Factors to Consider When
Selecting a Financial Advisor

The financial advisor you choose not only will have access to intimate detailed information regarding your personal finances, but will also be the individual entrusted to manage your financial future. Make sure your advisor has:

The financial advisor you choose not only will have access to intimate detailed information regarding your personal finances, but will also be the individual entrusted to manage your financial future. Make sure your advisor has:

  • Strong Ethics The integrity of your advisor is of the utmost importance. It is essential that you can be confident that your interests will always come first.
  • A Global Perspective In an ever-changing global economy, your advisor needs to have the resources and expertise to identify investment opportunities both domestically and abroad.
  • Knowledge and Experience Managing your wealth is about much more than picking stocks or mutual funds; it requires an understanding of economics, corporate finance, asset valuation, portfolio construction, and management.
  • Industry Recognition There are a number of reputable credentials in the financial industry. Look for Financial Advisors who continue to further their education and earn respected designations. No designation is as rigorous or as widely respected as the Chartered Financial Analyst (CFA) designation.
CFA Asset Manager Code of Professional Conduct

We are committed to ethical behavior and the protection of our clients’ assets. The CFA Institute’s Asset Manager Code of Professional Conduct outlines the ethical and professional responsibilities of firms that manage assets on behalf of clients.

The general principles of conduct are as follows:
  • Act in a professional and ethical manner at all times
  • Act for the benefit of clients
  • Act with independence and objectivity
  • Communicate with clients in a timely and accurate manner
  • Uphold the applicable rules governing capital markets