Finlayson Financial Planning

Finlayson Financial Planning, Inc. is an SEC-registered investment adviser with $11 million in regulatory assets under management. The firm has 1 employee and...

Finlayson Financial Planning

Finlayson Financial Planning, Inc. is an SEC-registered investment adviser with $11 million in regulatory assets under management. The firm has 1 employee and 1 investment adviser. It operates with a single office.

General information

Firm type

Asset Manager

Location

City

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Is Finlayson Financial Planning a fiduciary?

Yes. As a registered investment advisor (RIA), Finlayson Financial Planning is legally bound by the Investment Advisers Act of 1940 to act as a fiduciary to its clients. This means the firm must place client interests ahead of its own in all recommendations and transactions — a higher standard than the suitability standard that applies to broker-dealers. Its fee-only compensation model removes commission-based conflicts of interest that can arise in brokerage relationships. The firm's fiduciary status is a matter of public record with its primary securities regulator.

Does Finlayson Financial Planning manage institutional assets?

There is no public record of Finlayson Financial Planning managing institutional separate accounts, pooled investment vehicles, or pension assets. Its registration as an RIA and its branding as a financial planning firm suggest a client base composed of individual and family households rather than endowments, foundations, or sovereign wealth funds. No filings with the SEC's EDGAR system or Form ADV disclosures are available to corroborate any institutional mandates or commingled fund structures on the platform as of the most recent review.

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