Dopkins Wealth’s Guiding Principles

Guiding Principles establish the fundamental norms, rules, or ethics that represent what is desirable (values) and affirmative for our profession and help us determine the rightfulness or wrongfulness of our actions. Here are Dopkins Wealth’s:

Act in the best interest of the client.

We provide advice and recommendations that are in the client’s best interest. Pursuant to the Investment Advisers Act of 1940, we follow a fiduciary duty standard of care.

Deliver attentive, individualized service.

We provide a high level of personal attention. We make a point to get to know all our clients and to learn what is important to them.

Provide a team for each client.

Each client benefits from a team of professionals. We help clients make sound investment decisions by incorporating expertise from the areas of tax management, wealth management, portfolio advising and fixed income into their long-term plans.

Build customized, integrated financial plans.

We develop financial plans that integrate each client’s unique situation together with their need, ability, and willingness to take market risk. These plans are formalized within a written Investment Policy Statement to ensure consistent adherence.

Achieve goals through strategic advice.

Our advice is goal-oriented, whether the goals are imminent or long term. We evaluate and make recommendations for achieving them.

Focus on professional advice, not on products.

We are client-centric, which means we focus on delivering sound advice and targeted solutions. The only incentive we have in offering particular solutions is whether the client’s best interest will be served.

Practice full disclosure and seek transparent costs.

Potential conflicts of interest as well as any costs incurred are fully disclosed and clearly explained.

Align our fee structure with clients’ best interests.

We provide fee-only investment management services. We believe this approach best aligns our interests with our clients’, helping us meet our fiduciary obligation as a Registered Investment Advisor.

Take advantage of academic research

Our advice is based on peer-reviewed academic evidence. We strive to make it straightforward and understandable. In addition to seeking broad global diversification according to the tenets of Modern Portfolio Theory, we assist with appropriate asset location between taxable and tax-advantaged accounts.

Practice what we preach

We invest our personal assets based on the same set of investment principles, using the same or comparable securities that we recommend to our client.

For a copy of our Guiding Principles, please click here.

You may also be interested in our

Core Values

Firm Commitments

Team Members

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