Use the following checklist to determine your level of comfort with your existing financial planning and investment advisory relationship. If you are not satisfied with your situation, assert your rights by talking to your planner or advisor about your concerns. A competent, ethical planner will seek to understand and meet your needs and will explain the reasons behind his or her decisions and actions. Investment Portfolio Management should not be overly complicated and costly.

Summary of your rights as a client with Yale Capital Management

  1.    My advisor is diligent in carrying out his or her activities.

  2.    My advisor responds to my phone calls, e-mails or requests promptly.

  3.    Recommendations are appropriate for my situation.

  4.    My advisor puts my needs before those of their employer and themselves.

  5.    I understand what I’m being charged and why.

  6.    I understand and accept my planner’s potential conflicts of interest.

  7.    My interests drive the decisions being made.

  8.    I’m involved in decisions at the appropriate time.

  9.    I do not feel pressured to make certain decisions.

  10.    I get adequate information to make good decisions.

  11.    My planner investigates the products he or she recommends.

  12.    I get the service or products I pay for.

  13.    My planner presents his or her qualifications or abilities honestly.

  14.    My advisor works hard to keep his or her qualifications current.

  15.    My information is kept confidential.

  16.    My planner is concerned in helping me to learn more about personal financial planning.

We value your business it is important to us and we promise to deliver an exceptional service to every client of Seagrave Capital Management at every juncture. If you are not satisfied with the level of service you are receiving please contact Seagrave Capital Management Directors and share your experiences as this allows us to keep the service levels we promise to deliver nothing short of exceptional.