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Client's Bill of Rights

Rights for investors, just like individual rights, are some of the oldest and most traditional of American values. Clients' rights must be protected through honest dealings and full and fair disclosure. PMG believes in basic investor rights, which are vitally important to the satisfaction of our clients. 
  • All clients have the right to equal and fair treatment.
  • Clients have the right to asset management and products which treat the clients' money with fiscal responsibility and due care as if it were their own.
  • Clients have a right to management that fosters a culture of integrity, honesty, and adherence to the spirit as well as the letter of the law.
  • Clients have a right to management that understands their job is to manage assets, not the amount of commissions.
  • Clients have the right to a financial team that clearly understands it is the steward of the clients' assets, that it serves the clients, that it is not the clients' master.
  • Clients have the right to financial advisers that act on behalf of clients, rather than vendors who must make sales.
  • Clients have the right to a financially literate and actively engaged financial team that views its mandate broadly and acts as the representative of clients.
  • Clients have the right to timely and transparent disclosures of actual asset performance.

 

Clients' Role

PMG's role is to provide our clients with the best possible investment advice and asset management services. Clients have an important role to play as well to ensure that PMG provides the service needed to meet clients' individual goals. 

Clients must provide their designated adviser with complete and accurate information regarding their financial profile, investment objectives and risk tolerance. Clients must notify their adviser when any significant changes occur in their financial profile, stated investment objectives, and/or risk tolerance. 

Clients should understand the investment strategy being recommended. Clients are encouraged to evaluate advisers' recommendations and ask questions to enhance their understanding of the strategy. This open-communication process will help ensure that the adviser and client are working toward the same goal. 

Review account statements on at least a quarterly basis. Clients should immediately address any questions they may have or possible discrepancies they find. Addressing these issues early on will help keep the client's portfolio in line with the investment objectives at all times. 

Clients who work closely with their adviser and play an active role in achieving their investment objectives will likely realize better results. The more the adviser understands the client's needs, objectives, and current circumstances, the quicker an adviser can help move the client from point A to point B.

 
 
 

Pebble Management Group, LLC is a Registered Investment Adviser. Information presented in this publication is not intended to be specific investment advice. Investors should consult a qualified financial adviser before making investments specific to their needs and situation. The information in this website constitutes neither an offer to sell nor a solicitation to invest. Such offer or solicitation will be made only in those jurisdictions where permitted by law.

To the extent that this material concerns tax or legal matters, it is not intended or written to be used, and cannot be used, by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Each taxpayer should seek independent advice from a tax and/or legal professional based on his or her individual circumstances.

These materials are provided for general information and educational purposes based upon publicly available information from sources believed to be reliable—we cannot assure the accuracy or completeness of these materials. The information in these materials may change at any time and without notice.



This communication is strictly intended for individuals residing in the state(s) of LA. No offers may be made or accepted from any resident outside the specific states referenced.
 


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