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What is a Registered Investment Advisor (RIA)?
An RIA is registered with the Securities and Exchange Commission or state regulatory agency for the purpose of managing investments. RIAs charge a fee to clients and are not compensated by brokerage commissions or by investment companies for the sale of products. RIAs are required to act as fiduciaries on behalf of their clients. Examples of fiduciaries are the following: RIAs, trustees, guardians and executors of wills and estates.
Fiduciary is an advisor/firm who is looking out for the best interest of its clients at all times and must disclose any conflicts of interest that arise from adviser's business dealings. As a RIA, Matchpoint Capital Management, LLC is subject to this fiduciary standard. However, the most well known Wall Street companies (Morgan Stanley, Merill Lynch, UBS, Bank of America, Wachovia, Wells Fargo, HSBC, Credit Suisse, etc ) are not. The same is the case for insurance companies and most banks investment departments. This is a tremendous disservice to the clients they attempt to serve.
ADV II is a form that contains information about Investment Advisory firm and the type of business it conducts. Form ADV II is available upon request.
No. Accounts are held in the name of the client at Fidelity Institutional Wealth Services.
We are compensated on a flat fee basis (charged as % of assets under management).
Yes. You will have online access to monitor your investments and download statements, tax information, financial data, etc.
Yes. Since we are a boutique firm serving a limited number of clients, the minimum client relationship is set at USD 500,000. Our primary and most important job is providing the best possible service to our existing clients. Unlike traditional brokers, banks, insurance companies, mutual fund companies, which base their success on volume, our success is not measured by the amount of new clients and accounts we gather, but rather on how well we manage our existing clients assets.
No. We will review your current investments and decide if it makes sense to sell them or keep them in your portfolio. Elements we take into consideration when making that decision are tax liability, overlap in investment holdings, current market/sector conditions, etc...
Yes, as long as all the required account forms have been filled out and the country of client's residence is not on the restricted list.
No. If you have additional questions please contact us: Phone: +206.774.0993 Email: email@example.com