Fiduciary Standards

Integrity, trust, expertise and care are hallmarks of the CCM experience. They are at the root of all we do and the essence of who we are.

fi·du·cia·ry: a person who is responsible for managing the assets of another person and stands in a special relationship of trust, confidence, and/or legal responsibility (The Center for Fiduciary Studies).

In practical terms, a fiduciary relationship represents the highest standard of care imposed by either equity or law. A fiduciary owes a duty of loyalty to whomever services are provided and is expected to be above reproach in carrying out their duties. They must not put their personal interests before that of their clients, and they may not profit from their position as a fiduciary without the consent of the person to whom they have pledge their fiduciary duties.

CEFEX Certification

Our firm has been recognized by the Centre for Fiduciary Excellence (CEFEX) among the first of investment advisors globally to complete the CEFEX independent certification process. Relationships built upon trust have always been a critical core value at CCM, and we are honored to be recognized in the presence of other firms that have also achieved this certification.

“Through CEFEX’s independent assessment, the certification provides assurance to investors, both institutional and individual, that CCM has demonstrated adherence to the industry’s best fiduciary practices.” -General Manager of CEFEX, Carlos Panksep

Read more about what it means to work with a CEFEX Certified Advisor.

Accredited Investment Fiduciary® Designation

In addition to firm-level certification through the Center for Fiduciary Excellence President Justin Stets, Senior Integrated Wealth Advisor Jason Kley, Chief Investment Officer Adam Hoffmann, and Director of Retirement Plan Services Cami Peterson, have earned the individual designation of Accredited Investment Fiduciary® from the Center for Fiduciary Studies. The AIF designation represents a thorough knowledge of and ability to apply fiduciary practices.

“AIF designees have a reputation in the industry for the ability to implement a prudent process into their own investment practices as well as being able to assist others in implementing proper policies and procedures. For this reason, the AIF was named one of the ‘Ten Most Wanted’ designations in the investment industry by Financial Planning magazine.” – Center for Fiduciary Studies

Fiduciary Matters

Combining expertise with a fellow Zero Alpha Group firm colleague, CCM President Justin Stets co-authored “Fiduciary Matters: Relationships of Trust,” an informative paper outlining the role of a fiduciary within a wealth advisory relationship. The paper is written testimony to the processes and procedures to which Carlson Capital Management is committed and names for our clients, and to the standards we hold as fiduciaries.