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What is a fiduciary?

A fiduciary is someone who puts the client’s interests first and always acts with prudence, skill, care, diligence and good judgment.

What is an investment policy statement (IPS)?

An IPS is a document drafted between a portfolio manager and a client that outlines general rules for the manager. It provides the clients’ general investment objectives and describes the strategies that the manager will employ to meet these objectives.

What is a Registered Investment Advisor (RIA)?

A Registered Investment Advisor (RIA) is an advisor or firm engaged in the investment advisory business and registered either with the Securities and Exchange Commission (SEC) or state securities authorities. RIAs have a fiduciary duty to their clients, meaning they have a fundamental obligation to provide investment advice and always act in their clients' best interests.

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