Question

How are wealth management firms regulated in the United States?

Answer

Wealth management firms providing investment advice are typically regulated by the Securities and Exchange Commission or state regulators. Regulatory oversight requires firms to provide disclosures about services, fees, and conflicts of interest. Clients can review these documents to better understand how an advisory relationship works.

Last Updated Aug. 5, 2026

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We exist so you don’t have to worry about money. For more than 40 years, we’ve taken the sophisticated, time-tested approach that many ultra-high net worth individuals use to help manage their financial lives and made it accessible to more families.

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