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WORKING TOGETHER


Investment advisors, like all providers of personal financial services in California, are required by law to inform their clients of their policies regarding conflict of interest.

Investment advisors have been and continue to be bound by professional standards that are even more stringent than those required by law. Unfortunately, this is not the case when working with a sales motivated advisor. (Stockbroker, insurance agent etc.)

Since we do not sell product nor accept referral fees, there are few if any ways for conflicts of interest to occur. This is one of the main features of fee-only planning.

Should any transaction possibly be construed as a conflict of interest, it will be documented for you in writing.
We will always transact client business before our own business when similar securities are bought or sold.
You are under no obligation to act on any investment advise we provide to you. If you do act, you are under no obligation to effect the transaction through our firm.

Download a PDF of our Conflict of Interest statement.