Phone: 203-662-3415
Email: tami@beaconcapitalllc.com

Address:
30 Old Kings Highway South
Darien, CT, 06820

Regulatory Matters

Fiduciary Standard of Care

Beacon Capital LLC follows the Fiduciary Standard of Care in managing the assets of its clients.

The Fiduciary Standard was established as part of the Investment Advisors Act of 1940 and is similar to a doctor's Hippocratic Oath. The U.S. Securities and Exchange Commission (SEC) and state securities' regulators hold Advisors to a Fiduciary Standard that requires them to act in the best interests of the client - specifically stating that they must put their clients' interests above their own. The Fiduciary Standard also dictates that the Investment Advisor must divulge any possible conflicts and is more stringent than the suitability standard which governs broker-dealers. 

 

SEC FORM ADV

All client relationships are established after a review of our current SEC FORM ADV Part II and involve an Investment Advisory Agreement as well as a written agreement on Investment Objectives. Our SEC FORM ADV Part II discusses the firm's financial, operational and disciplinary background. It also covers our investment methodology, staff, fee structure and potential conflicts of interest. It is updated at least once a year and is required reading for all clients, new and existing. 

 

 

 

 

 

 

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