Your Rights As A Client

Most financial advisors will tell you they're different, but talking is easy.  We believe in showing, not telling, and we work hard to prove our uniqueness in the things we do.  We're not afraid to tell you exactly what you should expect from us. 


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.


You have the right to expect complete transparency in our 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, and should expect, a prompt response to questions you ask or concerns you raise.  We will make ever effort to return your call or email by the end of the business day. Should your issue require additional research, our team will reach out and convey a time frame for resolution. 

Timely Communication

You have the right to be communicated with in a timely manner. We believe in being proactive in our communication, not reactive.  Our our goal is to provide you with information and answers before your questions arise.

Competence and Professionalism

You have the right to work with an advisor that is knowledgeable, registered and up-to-speed on the most important developments that have the potential to impact you. 


You have the right to understand the principles and strategy behind our decisions.  You don't need to be an expert (that's why you hired us!) but we believe that educated investors are better investors.  We make every effort to communicate complex matters in plain English so you can stay engaged and in control.  We hope to be a continued source of information and education throughout our relationship.


You have the right to expect 100% accuracy when someone is dealing with your money.  That being said, we are human, and errors will occasionally happen.  When they do, we promise to acknowledge our mistake and correct it without delay.  We realize that many errors are due to a breakdown in process, so we attempt to go beyond merely correcting the error and try to understand how to improve the process to ensure it doesn't happen again.