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Am I a fiduciary?

Generally, anyone who makes investment recommendations for a fee and whose investment advice is specific to a plan, plan fiduciary, plan participant, or Covered Individual Account (i.e. IRA)* is considered a fiduciary investment advisor.

Click here for a decision tree to help determine if you are a fiduciary.

*The term “Covered Individual Account” includes Individual Retirement Account and Individual Retirement Arrangement (IRA), Health Savings Account (HSA), Archer Medical Savings Account (MSA), and Coverdell Education Savings Account (ESA).

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