I Am A Fiduciary And I Am Ready To Serve Retirement Investors

The President of the United States has asked the Secretary of Labor to update the basic rules of the road for providing investment advice to retirement investors – rules that have not been updated in almost forty years.

Over the past several decades, the share of Americans who have traditional pensions – with investment decisions made by professionals, and a steady monthly payout at retirement – has fallen sharply. Today, Americans are largely responsible for making their own choices about how much to save, and how to invest their retirement savings.

Families need access to trusted professional advice to help manage their hard-earned retirement nest egg, before and after retirement. However, under the outdated rules, many retirement savers are not receiving the objective advice that they need and expect. Current rules allow many financial intermediaries to put their own bottom line ahead of their clients’.

Financial services companies have threatened that if they are required to act as fiduciaries and put their client’s interests first, they’ll refuse to work with those investors. They say those retirement savers – especially those with smaller or medium-sized retirement accounts – will suffer because they won’t have access to investment products or advice.


We disagree and are here to serve!


We will not allow an "advice gap" to develop. We already work with retirement investors with smaller or medium-sized accounts, or would add this service to our practice. As a financial advisory professional I am ready, willing and able to serve retirement investors, including those with more modest retirement savings, as a fiduciary, while embracing the following core fiduciary principles:

- I will put my client’s best interest first.
- I will act with prudence; that is, with the skill, care, diligence and good judgment of a professional.
- I will not mislead clients and I will provide conspicuous, full and fair disclosure of all important facts.
- I will avoid conflicts of interest.
- I will fully disclose and fairly manage, in my clients’ favor, any unavoidable conflicts.

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