Fulfilling a Fiduciary Obligation is not a solitary achievement but one that is habitually executed. It can only be defined as a virtuous act of both trust and accountability made visible when someone has placed their client’s goals before their own. It requires Subject Matter Expertise in:


. Portfolio/Wealth Management techniques/analytics

. Financial Technology; providing visible evidence of methodology

. Law

We focus our services on the behaviors and methodologies that are prerequisite to outcomes. By doing so we raise fiduciary awareness, uncover fiduciary breaches, and improve the likelihood that clients reach their objectives. 

          . Case Origination

          . Breach/Allegation discovery & formulation

          . Evidence discovery and interpretation    

          . Expert Witness/Testimony, Rebuttal, Cross Examination

          . Methodology discovery

.         .


Technology supports every facet of the Financial Services Industry. Many utilize Fintech for Financial Planning, CRM, Analytics, Reporting, Portfolio Management, etc.  Its importance will only increase due to the need of satisfying regulatory requirements. We are highly experienced "Fintech Fiduciaries"  that can optimize your technology needs and elevate your visible cognizance of oversight.

Expertise in the following disciplines that recognize and fulfill Fiduciary Duties:

          . Portfolio/Wealth Management techniques/analytics

.         . Financial Technology; providing visible evidence of                        methodology

          . Legal Awareness; ERISA, DOL, FINRA  


For International Banking & Financial Services contact or