How are you compensated?
For advisory services, we are paid a percentage fee of the money you invest. When you do well, we do well.
For brokerage services, a commission is paid on each transaction in your account.
Are you fiduciary?
Yes. As investment advisor representatives, our advisor have a fiduciary obligation to our advisory clients to act at all times in the best interest of our clients. Here is what it means to be a fiduciary:
Put our client's best interests before our own.
Act in good faith and provide all relevant facts to you.
Avoid conflicts of interest and disclose any potential conflicts of interest.
How can I view my investment performance?
Along with periodic reviews throughout the year, we offer Account View, an online platform where you can see your portfolio performance and allocations.
Will you work with my accountant/attorney?
Yes! With your permission, we will always work in partnership with your outside advisors. In fact, we strongly advise we work as a team on your behalf.
Do you have a portfolio minimum?
No! We advise our clients to start investing as early in their financial journey as possible. We will coach you through what it will take to make that happen. We believe the best way to increase your wealth is to invest steadily over time. So the sooner you start, the better. We want to see you succeed over time.
What is a Broker-Dealer?
A broker-dealer provides the infrastructure that facilitates investment trading (stocks, bonds, mutual funds, etc.) Broker-dealers are regulated by the Federal Industry Regulatory Authority (FINRA).
What is a Registered Investment Advisor (RIA)?
An RIA advises and manages client portfolios and is held to a fiduciary standard, which means they are required to act in their client's best interest. RIAs are registered with the Securities and Exchange Commission (SEC.)
Who is LPL Finanacial?
LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve,* supporting nearly 20,000 financial advisors, and approximately 800 institution-based investment programs and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.
*Top RIA custodian (Cerulli Associates, 2020 U.S. RIA Marketplace Report); No. 1 Independent Broker-Dealer in the U.S (Based on total revenues, Financial Planning magazine 1996-2021); No. 1 provider of third-party brokerage services to banks and credit unions (2020-2021 Kehrer Bielan Research & Consulting Annual TPM Report); Fortune 500 Company as of June 2021. LPL and its affiliated companies provide financial services only from the United States.Visit LPL Financial's website to learn more.
Who is Private Advisor Group (PAG)?
Private Advisor Group is a Registered Investment Advisor that provides our advisors with oversight, advisory tools, and ensuring regulatory compliance. As affiliates of Private Advisor Group, our advisors operate as fiduciaries with our advisory clients, meaning we are required to always act in our client's best interest. As our advisory client, you can feel confident we are always giving you advice based on what's best for you and your financial situation, not ours. For more information, Visit Private Advisor Group's website