Client Bill of Rights
Our relationship can be most impactful when we mutually follow these seven guiding principles:
Integrity
We will be open and honest with you.
You should provide complete and accurate information about your circumstances so that we can advise you appropriately.
Independence
When offering financial advice we act as a fiduciary in advisory relationships, putting you first.
You should remain open to appropriate recommendations and strategies while recognizing that investing involves risk, including possible loss of principal.
Competence
We will keep up to date with our core competencies and will collaborate with other subject matter experts when appropriate.
You should ask questions until you understand recommendations, costs, risks and tradeoffs.
Fairness
Our professional credentials, business affiliations, compensation details, and conflicts of interest will be disclosed.
You should understand how we are compensated and ask questions about fees or potential conflicts whenever something is unclear.
Confidentiality
We will safeguard your sensitive and personally identifiable information and disclose it only as authorized by you or as permitted or required by law.
You should safeguard account credentials and promptly notify us of suspected fraud, unauthorized activity, or changes to your contact information.
Professionalism
We will conduct ourselves professionally, maintain appropriate licenses and registrations, and treat you and the other professionals involved in your financial life with respect.
You are invited to verify our credentials through appropriate regulatory and professional organizations.
Diligence
We will make reasonable inquiries before making recommendations, maintain the knowledge necessary to serve you effectively, and respond to your inquiries promptly.
You should provide complete information, participate in reviews, use agreed-upon technology, and respond promptly to reasonable requests for information.
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.
If these principles reflect the kind of advisory relationship you value, the next step is a brief introductory conversation.
Choose either a brief Zoom or phone conversation.