OKEEFE STEVENS ADVISORY, INC.

O’Keefe Stevens Advisory, Inc. offers detailed investment advice and specific recommendations through comprehensive financial plans. These plans can encompass a net worth statement, cash flow analysis, investment account reviews with asset repositioning recommendations, strategic tax planning, education planning with funding recommendations, retirement account reviews and scenarios, insurance policy reviews, and estate planning reviews. Clients have the discretion to implement recommendations with the firm or another advisor. The firm also provides consulting services for clients not requiring comprehensive planning, addressing concerns such as education, death, disability, and retirement planning, net worth, cash flow, risk management, simple investment planning, tax planning, and other investment or non-investment issues. The firm facilitates communication between clients and their legal and/or tax advisors but does not provide direct legal or accounting advice. The advisory process involves a thorough review of all aspects of a client's financial affairs, including those of their dependents. Realistic and measurable goals are established, and objectives are defined to achieve these goals, with ongoing suggestions and implementations as goals change over time. Key suitability parameters for each client are developed and clearly defined in an Investment Policy Statement and/or Client Risk Profile, which are signed at the beginning of the advisory relationship and reviewed and updated annually.

The investment strategy for a specific client is determined by their stated objectives, which can be updated at any time. Clients provide detailed information about their objectives and desired investment strategy, which is periodically reviewed to adapt to any changes. The primary investment strategy employed for client accounts is strategic asset allocation. This method seeks to maximize gains while minimizing risk by diversifying investments across a broad range of domestic and foreign asset classes, with portfolios being globally diversified to manage traditional market risks. In selecting securities for a client's portfolio, an Investment Advisor Representative (IAR) maintains intimate familiarity with the holdings and utilizes a proprietary checklist for evaluation, taking a holistic view of the underlying company. Each potential investment is appraised for opportunities and risks, and a thesis is developed on its potential for success. Investments are typically long-term, targeting corporations with unusual opportunities, and are not restricted to a single style such as large capitalization, small capitalization, international, or fixed income. Research primarily focuses on quantitative elements, with technical analysis rarely used. Other strategies that may be employed include long-term purchases, short-term purchases, trading, short sales, margin transactions, and option writing.

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