Fiduciary Duty

Putting Clients First

The Ashworth Sullivan Wealth Management Group, LLC  faithfully accepts our our role as an Investment Fiduciary, which means we place our clients interest above our own at all times.  Our goal is to provide our clients the highest quality, unbiased investment advice & financial planning through thoughtful due diligence and judicious research.

Unique Advantages to being an “Independent” Wealth Management Firm

As an independent Registered Investment Advisor (RIA) we are free to research and recommend from a much larger universe of investment options than is available through most major brokerage firms.   As an independent, we also are free from the inherent conflicts of interest one might encounter when they are a customer of a major bank or brokerage firm such as:

  • We don’t solicit or offer any proprietary investments or mutual funds.
  • We have no sales quotas or production goals.
  • We don’t sell principal investments to benefit our employer.

Instead, our responsibility is to recommend and provide advice in the best interest of our clients across the broadest array of options possible.

Becoming a client of Ashworth Sullivan does not mean you give up the security of holding your assets with a big financial firm.  On the contrary, our clients’ assets are held with custodians TD Ameritrade, and National Financial Services, LLC a Fidelity Investments company.  These two firms are among the largest financial services companies in the world.  TD Ameritrade, NFS-Fidelity along with our broker dealer Triad Advisors, LLC. are members of FINRA & SIPC.  For more information about FINRA and SIPC please click on their links in the footer of this page.

“Your account deserves to be managed in your best interest and you should have a choice”

Fee-only planners sometimes can’t or won’t recommend appropriate alternative investments, annuities, or life insurance products because they are not available on a fee-only platform.  The unintended consequences are an incomplete financial or estate plan, lack of diversification, less than exceptional investments, and the exclusion of some excellent and unique investment opportunities.  Additionally, some investments such as individual municipal or corporate bonds might not warrant an ongoing management fee that can egregiously encroach upon your yield or interest.

As a hybrid firm, we can present more options than a fee-only platform offers.  You should have the freedom to choose the most valuable and cost efficient strategy.  You should have an opportunity to evaluate the broadest possible array of exceptional and non-proprietary investment options.  Your Financial Advisor at Ashworth Sullivan helps you understand and choose appropriately.  It’s both our fiduciary responsibility and our culture.