Broker Vs. Investment Advisor: What Are the Differences? Why Is It Important to You?

Both brokers and investment advisors are licensed professionals who assist investors with their financial
goals and objectives. Brokers are regulated by the Financial Industry Regulatory Authority (FINRA) while
investment advisors are regulated by either the Securities and Exchange Commission (SEC) or their home
state regulatory body, depending on the advisor’s level of assets under management. Although their roles
might seem similar to an outsider, investment advisors and brokers perform very different roles and
provide very different types of services in the delivery of financial services to investors.

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Our goal is to preserve capital and enhance wealth by providing comprehensive investment advisory services within the context of establishing and maintaining long-term client relationships. As an independent, fee-only firm, we serve our clients with complete objectivity and manage conflicts of interest effectively.