We created a Client Bill of Rights as an accountability tool to help alleviate common fears people may have working with a financial advisor, and also to reflect our commitment to serving you with excellence. It is our goal to provide you with a first-class client experience that will encourage you to recommend us to others.
Client Bill of Rights
QUALITY OF SERVICE
You have the right to receive consistent excellent service in a manner that encourages you to recommend us to others, knowing that we will treat your referrals with the same high level of proactive, courteous service.
You have the right to work with a trustworthy, dependable, wealth advisor who truly cares for your well-being, listens to your concerns, and understands your values and goals. Your best interests will always come first.
RECOMMENDATIONS BASED ON YOUR NEEDS
You have the right to independent, objective advice and recommendations based on your defined values, needs, and objectives, as well as other considerations including individual risk tolerance and liquid net worth.
You have the right to the strictest levels of confidentiality with the information provided to us. We will protect your information to the highest standards outlined by SEC, FINRA, state and regulatory agencies.
You have the right to a transparent relationship and to clearly know the costs for portfolio management, transactions, and advisory services. If you have a question, it is our duty to respond in an understandable way.
You have a right to a prompt response from your trusted advisor. We will be available to answer the questions that matter to you as they arise, and commit to returning all calls by the end of each business day. Should your request require additional research, our team will set a clearly defined time-frame to meet your expectations.
You have a right to receive communications from us in a timely manner. We will prepare performance reports quarterly that clearly identify all account positions, and present comprehensive portfolio reviews annually, or as often as necessary. Our goal is to provide you with timely information before the question arises.
You have the right to sound financial advice from a competent professional. We are committed to professional continuing education and select national conferences to stay abreast of new opportunities, regulatory changes, and industry best-practices with respect to wealth management, estate planning, and values-based strategies.