The Moment of Truth Letter

The following letter contains the crucial questions that every persons should ask their financial advisor. You can cut and paste this content into an email and customize as you see fit.

Dear [Financial Advisor],

Thank you for your attention and service with regards to my investment accounts.

I have recently decided to take additional steps to ensure that my financial well-being is in order. Thus, I have outlined some important questions below that I would like you to answer so that I can better understand the inner workings of the firm and practices.

Are you a Registered Investment Advisor? If yes, are you also affiliated with a broker dealer (aka Dually Registered)?

Does your firm offer proprietary mutual funds, separately managed accounts or other proprietary products? If yes, do I own any funds, products or vehicles where this is the case?

Do you or your firm receive any third-party compensation and/or commissions for recommending particular investments?

I thank you in advance for your cooperation and understanding.

Sincerely,
(Client)

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