Client Bill of Rights

QUALITY OF SERVICE

You are entitled to a high level of proactive, courteous service from all associates at our firm.

TRUSTED PROFESSIONALS

You have the right to work with a trustworthy, dependable, independent Wealth Advisor focused on your journey to True Wealth. Your Wealth Advisor will develop a personal relationship with you through insightful communication highlighting our core beliefs, investment outlook and management philosophy. Your Wealth Advisor will present portfolio reviews annually or as often as necessary, and be available to answer the questions that matter to you as they arise.

RECOMMENDATIONS BASED UPON YOUR NEEDS

You have the right to independent and unconflicted advice and recommendations based upon your defined needs, risk tolerances, and goals. Through holistic Wealth Planning your needs are clearly defined and constantly monitored.

CONFIDENTIALITY

You have the right to the strictest levels of confidentiality with information provided to your trusted team. We will protect all information to the highest standards outlined by SEC, FINRA, state and regulatory agencies.

TRANSPARENCY

You have the right to a transparent relationship and to clearly know the costs for portfolio management, transactions and advisory services. We strive to be clear and concise in all of our communications to you. If you have a question, it is our duty to answer it for you in an understandable way.

PROMPT RESPONSE

You have the right to a prompt response. As your Trusted Advisor, we strive to returning calls by the end of each business day. Should you require additional research, our team will set a clearly defined time frame for redress.

TIMELY COMMUNICATION

You have the right to be communicated to in a timely manner. As your Trusted Advisor, our goal is to provide you with information before the question arises, regardless of the medium used.

EDUCATION

You have the right to continual education along your journey to True Wealth. Through education, our team will project reasonable expectations and achievable scenarios in the development and constant monitoring of your Wealth Plan.

BEST EXECUTION

You have the right to receive best execution. We seek best execution in all that we do and recommend. Portfolio transactions will be executed in a timely manner, at a competitive price, and with prompt third party confirmation. All interactions with your trusted team will be timely, precise, and promptly completed.

ACCURACY

You have the right to accurate third party reporting of all managed accounts. Your statements will identify all account positions held, cash receipts, and disbursements.