Client Bill Of Rights

Quality of Service

You are entitled to a high level of proactive, courteous service from all associates at Oaktree Advisors.

Trusted Advisors

You have the right to work with a trustworthy, dependable, independent advisor focused on your financial needs. Your Financial Advisor will develop a personal relationship with you through insightful communication highlighting our core beliefs, investment outlook, and management philosophy. Oaktree Advisors will present portfolio reviews annually, or as often as necessary, and be available to answer the questions that matter to you as they arise.

Recommendations Based Upon Your Needs

You have the right to independent and unconflicted advice and recommendations based upon your defined needs, risk tolerances and goals. Through holistic wealth planning, your needs are clearly defined and constantly monitored.

Confidentiality

You have the right to the strictest levels of confidentiality with information provided to Oaktree Advisors. We will protect all information to the highest standards outlined by SEC, FINRA, state and regulatory agencies.

Transparency

You have the right to a transparent relationship and to clearly know the costs of portfolio management, transactions and advisory services. All communications with the Oaktree team strive to be clear and concise. If you have a question, it is our duty to answer it for you in an understandable way.

Prompt Response

You have the right to a prompt response from your Oaktree Advisors team. As your trusted advisor, Oaktree Advisors commits to returning calls by the end of each business day. Should a request require additional research, our team will set a clearly defined time frame for redress.

Best Execution

You have the right to receive best execution in all that we do. Portfolio transactions will be executed in a timely manner with prompt trade detail confirmation. All interactions with the Oaktree team will be timely, precise and promptly completed.