An important partnership exists between us and our clients. To help clarify this relationship and avoid misunderstandings, the roles of both the advisor and the client are laid out below.

 

Advisor Responsibility

• Serving as an advisor and advocate for our client's financial and planning needs

• Knowing the client’s financial needs, goals, and evolving life conditions

• Maintaining confidentiality—keeping all information pertaining to the client’s finances private

• Constructing an asset allocation strategy to match the client’s objectives

• Establishing a discipline of frequent and significant communication through periodic account reviews and ongoing reporting

• Ongoing monitoring and review of account performance versus client goals

• Pursuing tax efficiency wherever possible and coordinate based upon an understanding of the client's tax situation

 

Client Responsibility

• Providing the advisor with all financially relevant information

• Partnering with the advisor to establish meaningful financial goals

• Notifying the advisor of liquidity and cash flow needs

• Informing the advisor of any change in objectives or financial conditions

• Keeping the advisor aware of any lifestyle or family circumstances that may impact current or future plans

• Sharing any concerns or questions that may arise with the advisor