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Core Balanced Portfolio

An asset allocation strategy that seeks to effectively capture market returns while minimizing volatility and providing downside risk mitigation.

Also available, Core Balanced – Tax Advantaged allocates the fixed income component to municipal strategies and tax advantaged investments.


A Balanced

(60% stocks/

40% bonds)

Asset Allocation

  • Equity allocation features an actively managed U.S. equity portfolio and passive exposure to developed and emerging international markets.
  • Actively managed fixed income allocation focuses on high credit quality and reducing interest rate risk to minimize volatility.

Combines Quantitative and Qualitative Approaches

  • Quantitative models help with deeper and objective evaluation of the portfolio candidates while fundamental research input and Portfolio Manager experience help determine company means and management intent to pay and grow dividends.

Innovative Risk Management

  • Incorporates the Equity Risk Management Strategy – a tactical asset allocation approach that manages the portfolio’s exposure to equity markets to mitigate the impact of large and extended market declines.

Portfolio Management

Timothy M. McCann

Senior Portfolio Manager

More about Tim
Robert Hagstrom

Senior Portfolio Manager

More about Robert
James J. DeMasi

Senior Portfolio Manager

More about James

Growth of $100,000

Net returns reflect the deduction of the maximum managed account fee of 3.00% which includes the wrap sponsor fee and EquityCompass investment management fees. Actual fees may vary.

Representative Portfolio Performance: Returns reflect the performance of two representative portfolios that have been strung together for the life of the strategy and are provided as supplemental information to the GIPS compliant presentation available here. One portfolio was selected because it is the oldest account in the strategy with a continuous track record that also did not have large cash flows or mandate changes. The other portfolio was selected to capture returns from the strategy’s inception up to the open date of the oldest continuous account referenced above. EquityCompass believes the representative performance is useful in terms of presenting the objectives and character of the strategy, however, returns are calculated separately for each portfolio, and therefore, performance may differ from one portfolio to another. There is no assurance that EquityCompass will make any investments with the same characteristics as the representative accounts presented. Portfolio 1 reflects returns from 6/1/09 – 9/30/09 and Portfolio 2 reflects returns from 10/1/09 – 9/30/18. Gross-of-fees returns are not reduced by any fees, expenses, or transaction costs (i.e. Pure Gross). Net-of-fees returns are presented after the deduction of the manager fee of 0.40% until 6/30/18 and 0.30% beginning on 7/1/18. There will be additional wrap sponsor fees, including trading expenses and management fees, which will vary by wrap sponsor. These additional fees will lower overall net performance. Please consult the wrap sponsor ADV Part 2A for additional fee information.

The growth of dollars chart presented herein is for illustrative purposes only. The chart illustrates the growth of $100,000 should it have been invested at the time of inception and includes reinvestment of dividends. It does not does not assume withdrawals or contributions. Any results shown above may not represent the actual experience of individual investors. Individual account performance may differ due to, e.g., account size, cash flows, investment restrictions, economic factors and fees. Past performance does not guarantee future results. Indices are unmanaged, do not reflect fees and expenses, and are not available for direct investment. This information is supplemental to the GIPS performance presentation.

Sector Allocation

Market Capitalization

Holdings are subject to change. It should not be assumed that any of the holdings discussed were, or will prove to be, profitable, or that the investment recommendations or decisions we make in the future will be profitable. A list of all securities held in this strategy in the prior year is available upon request. Excludes cash. Security information presented herein is for illustrative purposes only and may or may not be investments currently or historically held by the adviser. The top holdings, as well as other data, are as of the period indicated, and should not be considered a recommendation to purchase, hold, or sell any particular security. For complete information, including holdings, please contact the adviser. Excludes cash and ETFs. Indices are unmanaged, do not reflect fees and expenses, and are not available for direct investment. This information is supplemental to the GIPS performance presentation.



Past performance does not guarantee future results.

All investments involve risks, including the risk of a possible loss of principal. Foreign investments are subject to risks not ordinarily associated with domestic investments, such as currency, economic and political risks, and different accounting standards. There are special considerations associated with international investing, including the risk of currency fluctuations and political and economic events. Investing in emerging markets may involve greater risk and volatility than investing in more developed countries. Small company stocks are typically more volatile and carry additional risks, since smaller companies generally are not as well established as larger companies. The market risk associated with small‐cap and mid‐cap stocks is generally greater than that associated with large‐cap stocks because small‐cap and mid‐cap stocks tend to experience sharper price fluctuations than large‐cap stocks, particularly during bear markets. Due to their narrow focus, sector‐based investments typically exhibit greater volatility and are generally associated with a high degree of risk. When investing in bonds, it is important to note that as interest rates rise, bond prices will fall. In addition, duration risk measures a debt security’s price sensitivity to interest rate changes. Bonds with higher duration carry more risks and have higher price volatility than bonds with lower duration. Therefore, if interest rates are very low at the time of purchase of the bonds, when interest rates eventually do rise, the price of such lower interest rate bonds will decrease and anyone needing to sell such bonds at that time, rather than holding them to maturity, could realize a loss. When investing in real estate, it is important to note that property values can fall due to environmental, economic, or other reasons, and changes in interest rates can negatively impact the performance of real estate companies.

Exchange Traded Funds (ETFs) represent a share of all stocks in a respective index. ETFs trade like stocks and are subject to market risk, including the potential for loss of principal, and may trade for less than their net asset value. The value of ETFs will fluctuate with the value of the underlying securities. Inverse ETFs are considered risky and are not suitable for all investors. Typically, these products have one‐day investment objectives, and investors should monitor such funds on a daily basis. Inverse ETFs are constructed by using various derivatives for the purpose of profiting from a decline in the value of an underlying benchmark. Investing in inverse ETFs is similar to holding various short positions, or using a combination of advanced investment strategies to profit from falling prices. Investors should review the prospectus and consider the ETF’s investment objectives, risks, charges, and expenses carefully before investing. Prospectuses are available through your Financial Advisor and include this and other important information. Rebalancing may have tax consequences, which should be discussed with your tax advisor. Diversification and/or asset allocation does not ensure a profit or protect against loss.

Diversification does not ensure a profit or protect against loss. The portfolio risk management process includes an effort to monitor and manage risk, but does not imply low risk.

Changes in market conditions or a company’s financial condition may impact a company’s ability to continue to pay dividends. Companies may also choose to discontinue dividend payments. High-dividend paying stocks may carry elevated risks and companies may lower or discontinue dividends at any time.

All benchmark returns presented are provided to represent the investment environment existing during the time periods shown. Actual investment performance will vary due to fees and expenses. For comparison purposes, the benchmarks include the reinvestment of income. The benchmarks are unmanaged and unavailable for direct investment.

EquityCompass Investment Management, LLC is a wholly owned subsidiary and affiliated SEC Registered Investment Adviser of Stifel Financial Corp.

©2021 EquityCompass Investment Management, LLC. All rights reserved. No part of this material may be duplicated or redistributed without prior written consent.