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Independent Registered Investment Advisers are professional independent advisory firms that provide personalized financial advice to their clients, many of whom have complex financial needs. Because these advisors are independent, they are not beholden to any particular family of funds or investment products. As fiduciaries, they are held to the highest standard of care—and are required to act in the best interests of their clients at all times. They are registered with either the Securities and Exchange Commission or state securities regulators.
In our advisory role, we never take custody of client assets. We utilize Schwab as the custodian of client accounts and as our primary broker. Our relationship with Schwab is an arm’s length transaction with no exchange of funds between Schwab and us. When your account is established with Schwab, you provide us with limited trading authorization on your account. This authority allows us to process trades directly in client accounts.