- Best Practices
- Fiduciary September
- Frankel Prize
- Campaign for Investors
Aegis Financial Advisory, LLC
On March 25, 2017
19925 Stevens Creek Blvd., Suite 100, Cupertino, CA 95014
Aegis Financial Advisory offers comprehensive wealth management, investment management and financial planning.
Compensation methods accepted
Fixed fee based on assets or financial circumstances
Required education for senior advisors in the firm
CFP® (Certified Financial Planner)
Link to SEC/state registration
Aegis Financial Advisory
I formed my firm with the goal of providing non-conflicted, comprehensive financial advice. I work solely for my clients, not a financial services company, and my primary loyalty is to them.
… A business model that places the burden on the client to know when their adviser is acting in their best interest and when he is not is fundamentally flawed. Clients deserve the reassurance that their adviser is acting in their best interest 100% of the time. Simply put, fiduciary advice places the focus on where it belongs: doing what is best for the client, not the adviser or his employer.
The Institute for the Fiduciary Standard
Welcome to the Institute for the Fiduciary Standard!The Institute is a nonprofit formed in 2011 to benefit investors and society through its research, education and advocacy of the fiduciary standard's importance to investors, our capital markets and economy. Six key fiduciary duties embody the fundamental elements of an investment fiduciary’s responsibility. Read More
Why an InstituteThe rationale for an Institute for the Fiduciary Standard is straightforward: The fiduciary standard is important, representing ideas central to our form of government and free market economy; it is under significant pressures from market forces that could sharply limit its reach; no other entity is solely focused on preserving and promoting the fiduciary standard. More...
The 6 Core Fiduciary Duties
- ‣ Serve the client’s best interest
- ‣ Act in utmost good faith
- ‣ Act prudently -- with the care, skill and judgment of a professional
- ‣ Avoid conflicts of interest
- ‣ Disclose all material facts
- ‣ Control investment expenses
Best Practices Board
- Christopher Cannon, CFA
- William C. Prewitt, M.S., CFP
- Stephen D. Johnson, CFP©
- Knut A. Rostad, MBA
- General Counsel to the Best Practices Board: Daniel Bernstein
- Clark M. Blackman II, CFA, CFP, CPA/PFS