Fiduciary Requirement

Not all financial advisors can say they act as a fiduciary and operate under a fiduciary standard.

The team at Executive Wealth Management regards their fiduciary role with gravity. The role of EWM’s Chief Compliance Officer is to ensure that the regulations that are put out by the Securities and Exchange Commission (SEC) are being followed by our firm.

Beyond regulations, we desire to consistently go well above and beyond the minimum that the SEC asks us to do. This is because we know our work is about the lifestyle and assets of our clients. Those assets that you entrust to us are what allow you to do what you love.

Our CCO helps keep us on our financial-compliance-toes through regular trainings, workshops, evaluations, and industry seminars. It is vitally important for our advisor team to be open and work well with our CCO, as we seek to maintain a standard that exceeds the regulations that the SEC imparts on financial advisors. We celebrate the collaboration found in the EWM team.

The EWM team of financial advisors is focused on building relationships with their clients and building those in a compliant manner in the best interest of our clients.

EWM’s team of financial industry specialists is accessible to our advisors at any time when difficult situations may arise. For example, when an advisor perceives that a client could be in a vulnerable position, such as an elderly client who might be having a difficult time with memory, or someone possibly taking advantage of them, our CCO can work with our advisors toward a professional and compassionate solution.

At Executive Wealth Management, we are dedicated to being transparent with our clients. One of the ways we do this is to review and update our firm disclosure brochures as often as necessary. We encourage you to review these documents titled Form ADV Part 2A (Link at the bottom of the site) and our Wrap Fee Brochure, Appendix 1 of the Form ADV Part 2A. These documents are the ultimate reference for information about our firm.

Working with a FIduciary

Ethically Bound: As a fiduciary, we are ethically bound to act in every client’s best interest. You can feel confident that your portfolio is being managed by a team that is dedicated to helping you reach your financial goals.
Full Transparency: We believe in cultivating relationships with our clients on a foundation of trust. A significant part of a successful relationship is open and honest when providing advice, recommendations, and management of your account. Our financial advisors strive to keep you informed, up to date, and educated on all aspects of your portfolio.
Help You Reach Your Future Financial Goals: We want you to succeed in achieving and exceeding your financial goals. Your advisor is part of a team who provides recommendations on the investments and opportunities that will work best with your portfolio and risk tolerance.

Responsive to Market Changes: After creating your financial plan, as fiduciaries, we manage your investments, watching the market and the trends. Your portfolio is managed with our proprietary Protactical© Process, a disciplined investment strategy overseen by our Investment Policy Committee. The Protactical© Process works with asset allocation models that are tactically adjusted in response to changing market environments.

Working with a financial advisor as your fiduciary gives you the freedom to focus on what’s important to you while knowing that your financial advisor is working in alignment with your financial plan.