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Fiduciary Excellence Assessment - Level 1

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The Fiduciary Excellence Assessment is a comprehensive suite of evaluations designed specifically for investment stewards, aiming to spotlight and enhance the quality and integrity of their fiduciary practices. This assessment is anchored in a structured framework that evaluates an organization’s adherence to a global fiduciary standard of excellence, as substantiated by pertinent legislation, case law, and regulatory opinion letters. Starting with the Self-Assessment of Fiduciary Excellence (SAFE), it offers investment stewards a powerful tool to introspect and gauge how effectively their organization aligns with recognized fiduciary best practices. This initial level sheds light on potential areas that may require improvement or adjustments, ensuring the steward’s commitment to excellence is both evident and actionable.

Ideal for trustees, board members, and those in charge of managing or overseeing investment portfolios on behalf of others, this assessment process is vital in fostering a transparent, accountable, and performance-oriented culture within fiduciary organizations. By progressing through the assessment levels— from the initial SAFE to the more detailed Consultant's Assessment of Fiduciary Excellence (CAFE), and culminating in the prestigious Level III Certification—investment stewards can not only improve their long-term investment performance but also affirm their dedication to upholding the highest standards of fiduciary responsibility. Such rigorous assessment and adherence to fiduciary best practices serve as a testament to an organization's commitment to earning and maintaining the trust of those they serve, marking a clear distinction in the landscape of investment management.

Read more below or take the fiduciary test here.

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Self-Assessment of Fiduciary Excellence
for Investment Stewards

This Self-Assessment of Fiduciary Excellence (SAFE) is intended to assist: (1) An Investment Steward in analyzing how well their organization meets a defined global fiduciary standard of excellence; and (2) Investment Stewards in improving their long-term investment performance.

Each question is intended to be answered in the affirmative (“Yes”). A careful inquiry should be made into all “No” responses to determine whether:

  1. There is an omission or shortfall in the Investment Steward’s procedures; and/or
  2. The question is not applicable to the Investment Steward.

Each of the questions corresponds to a fiduciary Practice that has been fully substantiated by legislation, case law, and regulatory opinion letters by the law firm of Reish Luftman Reicher & Cohen.

This SAFE is intended to serve as a Level I Assessment. A Level II Assessment, known as a Consultant’s Assessment of Fiduciary Excellence (CAFE), provides a more detailed analysis of the Investment Steward’s practices. A Level III Assessment, or “Certification”, is an independent recognition of a fiduciary’s conformity to all Practices and Criteria, as defined by the Prudent Practices handbooks. It implies that a fiduciary can demonstrate adherence to the industry’s best practices, and is positioned to earn the public’s trust.

CLICK HERE to take your Self -Assessment

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