Regulatory Filings and Disclosures |
Act with uncompromising
ethics and reliability
Ferguson Wellman and
West Bearing Core Value II
This core value for our firm may be the most important for our employees. In our 2019 client survey, both individuals and institutional clients ranked, “trust and integrity – knowing they have my best interest in mind,” as the most important attribute or quality in an investment adviser.**
On this page, you will find a myriad of resources that are designed to provide transparent and accurate information about our firm’s operations and offerings.
**2019 Ferguson Wellman and West Bearing client survey sent to 1,755 individuals and institutions.
Compliance
Compliance officers are a critical component to fostering integrity and trust between our clients and employees. Our compliance team reports to our managing director because the nature of compliance affects every aspect of our firm. One of their most important objectives as a team is to foster a culture of compliance, meaning that in everything we do, we think of our clients’ best interest first. We always strive to act ethically and with full transparency.
Meet Our Compliance Officer
SEC Regulatory Filings
The Securities and Exchange Commission (SEC) is an independent federal regulatory agency with a range of responsibilities that include overseeing the stock market, enforcing federal securities laws and most important … protecting investors and their capital. The SEC mandates registered investment advisers (RIAs) to submit various regulatory filings. This link will take you to more information about the history of the SEC. Below you will find four of those important documents that we update annually.
Required check-the-box information about our business, ownership, clients, business practices, affiliations and any disciplinary events
Narrative brochure that includes 18 disclosure items and summary of material changes
Information about specific individuals who provide investment advice at our firm
Relationship summary that provides a “retail” investor with succinct information about us that can be compared to other investment advisers
Global Investment Performance Standards (GIPS)
Developed by the CFA Institute, GIPS are a set of voluntary ethical standards used globally by investment management firms. They enable prospective and existing clients to review consistent and transparent portfolio performance data. Reporting GIPS-compliant data is not required by the SEC, but it demonstrates a commitment to ethical standards that make it easier for investors to compare performance with other advisers.
To receive a copy of our most recent performance, contact info@fergwell.com
Our Privacy Notice
Our compliance and information technology teams are committed to the responsible management, use and protection of our clients’ personal information and data. Our privacy notice describes how we collect, use and safeguard any information provided to our firm.
Meet Our Information Technology Team