Rules for Responsible Investing

Invest with Confidence.

We have a responsibility to ensure the quality and integrity of the investments we recommend to our clients. This includes monitoring third party investment managers and investment product providers to help ensure they operate with the highest level of service and ethical standards.

To this end, we have compiled our responsible investment guidelines so our clients can invest with confidence.

Rules for Responsible Investment:

Alignment of Interests
- At the core of each of our client relationships is the fact that our interests are aligned with our clients’ interests. Our service and investment structure was created and operates to assure this alignment. Any conflicts of inertest that may arise will be disclosed, addressed and, whenever possible, removed from our service offerings.
Placing Plan Participants First
- In accordance with the standards set under ERISA, all decisions that impact the plan are made for the benefit of the plan participants. This is the primary standard for our firm and is the driving force behind each of our services and offerings.
Third Party Asset Verification
- We do not prepare or create any client financial statements in house. For additional peace-of-mind, all of our statements are produced by third-party clearing firms that verify the assets of each participant before they send out their own independent asset reports.
Commitment to Compliance
- Our steadfast commitment to FINRA compliance and adherence to federal, state and local laws is firm. Our broker dealer employs a full-time compliance staff to assure strict realization of compliant practices.
Suitability of Investments
- Each investor is different. We employ a strategic, rational process with the goal of making sure each plan participant is investing in a manner that is suitable for his/her individual needs, goals and risk tolerance.
Communicating and Quantifying Investment Risk
- In an effort to maintain our suitability standards, we commit to using tools to communicate and quantify the risk associated with each investment offering.
Compensation Disclosure and Objectivity Commitment
- In accordance with our first rule for responsible investing, all of our fees are disclosed and clearly defined. As part of our commitment to objectivity, we do not accept any “soft dollar” compensation and revenue sharing arrangements are avoided when practical to avoid any potential conflicts of interest.
Accessibility
- We strive to give each plan participant access to objective and educated professionals to assist in making retirement planning decisions. This accessibility helps each participant invest with confidence.
Rules for Plan Sponsors
- We encourage our plan sponsors to hold themselves to these same standards and principles so that they fulfill their own fiduciary duty to their plan and its beneficiaries.

10116 Valley Forge Circle
King of Prussia, PA 19406

Phone: 610-354-0288
Fax: 610-354-9413
email us

Securities and advisory services offered through Geneos Wealth Management, Inc. Member FINRA/SIPC.