A HIGHER STANDARD

WHAT MAKES GIPS® COMPLIANCE SPECIAL?

• Participation in GIPS® is voluntary and regulators do not require investment management firms to follow it, indicating that those firms who opt into this process are truly committed to reporting and performance excellence.
• GIPS® compliance indicates that a firm sticks to the overall guiding principles of the GIPS® standards: fair representation and full disclosure of a firm’s investment performance.
• When comparing the results of multiple GIPS® compliant firms, you can be confident that results were calculated and presented by firms using the same methodology.

We’re a Registered Investment Advisor (RIA) registered with the Securities and Exchange Commission.

• An RIA has a special “fiduciary duty” to its clients.
• That means we have a legal obligation to provide proper investment advice and always act in the best interests of our clients. Any other advisor—with banks, brokerages, broker dealers, wirehouses, etc.—can be held to a lower “suitability” standard. They may suggest an investment considered suitable for you at that moment, but may not make sense for your situation later in life. As an RIA, we’re obligated to keep tabs on your investments over your life to ensure they remain appropriate for your inevitably changing circumstances—such as marriage, children, evolving financial situation, older age and more.
• A third-party institutional custodian holds our clients’ assets. This translates to even greater peace of mind for clients.
• Though we oversee and manage your assets, a multibillion-dollar entity, such as Charles Schwab, safeguards your money. The custodian focuses on holding assets and providing infrastructure services such as the execution of trades that we order. That allows us to focus solely on understanding your needs and providing the best advice possible. It also adds an important system of checks and balances. You will receive regular statements from our custodian, detailing every transaction in your account, in addition to the reports that we provide.

Every client deserves a crystal-clear understanding of what their financial advisor does for them, including transparent, comprehensive reporting on the returns and the costs of their investments.

• Our fees are simple and easy to understand. We’re not interested in hiding or complicating our compensation. We offer excellent work at a fair price, the only way to build a partnership of mutual trust and benefit. And quite frankly, it’s the only kind of partnership we’re interested in.
  
• What does all of this mean for you? When you receive a quarterly CapWealth statement (digital or paper, your choice, but either way will always come with a personal letter and our brief analysis of the market), you will get some graphs and pie charts, because those are great tools. But on the first page of every report, you’ll always get these important basics: the beginning value of your account, the ending value, gains and income, and fees. All in black and white.
  
• To receive additional information regarding CapWealth, including GIPS® compliant performance information for CapWealth’s strategies and products, please contact Ryan Hitt at rhitt@capwealthgroup.com.

GIPS® is a registered trademark of CFA Institute. CFA Institute does not endorse or promote this organization, nor does it warrant the accuracy or quality of the content contained herein.