Investment Review

Trust is paramount between you and your financial advisors. Understanding your investments is as well. Does anyone carefully review monthly, quarterly, and annual statements? What legal obligation does your investment advisor owe you or your loved ones? Will this change in 2017 when new federal regulations become effective? An independent review of the legal side of your investments is a great way to make sure you can answer these questions and more. Plus, we’ll organize all your investment statements, reports, and related documents so you and your family can keep track of what’s what.

Investment Review Services:

For a flat fee, our Attorneys will:

  • Meet in person* to discuss legal obligations and rights related to investments (90 minutes)
  • Within one week of  meeting, return records you provided, clearly organized and labeled, as well as a written summary of the meeting including:
    • Status of accounts and holdings
    • Questions to ask financial advisor and/or insurance agent; and
    • Summary of issues discussed.

* Meeting via online video conference available if client prefers. Discounted flat fee for repeat Investment Reviews.

Call or email us at for more information.

10 reasons you or your loved ones need
an objective Investment Review focused
on legal obligations and ramifications:

  1. You see unfamiliar withdrawals or investments on your statements.
  2. Your financial advisor suggests investments in unregistered securities, such as promissory notes or private offerings.
  3. Your financial advisor suggests investments you don’t understand.
  4. You don’t understand how or whether new federal regulations will affect your investments in 2017 and beyond.
  5. Your investments are expensive to own (for example, annual operating expenses, front or back end loads, transaction fees, custodial account fees, wire transfer fees).
  6. You or your loved one has piles of statements, reports, or other financial documents you don’t have time to sort through.
  7. Your loved one lives out of state and you have limited contact with the person overseeing his or her finances.
  8. You don’t know on what basis or how much your financial advisor is paid.
  9. You learn that your loved one’s financial advisor has power of attorney over his or her finances.
  10. Your instincts tell you that your investment advisor (or your loved one’s investment advisor) isn’t being entirely truthful or forthcoming.