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Page history last edited by Gene Lipitz 8 years, 1 month ago

The Right to Loyalty 

I have the right to expect a strong, sincere commitment from my adviser. He or she must put my interests ahead of their own and their firm’s, work hard on my behalf, and treat me fairly. He or she must be truthful with me, give me the benefit of their best thinking, and adhere to regulations, laws, and ethical standards.


  1. Commitment and Best Efforts: My adviser works hard on my behalf.  He or she acts as a true fiduciary, putting my interests ahead of their own personal interests and the interests of their firm.
  2. Fair Treatment: I receive roughly equivalent services, pricing, effort, access, and attention relative to other clients at my fee level.
  3. Truthfulness: My adviser will clearly and fully state the facts on all material items and does not communicate a level of certainty in their answers not warranted by their knowledge or the unknown factors of a situation
  4. Best Thinking: I benefit from the best ideas, opinions, and knowledge of my adviser and his/her firm.
  5. Compliance: My adviser will uphold the letter and spirit of all laws, regulations, and ethical guidelines, and will inform me when those may be in conflict with my best interests.
  6. Nuanced Family Relationships: My family adviser's loyalties are explicit in the event that my family’s individual members’ interests diverge.


Key Questions


1. Will you always put my interests ahead of your own and your firms?





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