As your client base and assets under management grow, the risk of significant loss to your business increases.
As an RIA, you have enormous responsibilities. It’s like a puzzle. And it’s easy to miss some of the pieces. No single policy will cover you for everything you need.
Are you protected?
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Clients’ confidential information – like account numbers or social security – is hacked.
A client blames your advice for market losses or your firm makes a trade error.
A disgruntled client files an SEC complaint triggering an audit and you need to hire a lawyer.
Property and general liability
Client assets are stolen due to a successful scam, or an employee embezzles funds.
You are sued for wrongful termination or sexual harassment.
An employee is hurt on the job.
If any of these real-world perils happens to you, would your business be protected?
A comprehensive analysis is the only way to know.Learn More