BlueRock Wealth Management is CEFEX Certified
Why Work With a CEFEX Advisor
CEFEX Defined
Why it Matters to You
A CEFEX-certified firm places its clients’ interests first, increasing trust and full transparency. Our CEFEX certification will allow us to help you realize your investment objectives in a safe and trusted environment. This certification also keeps us, as a firm, striving to better our internal processes and procedures to better serve our clients’ interests.
Certification Audit
CEFEX assessment process is based on the international standard, ISO 19011: Guideline for quality management system auditing.
The assessment is evidence-based, and all work is reviewed by the CEFEX Registration Committee to ensure impartiality and consistency.
The CEFEX certification standards are organized according to a four-step management process, analogous to the global ISO 9000 Quality Management System standard, which emphasizes continual improvement in a decision-making process.
CEFEX certification audits include a document review, client file sampling, and on-site visits and interviews with senior representatives and may include questionnaires on regulatory matters, developed by expert attorneys.
Assessments are conducted by CEFEX Analysts, who must hold the Accredited Investment Fiduciary Analyst® designation and a minimum of the ASPPA 401(k) Administrator (QKA) designation for ASPPA certifications. CEFEX Analysts maintain annual assessment training.
Who is Watching Over Your Investments?
Hiring someone to manage your financial assets can be challenging. A continually changing investment landscape, containing a myriad of often complex products offered by well-marketed providers, makes
it very difficult for an investor to make a life-long plan. Seemingly small issues related to fees or performance could have significant impact on the investor’s eventual retirement. How can the investor limit risk and ensure best-practice processes are in place? CEFEX certification has made it easier to appropriately assess how well your Investment Advisory firm is watching over your investments.
What a CEFEX Certified Advisory Firm Offers You:
Investment decision-making can be complex. Although some providers have embraced transparency and true fiduciary accountability, many have not. Over time many interpretations of the law have emerged, allowing some providers the ability to find loopholes from which to profit at the expense of investors.
Now, more than ever, investors need to select trustworthy Investment Advisory firms who are dedicated to safeguarding their clients’ best interests by finding the most appropriate products at the best price.
How a CEFEX Certified Investment Advisory Firm Benefits You:
Investors should conduct due diligence and oversee the providers they hire. This can be time-consuming, but is also very difficult unless you are an expert yourself.
A CEFEX Certified Investment Advisory firm comes ‘diligence ready.’ The Investment Advisory firm is assessed on an annual basis by an independent fiduciary expert. This benefits you through:
– Acts in your best interests: CEFEX Certified Advisory firms can demonstrate how they select investments which are in your best interest, rather than just ‘suitable’ for you.
– Increased efficiency: CEFEX Certified Advisory firms have developed processes that maximize quality and efficiency.
– Better decision-making: CEFEX Certified Advisory firms utilize a factual approach that facilitates information-gathering and decision-making based on market data.
