You should fire your broker and find an investment advisor. Brokerage firms would like you to think that they perform the same functions as investment advisors. Many brokers call themselves 'financial consultants' or 'financial advisors'. But they are not the same as independent investment advisors... an investment advisor's fiduciary duty is on a higher plane, like that of a lawyer, a trustee, or the executor of an estate.”
- Arthur Levitt

Former SEC Chairman
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The Process

We begin with an exploratory conference, to discuss your financial planning issues and investment expectations and to introduce our investment management philosophy. Based on information gathered at this meeting, we develop a detailed wealth management proposal addressing both your investment management and planning needs. At our second meeting, we will present the proposal and explain it thoroughly.

Subsequently, if you decide to become a client, we provide you with an individualized investment policy statement and, with your approval, implement the recommendations made in our proposal.

Account Transfers

Principia does not custody client assets. If new accounts are needed, they will be opened at the custodian of your choice under your name. We will prepare all paperwork necessary to open your accounts. We will keep you informed of the process and will be in contact immediately if any further action is required on your part. All account transfers will be done taking into consideration tax consequences and trading costs. You will receive confirmations of all account activity including any trades and transfers as they occur.

OVERVIEW

Retaining Principia is a very simple process. We manage all asset transfers from start to finish, so you don't have to.