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“My ultimate goal is to thoroughly review your practices and procedures, to make sure you are above reproach.”

Accredited Investment Fiduciary Analyst

The word 'fiduciary' is in the news every day. The reasons are simple enough. Breach of fiduciary duty claims are the number one claim in FINRA arbitrations and SEC enforcement actions. Regulators, SEC, FINRA, DOL, all appear to be more activist in raising the bar for fiduciaries. There's a lot at stake. And, as evidenced by the all-too-familiar headlines reporting fiduciary irregularities, there's a lot that can go wrong.

Prevention is the best medicine

The most effective, least expensive way to address issues is before, not after, legal and regulatory agencies come calling. This is where I can help. As an experienced Accredited Investment Fiduciary Analyst, I can help you make sure your firm is above reproach.

A Fiduciary Review is a smart start

At the core of my contributions is a Fiduciary Review, or what many firms refer to as a Mock Audit. This evaluation of all the investment practices and procedures being utilized in your firm helps you:

  • Establish evidence that you're following a prudent process, thereby minimizing the risk of litigation
  • Uncover risks in your investment choices and/or procedures
  • Benchmark your firm against similar firms

The pressure on fiduciaries is greater than ever. But a thorough, systematic review can help you avoid problems.


For more information, contact Keith Loveland, 952-746-1106, or by email at: kloveland@cap-mgt.com