Broker Check

Our Fiduciary Standard


To get to the heart of the matter, Investment managers can be compensated in two ways: they can be compensated as the result of a transaction, or they can be compensated via a fee schedule, regardless of any transaction taking place. Advisors who are compensated by a transaction (paid by a vendor) cannot operate as a fiduciary. Advisors who are compensated by a fee schedule are paid directly by the investor (not a vendor) based on the agreed upon fee. The fee-based advisor is able to enter into an asset management agreement adhering to a fiduciary standard.

An investment advisor who adheres to a Fiduciary Standard is one who is putting their client’s interests first. The advisor who adheres to this standard is not conflicted or incented by a vendor, and is able to exercise his best efforts to act in good faith and in the best interests of the investor. A fiduciary advisor will provide written disclosure of any conflicts of interest which may compromise the impartiality or independence of the advisor.

Additional information, including management fees and expenses, is provided on Capital Wealth’s Form ADV Part 2 which is available upon request by emailing us at

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