Client Expectations

Here is what you can expect from me:

You can trust that I will consistently and responsibly perform all requested services, and that I will be available when you need me. I will:

Treat you with respect, honesty, and dignity

Act as your advisor, putting your interests first

Strive to acquire a complete and accurate understanding of your goals, your tolerance for investment risk, and your time horizon

Explain the implications of the investment strategies we propose

Explain all costs and fees for our services

Update you by email, mail, and telephone, as often as you prefer

Meet with you to review your investment plan


As my client, here are some things I would like to expect from you:

Effective communication and mutual respect are essential to a successful relationship. I hope our business relationship consists of mutual:




Complete disclosure



Working together

I expect you to understand that while my recommendations are always based on your best interest, investments do not always perform as hoped. As my client, you need to know that all investment, tax, estate and insurance strategy advice will be based on the information you provide to us. I expect you to participate in the investment planning process. Finally, if there is a time when we fall short of your expectations, I hope you will provide honest and meaningful feedback.

I believe working together is essential to effective investment planning. To this end, we both need to make your investment strategies a priority. Each of us will agree to keep each other informed of any new developments that might affect these strategies. And we will agree to take the time to review your investment plan. We will be both be honest and forthcoming about your financial situation. We will work to develop mutual trust, respect and understanding.