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Your Ideal Financial Planner

We believe that a relationship with a financial planner isn’t one to be entered into lightly. Before selecting an individual to help guide you through life, we recommend you carefully consider the following criteria.

  1. Are they a CFP®(Certified Financial Planner) certificant?
    This certification warrants formal training and testing in personalized financial planning and should be looked upon as a baseline for consideration.

  2. Do they operate under the Fee-Only compensation model?
    This is important. Charging a commission should be a non-negotiable deal breaker.

  3. Do they accept fiduciary responsibility? In writing? 
    If so, they should have your best interest at heart.

  4. Are they a Registered Investment Advisor?
    Be certain the individual is registered with the SEC (Securities Exchange Commission) or their State Securities Department.

  5. Are they truly an independent financial advisor?
    Agents or employees of banks, broker-dealers, and insurance companies inherently serve two masters, in which the employer invariably is served first.

  6. Do they utilize Separately Managed Accounts (SMA) or actively managed mutual funds in portfolio management?
    Advocating participation in either should raise further questions.