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| Additional information |
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| Montgomery Investment Management, Inc. |
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Overview:
Montgomery Investment Management, Inc. ("Montgomery"), formed in 1987, is registered with the Securities and Exchange Commission pursuant to the Investment Advisors Act of 1940. Montgomery offers advice on equity securities, warrants, municipal and corporate debt securities, commercial paper, U.S. Government securities, certificates of deposit, and real estate investment trusts. We provide professional investment advice to individuals, families, businesses (including banks, thrifts and corporations), pensions, trusts, charitable organizations and trade associations. Our technology is state of the art.
Montgomery primarily uses fundamental analysis to assess the value and growth prospects of individual investments, and may use charting, technical, cyclical, and other analysis to augment its research. We also employ certain classical concepts of securities analysis such as margin of safety.
Montgomery obtains its information about the various investments from a wide variety of sources, including financial newspapers and magazines, rating services, company press releases, annual reports, SEC filings, research materials prepared by others, and on-site visits to individual companies.
Montgomery anticipates holding most securities for more than one year. In many cases far longer. Because of our low turnover rate our management will be tax friendly to most individual accounts. In addition, we tailor the management decision to the individual risk tolerance and tax needs of the client. In unusual circumstances Montgomery may utilize option writing, short term purchases and trading, short sales, margin transactions, including covered option writing and purchases.
In all transactions, Montgomery will instruct the broker to execute transactions on an agency basis. The broker cannot act as agent for the other side of the transaction (i.e., cannot sell from or purchase into its own inventory).
In all transactions, Montgomery strives to achieve the best possible execution price for the client. Montgomery closely monitors its trading executions to ensure the implementation of this policy. |
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