Our Client Bill of Rights

Quality of Service

You have the right to receive consistent excellent service in a manner that encourages you to recommend me to others, knowing that I will treat your referrals with the same high level of proactive, courteous service.

Experienced Advisor

You have the right to work with an experienced, dependable, 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, unconflicted advice and recommendations based on your defined values, needs, and objectives, as well as other considerations including individual risk tolerance and liquid net worth.

Confidentiality

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.

Consistent and Timely Reviews

You have the right to meet with us face to face on designated intervals to review your accounts and ask any questions you may have. You have the right to a pre-set agenda at these meetings, and the right to a letter from me reviewing each of our responsibilities from the meeting. You have a right to a phone call within 48 hours of our meeting where we confirm that we have done all the things we agreed to do at that meeting. 

Transparency

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.

Prompt Response

You have a right to a prompt response from your 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 the next business day. Should your request require additional research, we will set a clearly defined time-frame to meet your expectations.

Timely Communication

You have a right to receive communications from us in a timely manner. We will prepare reports 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.

Professional Competence

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.