Broker Check

Fiduciary Focus

What Does It Mean to Act as a Fiduciary?

At Marshall Investment Management we are fiduciaries. When we provide investment advice to you, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. We operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours.  The Impartial Conduct Standards are consumer protection standards to ensure financial institutions and investment professionals adhere to fiduciary norms and basic standards of fair dealing.  The standards specifically require financial institutions and investment professionals to:

•    Meet a professional standard of care when making investment recommendations (give prudent advice).

•    Never put our financial interests ahead of yours when making recommendations (give loyal advice).

•    Avoid misleading statements about conflicts of interest, fees, and investments.

•    Follow policies and procedures designed to ensure that we give advice that is in your best interest.

•    Charge no more than is reasonable for our services.

•   Give you basic information about conflicts of interest. 

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