Compliance & Professional Certifications

Intellectual Rigor

John D. Dovich & Associates, LLC is an independent firm. We are proud that our investment management and financial planning advice is idea-driven and not product-driven. Our advisors are dedicated to a lifelong learning and personal development process – so much so that it’s part of our firm’s brand character. The firm’s staff continually pursues ongoing educational opportunities to “up their game” and improve individual knowledge and industry content mastery. We utilize insightful and original development and execution of financial plans and investment management programs to benefit our clients further and help them achieve their personal and business financial goals. Whether it’s in a meeting, conference call, or regular email point-of-contact, we continually share our knowledge with our clients. We maintain consistent contact with our clients and provide continual updates alerting them to market news, global situations (i.e., Brexit, election results, significant movements in the marketplace) and other relevant changes. We seek to alleviate our client’s fears and share our knowledge with them at every opportunity.

As a base within our intellectual rigor at John D. Dovich & Associates, our staff are highly educated and credentialed. Below you will find a description of the many professional designations our staff members maintain within our firm:


Certifications and Memberships

Our financial advisors and investment management team are highly educated and credentialed. Our staff currently comprises a total of:

  • 4 CFPs
  • 3 CFAs
  • 1 CPA
  • 1 ChFC
  • 1 CLU
  • 4 Masters Degrees
  • 12 Bachelor Degrees
  • and a myriad of professional certificates and licenses.

Listed below you’ll find a brief description of the various professional certifications our financial advisors and investment management team proudly possess:

Certified Financial Planner – CFP

While many people can self-identify as a financial planner, professionals holding the CFP designation have undergone a rigorous course of study to include completing an advanced college-level course of study, attain a Bachelor’s Degree from an accredited college or university, complete at least 3 years of full-time financial planning-related experience and successfully pass the comprehensive CFP certification examination that takes place in a 1-day, 7-hour period.  CFP designates must complete 30 hours of continuing education every two years and renew their agreement to adhere to the CFP Board’s Standards of Professional Conduct.

Chartered Financial Analyst – CFA

The Chartered Financial Analyst designation is for those financial professionals focusing on investment management and financial analysis. To achieve the CFA designation, the candidate must successfully pass 3 sequential six-hour examinations, have at least four years of qualified professional investment experience, maintain their membership with the CFA Institute and annually reaffirm their commitment and adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct.

Certified Public Accountant – CPA

This designation is given by the American Institute of Certified Public Accountants. The CPA designation provides professional standards and guidelines within the accounting profession. A Certified Public Accountant is an accounting professional who’s earned a Bachelor’s degree in either business administration, finance or accounting, have completed 150 hours of education and have no less than two years of public accounting experience. The CPA designation varies slightly from state to state, and each practicing CPA must seek licensure in their state of residence, and complete continuing hours of education annually.

Chartered Financial Consultant – ChFC

The Chartered Financial Consultant designation dates to 1982 and is often considered an alternative to the Certified Financial Planner designation. The focus of study for the ChFC program is revolves primarily around a comprehensive financial planning regimen. The ChFC program requires many college-level courses, with the average study time to achieve this prestigious designation exceeding 450 hours. This designation also requires designees meet continual experience requirements along with continuing education obligations.

Chartered Life Underwriter – CLU

The Chartered Life Underwriter is a designation for those professionals working in the life insurance field. It is considered to be one of the most distinguished and respected professional life insurance designations within the financial industry. It originated in the mid 1920’s at the American College in Bryn Mawr, PA with a focus of study concentrating primarily on life insurance in both personal and business circles of influence. This designation requires many college-level courses totaling an average study time of 400 hours. Those financial professionals with this designation must meet experience and continuing education requirements to maintain this designation.

Compliance

John D. Dovich & Associates, LLC is proud to partner with Graydon Compliance Solutions, a division of Graydon Law. Matthew Swendiman, Esq. serves as the Chief Compliance Officer of our firm and brings a robust breadth of knowledge and experience to our compliance program. Specifically, Matt and Graydon Compliance Solutions provide:

Compliance Policies and Procedures Filing & Reporting Functionality

Review & Oversight

Through a variety of online software platforms and regular audits of our internal policies and procedures, Matt and Graydon Compliance ensure we are current with the federally required forms and filings, such as the ADV updates and other required filings as necessary by law (to include Municipal Advisor registration, Privacy Policy, Code of Ethics & Conduct Standards, Advisors Act Rule 204-3, etc.).

Other duties include complete oversight and review of our firm’s investment management, trading, portfolio compliance, record retention, maintaining appropriate correspondence and client communication files, participation in investment committee meetings, provide ongoing due diligence with regards to client financial planning and investment management, as well as providing annual employee education and audit review programs.

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