Create value by making the right introduction.
Fiduciary Capital Management LLC invites qualified professionals and firms to explore a compliant referral relationship that connects individuals, families and business owners with fiduciary investment advisory and financial-planning services.
Help clients find advice without becoming their investment adviser.
Trusted professionals are often the first people individuals and business owners contact when facing an important financial decision. Those conversations may reveal a need for investment management, retirement planning, financial planning or other fiduciary guidance.
Through an approved Strategic Referral Partner relationship, a qualified person or firm may introduce prospective advisory clients to Fiduciary Capital Management LLC and may receive compensation when permitted by applicable law and the written agreement.
The regulatory term “promoter” may apply to compensated referral activity under the SEC Marketing Rule. Fiduciary CM® generally refers to approved participants publicly as Strategic Referral Partners or Strategic Consultants.
A defined role supported by a fiduciary advisory firm.
The relationship is designed for professionals who encounter people needing financial guidance but who do not personally provide the investment-advisory services being requested.
Introduce Prospective Clients
Identify individuals, families or organizations that may benefit from a conversation with Fiduciary CM® and facilitate a professional introduction.
Maintain Your Professional Role
Continue serving the person within your own professional area while Fiduciary CM® separately evaluates and provides any agreed investment-advisory or financial-planning services.
Receive Approved Compensation
Eligible partners may receive disclosed compensation under a written agreement after the firm completes its regulatory, licensing and background review.
Built for trusted professionals and centers of influence.
Each applicant is evaluated individually. Professional status alone does not automatically establish eligibility to participate or receive compensation.
CPAs & Tax Professionals
Professionals whose clients may need coordinated investment or retirement guidance.
Estate-Planning Attorneys
Attorneys assisting clients with trusts, estates, inheritances, succession or legacy decisions.
Insurance Professionals
Licensed professionals who identify financial needs beyond the scope of an insurance engagement.
Business Consultants
Consultants working with owners on growth, liquidity, succession or business-transition matters.
Retirement Specialists
Benefit and retirement professionals whose clients may need personal advisory services.
Other Trusted Professionals
Qualified centers of influence with relationships built on trust, professionalism and responsible conduct.
Clear responsibilities protect the client and the referral partner.
The written agreement, training and applicable regulatory requirements define the activities an approved referral partner may perform.
An approved referral partner may:
- Describe Fiduciary CM® using firm-approved information.
- Identify individuals who may benefit from a conversation with the firm.
- Provide the required compensation and conflict disclosures.
- Make an email, telephone, video or in-person introduction.
- Participate in introductory discussions within the permitted scope of the relationship.
- Receive compensation authorized by the written agreement.
Unless separately licensed and authorized, a partner may not:
- Recommend a security, investment strategy or advisory program.
- Represent that any investment result or financial outcome is guaranteed.
- Provide individualized investment advice or portfolio analysis.
- Negotiate advisory fees or alter the firm’s agreements.
- Use unapproved marketing materials or make misleading statements.
- Hold themselves out as an Investment Adviser Representative of Fiduciary CM® unless formally registered in that capacity.
A structured review before referral activity begins.
No person is authorized to solicit or make compensated referrals on behalf of Fiduciary CM® until the firm has completed its review and provided written approval.
Initial Discussion
Discuss your professional background, client relationships and intended referral activities.
Eligibility Review
Complete the requested background, regulatory and disciplinary information.
Agreement
Review and sign the written agreement defining responsibilities, restrictions and compensation.
Training
Complete required training concerning disclosures, communications, records and prohibited conduct.
Written Approval
Begin referral activity only after receiving formal authorization from Fiduciary CM®.
Documented, disclosed and subject to eligibility.
The amount and structure of any referral compensation are established in the written agreement and disclosed as required.
Compensation is not available in every circumstance or jurisdiction. State-specific licensing, registration, disclosure or other requirements may affect eligibility.
Percentage-Based Compensation
Compensation may be calculated as an approved percentage of advisory fees actually received by Fiduciary CM® from an eligible referred client.
Fixed Referral Compensation
Where permitted, the written agreement may establish a fixed payment for an eligible referral relationship.
Required Client Disclosure
Referred persons receive disclosure concerning the referral relationship, compensation and material conflicts of interest.
Referral activity is subject to ongoing oversight.
Fiduciary CM® reviews applicants and supervises approved referral relationships under its policies and applicable regulatory requirements.
The firm may require updated information, additional training, revised disclosures, communication review or other steps based on the person’s activities and jurisdiction.
- Written Strategic Referral Partner or Promoter Agreement
- Background and regulatory eligibility review
- Delivery of required referral compensation disclosures
- Compliance training and acknowledgment of responsibilities
- Preapproval of marketing materials and public communications
- Cooperation with supervision and recordkeeping requirements
- Immediate reporting of complaints or material changes
Financial events often create a need for coordinated advice.
Referral partners are not expected to determine which advisory strategy is appropriate. Their role is to recognize a potential need and offer an introduction.
Retirement or Career Transition
A person is retiring, changing employers or evaluating retirement income and investment choices.
Business Sale or Liquidity Event
An owner is preparing for or has completed a sale, recapitalization or other significant transaction.
Inheritance or Estate Settlement
An individual receives assets and needs help organizing, investing or coordinating financial decisions.
Concentrated Investment Position
A client holds significant exposure to one company, industry, property or investment strategy.
Retirement-Plan Decision
A business owner or organization needs investment-fiduciary or retirement-plan consulting support.
Need for an Independent Review
A person wants a second perspective on an existing portfolio, financial plan or proposed strategy.
A referral should strengthen—not compromise—your relationship.
Professionals make introductions because they want clients and contacts to receive thoughtful attention. Fiduciary CM® combines personalized service with disciplined planning, investment oversight and a compliance-focused advisory framework.
We seek to communicate clearly, respect the referring professional’s existing relationship and avoid presenting the introduction as a guarantee that the person will become a client.
Explore a Strategic Referral Partner relationship.
Schedule a consultation with Paul McIntyre to discuss your professional background, intended referral activity and whether the program may be appropriate for you or your firm.
Fiduciary Capital Management LLC is registered with the U.S. Securities and Exchange Commission as an investment adviser. Registration does not imply a particular level of skill or training.
The term “Strategic Referral Partner” or “Strategic Consultant” is a business title used by Fiduciary CM®. A compensated referral partner may be considered a “promoter” under Rule 206(4)-1 of the Investment Advisers Act of 1940. Use of a business title does not authorize a person to provide investment advice or act as an Investment Adviser Representative.
Participation is subject to a written agreement, eligibility review, required disclosures, compliance training, supervision and all applicable federal and state requirements. Compensation arrangements vary and are not available in every jurisdiction or circumstance. No referral activity may begin until written approval is provided by Fiduciary Capital Management LLC.
Referral partners may have a financial incentive to recommend Fiduciary CM® because they may receive compensation if a referred person becomes an advisory client. The nature and amount or method of calculating that compensation, along with related material conflicts, will be disclosed as required.