition or element of risk.  The MSCI All Country World Total Return Index is a broad index composed of stocks from the US, Developed International and Emerging International markets.  It is shown for comparative purposes because it represents the areas that PAAS considers for inclusion in the model, however, it should be noted that at any given time, the PAAS model will include securities from a narrow subset of these areas.

The information on this website should not be considered a recommendation to purchase or sell any particular security. There can be no assurance that any securities discussed on this website will remain in model or client portfolios or if sold will not be repurchased.  The securities listed for each model represent all portfolio holdings in that model as of the date shown.  No list itself includes all securities recommended by ACM as of the date indicated or in the preceding 12 months.  Some accounts managed in accordance with a particular ACM strategy may hold different securities than those listed.  This is generally due to client imposed account restrictions, mandates, substitutions, liquidity requirements and/or legacy holdings, among other things.  The listed securities were not selected for inclusion in this report on the basis of performance.  It should not be assumed that any of the securities discussed on this website have been or will be profitable, or that recommendations made in the future will be profitable or will equal the performance of the securities discussed on this website.  The examples of specific investments are included merely to illustrate the PAAS investment process and investment strategy.  Client portfolios may contain a different number of positions than the examples set forth and accordingly the examples are not intended to indicate overall portfolio performance that has been, or may be expected to be, achieved.

No graph, chart, formula or other device can be used to determine which securities to buy or sell, or when to buy or sell them. ACM makes no representation that any graph, chart, formula or other device shown can assist any person in making their own decisions as to which securities to buy or sell or when to buy or sell them.

An investor should consider risk and volatility in addition to performance when making any investment decision. The risk and volatility associated with PAAS may be significantly higher or lower than the risk and volatility of other investment strategies and/or products.

As with any investment strategy, there is potential for profit as well as of loss. All investments involve some level of risk, and PAAS may not be suitable for all investors. This material does not constitute a complete description of ACM’s investment services and is intended solely for informational purposes. This material is in no way a solicitation or an offer to buy or sell any securities. This material and any model portfolios contained herein do not consider specific investment objectives, financial situations or the particular needs of any individual investor who may view this report. Investors should seek advice from their advisors regarding the appropriateness of investing in any securities or in accordance with any investment strategy.

All information regarding market or other financial information is obtained from sources that ACM believes to be reliable. ACM makes no representation as to the accuracy or completeness of information or data provided on this website. Individuals that work for ACM and its affiliates may have long or short positions in the securities referenced on this website, or in related investments.

Any projections, market outlooks or estimates on this website are forward-looking statements and are based on certain assumptions.  Other events which were not taken into account may occur and may significantly affect the returns or performance of the model portfolios shown.  Any projections, outlooks or estimates should not be construed to be indicative of actual events which will occur.

For additional information, please contact us via phone at (847) 670-4030, or via email at inquiries@arlington-capital.com.