Important information about our relationship with you.
We believe a strong relationship is based on transparency and trust. That's why we want to provide you with a clear understanding of our services. No matter how you work with us, we act in your best interest when we give you advice about your investments.
Our services, fees, and obligations when you work with us.
Broker-Dealer Relationship Summary (形式CRS-BD)
If you are primarily self-directed and only need occasional help and guidance with your investments, we will act as your broker-dealer and will provide periodic investment advice. This document gives you a summary of the types of services we provide and what they cost.
Investment Advisory Relationship Summary (形式CRS-IA)
If you want ongoing help and guidance or would like us to manage some or all of your money, we can act as your investment advisor and provide ongoing advice. This document gives you a summary of the types of services we provide and what they cost when you enroll in one of our investment advisory programs like 施瓦布 Intelligent Portfolios®, 施瓦布 Private Client™, 施瓦布 Advisor Network®, and other managed portfolio solutions.
Your Best Interest – Broker-Dealer Relationship
If you'd like to learn more about how we work in your best interest when we make account and investment recommendations as a broker-dealer, we suggest you read our Best Interest Disclosure.
Your Best Interest – Investment Advisory Relationship
When you enroll in one of our investment advisory programs, we act in your best interest and typically provide ongoing advice or manage your money for you. The role we play depends on the program. As part of the enrollment process, you will receive a disclosure brochure. Go here to explore our range of programs.