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Your Client Bill of Rights for Financial Advising

A great relationship is based upon a solid client first foundation. The Client Bill of Rights clearly identifies the level of proactive service and relationship you will experience.


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


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


You have the right to independent and un-conflicted advice and recommendations based upon your defined needs, risk tolerances, goals and objectives. Through Strategic Wealth Planning your needs are clearly defined and constantly monitored and if need be adjusted.


You have the right to the strictest levels of confidentiality with information provided to your Advisor and trusted team. We will protect all information to the highest standards outlined by SEC, 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. Our team will 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 and in a timely manner.


You have the right to a prompt response. As your Trusted Wealth Advisor, we commit 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 completing the research and presenting our findings.


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


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


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


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