The primary mission of the firm is to provide customized portfolio management services for individuals, businesses, and foundations. Please refer to the Asset Management tab for further details.
Expert Witness Services
The principal of New Castle Investment Advisors, LLC, Mark Connolly, is a recognized securities industry expert and has worked nationally to give his opinion on complex industry issues. He is available to work with those seeking an expert opinion in areas such as securities compliance, supervision, due diligence, investment advisement, limited partnerships, general securities, suitability, trade analysis, structured products and other topics related to the securities and investment industry. He has over twenty-five years experience in investment management, having been a principal of a broker-dealer, a private banker, a manager of corporate accounts, a Taft-Hartley account manager, and having oversight responsibility of corporate due diligence for complex investment products. As a state securities regulator, he was chair of the Corporate Finance Section of the North American Securities Administrators (NASAA), a member of NASAA’s board of directors, its treasurer, and he was a trustee of the Investors Protection Trust based in Washington, D.C. In addition, he was awarded the Securities Enforcement Award of the Year in 2007 for his recognized enforcement efforts involving companies such as Tyco, ING and American Express Financial Advisors.
He is registered expert witness with the Public Investors Arbitration Association (PIABA) as well as a member of the Securities Experts Roundtable.
In addition to managing the investment portfolios of its clients, New Castle Investment Advisors, LLC also works with individuals, businesses and foundations to evaluate investment portfolios and reorient them to achieve client objectives. Also the firm acts as a "manager of investment managers, whereby we monitor the results of existing/potential portfolio managers and recommend changes where necessary to maximize client investment returns.