Client Bill of Rights

Our client-financial advisor relationship can be most impactful when we mutually follow these seven guiding principles:


We will be open and honest with you.

You are expected to disclose all relevant information regarding your circumstances.


When offering financial advice we act as a fiduciary in advisory relationships, putting you first. 

You should be open-minded about potentially suitable products and strategies while acknowledging that all investments carry some degree of risk and can lose money


We will keep up to date with our core competencies and will collaborate with other subject matter experts when appropriate.

You are expected to review prospectuses and offering documents to understand costs and risks, and ask for any clarification before making a purchase. 


Our professional credentials, business affiliations, compensation details, and conflicts of interest will be disclosed.

You are expected to understand that some things can be controlled, others cannot.


We will not reveal any sensitive or personally identifiable information, except as authorized by you.

On the other hand, we hope you won't keep us a secret. If you’re happy, why not share the good news and introduce us to others? If you’re not happy for any reason, take it up with us first.


CarriageGate Wealth Management will engage only in fair and honorable competitive practices. We respect other practitioners, and we maintain all required licenses and records according to accepted standards.

You are invited to verify our credentials through the various organizations by which we are governed.


We will make reasonable inquiries upon which recommendations can be made, maintain knowledge of currently available products, and respond to all your inquiries in a timely manner.

You should set aside time for periodic meetings with your advisor, utilize the wealth management technology provided, and respond in a timely manner to requests for information or meetings.

Clients of CarriageGate Wealth Management rely on our consistent adherence to these standards. We seek to work with those who embrace and appreciate their importance to maintaining an integrity-based relationship.