Smart Investor Recognized for Fiduciary Excellence

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CEFEX Certifies Rocklin-Based Firm’s Commitment to Providing Fiduciary Advice

smart-investor.cc

smart-investor.cc

Being certified by CEFEX for fiduciary excellence is a sign of our ongoing commitment to always working in the best interests of our clients, whether they are individuals or retirement plans, and providing them with objective, financial guidance.

CEFEX, the Centre for Fiduciary Excellence, LLC, has certified Smart Investor, a Registered Investment Advisor headquartered in Rocklin, California, to the standard described in the handbook “Prudent Practices for Investment Advisors.” Smart Investor joins the elite group of investment advisors who have successfully completed the independent certification process.

The CEFEX standard describes how an investment advisor assumes the responsibility for managing a client’s overall investment management process, which includes the selection, monitoring and de-selection of investment managers, as well as developing processes to implement investment strategies and fiduciary practices on an ongoing basis.

“The fiduciary standard is the gold standard for providing investment advice,” said Allan Henriques, president and CEO of Smart Investor. “Being certified by CEFEX for fiduciary excellence is a sign of our ongoing commitment to always working in the best interests of our clients, whether they are individuals or retirement plans, and providing them with objective, financial guidance.”

“Through CEFEX’s independent assessment, the certification provides assurance to investors, both institutional and individual, that Smart Investor has demonstrated adherence to the industry’s best fiduciary practices,” said Carlos Panksep, general manager of the Centre for Fiduciary Excellence. “This indicates that Smart Investor’s interests are aligned with those of investors.”

Smart Investor has been certified for provision of investment advisory services for: ERISA defined benefit and defined contribution plans, including discretionary advisory services within the ERISA 3(38) and Fiduciary Adviser (PPA) safe harbors; not-for-profit retirement plans including 403(b) and 457 plans; private clients including high-net-worth individuals, trusts and businesses foundations; endowments; and charitable remainder trusts. The annual certification process involves a detailed assessment of operational data and procedures, followed by on-site interviews with key personnel. Smart Investor is registered at http://www.cefex.org/, where its certificate can also be viewed.

The standard is substantiated by legislation, case law and regulatory opinion letters from the Employee Retirement Income Security Act (ERISA), the Investment Advisor’s Act of 1940, Uniform Prudent Investor Act (UPIA), Uniform Prudent Management of Institutional Funds Act (UPMIFA) and the Uniform Management of Public Employee Retirement Systems Act (MPERS) in the U.S.

A full copy of the standard can be downloaded from CEFEX at http://www.cefex.org and a summary can be viewed by clicking on Smart Investor’s online CEFEX certificate.

About Smart Investor

Smart Investor is a unique wealth management firm based in Rocklin, California. The firm is an independent, fee-only registered investment advisor serving entrepreneurs, small business owners, and retirement plan sponsors and participants. Learn more at http://www.smart-investor.cc.

Press Contact:

Allan Henriques
President and CEO
5800 Stanford Ranch Road, Building 800
Rocklin, CA 95765
916-435-2100
allan(at)smart-investor(dot)cc

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Allan Henriques
@smartinvestorcc
since: 09/2009
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