Stonegate Wealth Management, LLC is a Registered Investment Advisor located in Cary, North Carolina. We abide by a Fiduciary Standard which ensures we act in our client’s best interest. We disclose how we are compensated and adhere to the NAPFA Code of Ethics.
We offer a full range of wealth advisory services including financial planning, trust and estate planning, investment advice, portfolio management, and tax planning. These services are provided to individuals, families, and their related entities (such as trusts) or other similar strategies.
The partners and staff members of Stonegate take great pride in our high level of practical and technical experience. Credentials held by members of our firm include Certified Financial Planner and Certified Public Accountant.
Our firm is large enough to enjoy institutional pricing power, avoiding more expensive retail options. Still, we are small enough to provide customized wealth management on an extremely personal level. We are proud to say that many of our new clients are referrals from current clients. In fact, many of our clients are families who have worked with us from one generation to the next and trust us to provide these same benefits to future generations.
We are an engaged community of fee-only, fiduciary financial planners that provides education, professional connections, business development resources, and advocacy – all in support of members’ success.
National Association of Personal Financial Advisors
The advisor shall exercise his/her best efforts to act in good faith and in the best interests of the client. The advisor shall provide written disclosure to the client prior to the engagement of the advisor, and thereafter throughout the term of the engagement, of any conflicts of interest, which will or reasonably may compromise the impartiality or independence of the advisor. The advisor, or any party in which the advisor has a financial interest, does not receive any compensation or other remuneration that is contingent on any client’s purchase or sale of a financial product. The advisor does not receive a fee or other compensation from another party based on the referral of a client or the client’s business.
Following the NAPFA Fiduciary Oath means I shall:
- Always act in good faith and with candor.
- Be proactive in disclosing any conflicts of interest that may impact a client.
- Not accept any referral fees or compensation contingent upon the purchase or sale of a financial product.
Code of Ethics
OBJECTIVITY: NAPFA members strive to be as unbiased as possible in providing advice to clients, and NAPFA members practice on a Fee-Only basis.
CONFIDENTIALITY: NAPFA members shall keep all client data private unless authorization is received from the client to share it. NAPFA members shall treat all documents with care and take care when disposing of them. Relations with clients shall be kept private.
COMPETENCE: NAPFA members shall strive to maintain a high level of knowledge and ability. Members shall attain continuing education at least at the minimum level required by NAPFA. Members shall not provide advice in areas where they are not capable.
FAIRNESS & SUITABILITY: Dealings and recommendations with clients will always be in the client’s best interests. NAPFA members put their clients first.
INTEGRITY & HONESTY: NAPFA members will endeavor to always take the high road and to be ever mindful of the potential for misunderstanding that can accrue in normal human interactions. NAPFA members will be diligent to keep actions and reactions so far aboveboard that a thinking client or other professional would not doubt intentions. In all actions, NAPFA members should be mindful that in addition to serving our clients, we are about the business of building a profession, and our actions should reflect this.
REGULATORY COMPLIANCE: NAPFA members will strive to maintain conformity with legal regulations.
FULL DISCLOSURE: NAPFA members shall fully describe a method of compensation and potential conflicts of interest to clients and also specify the total cost of investments.
PROFESSIONALISM: NAPFA members shall conduct themselves in a way that would be a credit to NAPFA at all times. NAPFA membership involves integrity, honest treatment of clients, and treating people with respect.