Brick Financial Management - Building Wealth One Brick At A Time®

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Quick Guide:

Ready to start your investment program today?

With as little as $100 per month, you can work with us! It's easy to open an Account with Brick Financial Management!

Once you have reviewed our website and our ADV Form Part II on the Forms page, just click on the QuickStart button, pick the type of account you want to open, provide a little personal information, and complete an application. You can apply right now online!

The Process

There are seven steps to becoming a client. Click on any step to view the details: 



Getting To Know Us

    Brick Financial understands that not all investors and investment managers are a good fit for each other. We want all our clients to feel comfortable with our company, advisors, services and investment philosophy prior to engaging us. In the ‘getting to know us’ phase, we encourage you to review all the material we provide on our website and we will answer any questions that arise. You will also want to review the required disclosure information (Part II of Form ADV) about Brick Financial Management, LLC, our Privacy Policy and our vision, mission and guiding principles.

    If you would like to learn more about becoming a client, please give us a call or email us to set up an informational interview and private consultation. 


    In this consultation, we will work with you to develop a better understanding of your unique situation and needs and provide you an opportunity to ask any questions you may have.


Data Gathering (Getting to Know You)

    The Data Gathering stage involves getting to know the details of your current portfolio, assets, retirement dates, children's education, health and more. We obtain this information from you via our Investment Management Questionnaire (IMQ)  which details the information we need to begin working with you. You have two options in completing this form:


    Option 1: You can provide us with the information we need using our preferred method by filling out the IMQ online on our secure server with our QuickStart IMQ. We prefer this method because it allows us to start working on your financial agenda immediately. This will also allow us to open an account with our preferred broker and custodian and your account ready for you to fund in less than 2 business days.




    Option 2: You can print and fill out our paper version of the IMQ. You can then fax it [973-313-1230] or send it to us by mail. The faster and more thorough you complete the document, the faster and better we can serve you.


Proposal Stage

    Once we receive and review your IMQ with all your financial information we will present you with an overall strategy that we believe will help you achieve your goals and long-term objectives.


    At this stage we will recommend what we think will best suit your situation, whether that be portfolio management alone, ongoing wealth management, a one-time financial plan or hourly advice.  If we feel that we are not the firm best suited for your needs, we will recommend other financial service providers and help you through that process at no cost to you.


    Should you decided to work with us you should review, complete and fax or send to us the Investment Management Agreement (IMA) with Brick Financial Management, LLC. Completing this form is required to establish a working relationship with us. Our QuickStart IMQ form also contains the IMA, thus can be completed by going to our online form. 


Policy Implementation

    In the Policy Implementation stage we will develop a tax and cost effective strategy to implement the new investment plan and will now send you an Investment Policy Statement and the necessary account applications and transfer forms (if needed). 


Setting Up Your Account

    All your accounts will be open at the brokerage firm Foliofn, Ameritrade or an agreed upon custodian under your name. Brick Financial does not custody client assets (see Custody of Your Assets below). We are only assigned to your account as the advisor with limited powers to trade and make changes with your prior approval.


    If you need to open a new account, we can help you. Foliofn conducts virtually all its business online thus, using the information in your IMQ or QuickStart IMQ, we will open the account on your behalf. If it is deemed that Ameritrade is better suited for your needs you will need to completely fill out their paper form for New Account Applications and Trading Authorization/Fee Payment forms for Ameritrade Advisor Services. 


Funding Your Account

    You may fund your account in several ways. You may link your current bank account to your brokerage account through an electronic funds transfer (ETF), mail a check, wire funds from your bank or transfer stocks, bonds, mutual funds and cash from your current broker.  The following are instructions for some of your options:


    Mail for your Ameritrade Account should be sent to:


    Checks and physical certificates for your Ameritrade account should be mailed to:


    Ameritrade, Inc.

    P.O. Box 2237

    Ameritrade Place

    Omaha, NE 68103-2237


    Include your name and Ameritrade Account# on the check or certificate (if you are sending a stock certificate. Write "Ameritrade, Inc." on the back as the "Attorney to Transfer Stock", then sign on the back with your account #).


    Wires for your Ameritrade Account should be sent to:


    First National Bank of Omaha

    16th and Dodge Street

    Omaha, NE 68197

    ABA# 104 000 016

    Credit to the account of Ameritrade, Inc.

    A/C #16424641

    Further Credit to: Your Name and Account# at Ameritrade


    For subsequent deposits into your Ameritrade account you should use their Deposit Slip.


    Mail and Wires for your Foliofn Account should be sent to:


    Bank Account Name:


    FOLIOfn Investments, Inc.



    Bank of New York
    One Wall Street
    New York, NY 10286

    Routing Number:



    Account Number:



    For Further Credit:




    Checks and physical certificates should be made payable to “FOLIOfn Investments, Inc.” and mailed to:


    FOLIOfn Investments, Inc.
    PO Box 19338A
    Newark, NJ 07195-0338




    Overnight & Express Delivery Address
    FOLIOfn Investments, Inc.
    8000 Towers Crescent Drive
    Suite 1500
    Vienna, VA 22182
    Attn: Cash Management Department


    Include your name and Foliofn Account# on the check.


    Sign and date a deposit slip (or letter addressed to Cash Management Department) that should state:


    “I agree to resolve all disputes through arbitration and not the courts as required on the last page of FOLIOfn's customer agreement. I agree that FOLIOfn does not recommend any securities or investments to me.”



         Account Owner Signature                                 Date


    Account Transfers for Foliofn and Ameritrade:


    You may fund your account(s) by transferring existing stocks, bonds, mutual funds, and other securities from your current broker. Depending on the assets you held in your account(s) you will either liquidate some or all of your positions and then move them to your new account(s). Transfer forms for Foliofn can be obtained here and forms for Ameritrade can be obtained here.


    All account transfers will be done taking into consideration tax consequences and trading costs. You will receive confirmations of all account activity including any trades and transfers as they occur. 


Account Monitoring

    We will track your transfer(s) to ensure accuracy and will begin implementing the new investment plan by purchasing your new funds. Your account will be continuously monitored from this point forward to ensure that it remains on target with your Invest Policy Statement.


    If you have questions regarding the above process or any of our services, please call us at 973-313-1230 or email us by writing to  You may fax completed documents to: 973-313-1230.



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