ABOUT INVESTMENT ADVISORS

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The Investment Advisors Act of 1940 generally requires that investment advisors register with the Securities and Exchange Commission (SEC) or with the state securities department in which they do business. The two primary purposes of the Investment Advisor Act of 1940 are to regulate individuals in the business of giving investment advice and to establish standards of ethical business conduct.

Registered investment advisors must act in a fiduciary capacity in their dealings with clients. As fiduciaries, they are held to a higher standard of professional and personal responsibility and must act solely in the best interests of the client. Additionally, they must make full and fair disclosure of all material facts, particularly when the advisor's interests conflict with those of the client.

Unlike investment brokers that act as salesman of investment products for commissions, registered investment advisors provide a fee-based service and have a legal obligation to place their clients' interests ahead of their own.

The bottom line is this ... you pay a fee for competent, objective investment advice and you get it. With a registered investment advisor, you won't get "sold" an investment just because a large commission or other incentive compensation arrangement is involved. Additionally, all sources and amounts of compensation and any potential conflicts of interest will be clearly identified and disclosed to you. There are no hidden agendas.

At Servant Financial, we are proud of our status as a registered investment advisor and the superior transparency of this investment advisory business model.
Did You Know?
You won't get "sold" an investment just because a large commission or other incentive compensation arrangement is involved.