Our Clients
The Alpha Financial Advisors client base is rooted in family, friends and their referrals. It consists of individuals from many walks of life including working professionals, married couples as well as singles, small business owners, sole proprietors, people just starting out, retirees, and trusts. We pride ourselves in our ability to offer a unique approach based on individual client needs and our long-lasting relationships with our clients – which often spans generations.
A minimum of $500,000 of investable assets is required to become a client and receive our comprehensive advisory services.
Confidentiality
Keeping with the professional code of the Certified Financial Planner® Board of Standards and the fiduciary standard by which we are held as Registered Investment Advisors, all client information is kept in the strictest confidence and may only be disclosed by court order.
Fiduciary:
Following the NAPFA Fiduciary Oath means I shall:
- Always act in good faith and with candor.
- Be proactive in disclosing any conflicts of interest that may impact a client.
- Not accept any referral fees or compensation contingent upon the purchase or sale of a financial product.
http://www.cfp.net/about-cfp-board/ethics-enforcement
The Rules of Conduct require CFP® professionals to put your interests ahead of their own at all times and to provide their financial planning services as a “fiduciary”—acting in the best interest of their financial planning clients. CFP® professionals are subject to CFP Board sanctions if they violate these standards.
Custody
Client accounts are held at the institutional division of Charles Schwab, an industry-leading platform designed to empower and support independent advisors. Charles Schwab Institutional provides a full range of investment funds and vehicles, a wide array of trading services, and investment account options that allow us to better service our clients’ needs.
Code of Ethics
A CFP® professional abides by a strict code of conduct, known as CFP® Board’s Code of Ethics and Professional Responsibility, which sets forth ethical responsibilities to clients. CFP® Board also conducts a background check. Through the Code of Ethics, CFP® practitioners agree to act fairly and diligently when providing financial planning advice and services, and to always put the client’s interests first. CFP® practitioners are required to provide clients with their sources of income and conflicts of interest in writing. The Code of Ethics is available at http://www.cfp.net/learn/codeofethics.asp.