We are a Registered Investment Adviser.
Regulated directly by the Securities and Exchange Commission (SEC), RIAs are considered to be acting in a fiduciary capacity, and so held to a higher standard of conduct than registered representatives. This fiduciary standard mandates that an RIA must always unconditionally put the client’s best interests ahead of his or her own, regardless of all other circumstances.
RIAs are also required to disclose any possible conflicts of interest to their clients and act in an ethical manner in all of their business dealings.
- A fiduciary acts on behalf of another person, or persons, to provide advice or manage assets. Their duties are both ethical and legal.
- An investment fiduciary is anyone with legal responsibility for managing somebody else’s money, such as a member of the investment committee of a charity.
- Registered investment advisers have a fiduciary duty to clients; broker-dealers just have to meet the less-stringent suitability standard, which doesn’t require putting the client’s interests ahead of their own.
- In some cases, DST transactions may be placed under MSC-BD, LLC, a member of FINRA/SIPC.
Please contact us to discuss your needs and objectives.
Investment Advisory Services offered through NAMCOA® (Naples Asset Management Company LLC). Securities offered through MSC-BD, LLC, member FINRA / SIPC. NAMCOA and MSC are independently owned and operated. Check the background of this investment professional on FINRA’s BrokerCheck