Investment Conversation Starters

Here’s some questions to ask us, or any financial professional you consider working with. Additional information about choosing a finance professional is available from the U.S. Securities and Exchange Commission (SEC).

Who are you?
Aesop Advisor LLC is registered with the Financial Industry Regulatory Authority (FINRA) as an investment advisor. Free tools to research firms and financial professionals are available from the SEC, along with educational materials about broker-dealers, investment advisers, and investing.

What investment services and advice do you provide?
Aesop Advisor LLC offers financial advice through our Compass service, which includes a personalized written financial plan with recommendations for cash-flow, savings, debt management, and investments.

Are you required to act in my best interests?
As a registered investment advisor, we are required to act as a fiduciary to our advisory clients. This means we have a fundamental obligation to act in the best interests of our clients and to provide investment advice in our clients’ best interests. We owe our clients a duty of undivided loyalty and utmost good faith, and should take every reasonable step necessary to avoid any activity in conflict with the interest of any client. Ask your financial professional if they are a fiduciary. If so, ask them if they are fiduciary some of the time, or all of the time, and ask them to clarify when they are acting as a fiduciary and when they are not. Regulations for investment advisors can differ from broker/dealers, although similar services may be provided. Aesop Advisor, LLC is a registered investment advisor, and is not registered as a broker/dealer. More information about investment advisors and broker/dealers is available from the SEC.

Click to view our fees.

Click to answer a couple questions to help decide if Aesop might be a good fit for you. (No submission required)

Click for more about investment account types and which may be good for you.

Click to learn more about investment options based on your circumstances.

Click for more about our account custodians/brokerages.

*Important: Investments in your advisory account are not protected by the Federal Deposit Insurance Corporation (FDIC) and may lose value. All investments involve assuming the risk of losing the principal invested. The past performance of a security, stock, bond, industry, sector, market, or financial product does not guarantee future results or returns.