What has changed?

We have launched our new independent planning and wealth management firm – Arise Private Wealth. Throughout this evolution, what remains constant is our mission: guiding our clients to reach an elevated perspective that’s abundant and purpose-driven so they can live a prosperous and fulfilled life.

What motivated you to make the change?

Standing true to our core values, we decided to ascend collectively as a team for the benefit of our clients and remove any barriers to being the best stewards of your wealth. We decided it was time for our firm to move forward and ascend so we could create an even better ethos for our team and clients. Taking this leap forward we’re confident that our clients will reap an array of benefits that enhance their investment portfolios and elevate their experience as our client.

Why did you choose to affiliate with LPL Financial?

Just as we expect our clients to rely on us for guidance in their financial decisions, we’re able to rely on LPL for operational support. After conducting our due diligence, we found LPL Financial to not only be the best fit for our firm, but our new partner would also provide significant benefits to our clients. LPL Financial is the largest partner to independent advisors in the country, and their focus is keenly on innovation and operational support so firms like ours can become independent and succeed in the process.*

Why didn’t you tell us about this change earlier?

We would have loved to tell you sooner. Legally, we were not permitted to provide advance notification to our clients. If you have any questions prior to us contacting you, please call us at 800-934-4903 (toll-free).

How did you choose your name?

Arise is not only symbolic for how we work with our clients, it’s also what resonates with our Founding Partners. Having come from humble beginnings, we know first-hand that with an uncompromising commitment to “arise” you can create the best life for yourself. It's our firm’s commitment to continue guiding our clients in their financial decisions and clearing the way for them to soar to new heights.

What should I expect during this transition?

You can expect a smooth process as we make this transition together. You will be contacted directly to discuss how this change will positively impact your experience with us, as well as discuss the process for your account transfer.

Can I keep my accounts where they are?

Yes. However, if you choose this for your account, we will not be able to manage your investments since we’re no longer affiliated with Wells Fargo. Your accounts would be reassigned to a different advisor.

Where will my assets be held, and how safe will they be?

LPL Financial is our custodian for our clients’ assets. With more than $1 trillion in client assets serviced and custodied, LPL provides an enormous catalog of services and resources, as well as a long history of financial stability.

LPL is a Financial Industry Regulatory Authority (FINRA) member firm subject to the federal securities laws and the rules of industry self-regulatory organizations, which requires LPL to protect client assets with the utmost care and adhere to financial protection rules keeping your money safe.

LPL accounts have additional securities protection to cover the net equity of client accounts up to an overall aggregate firm limit of $600M. This coverage is underwritten by Lloyds of London syndicates.

Has your investment process changed?

Our first priority is helping you take care of yourself and your family. We want to learn more about your personal situation, identify your dreams and goals, and understand your tolerance for risk. Long-term relationships that encourage open and honest communication have been the cornerstone of my foundation of success.

How is my personal information protected?

To protect your personal information from unauthorized access and use, LPL Financial uses security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. LPL’s online environment uses security technologies, including layered security and access controls over personal information.

For further information, please visit LPL’s Privacy/Security page at: www.lpl.com/disclosures/privacy-security.html.

How do I log into my account?

As soon as your account has been moved to Arise Private Wealth, we will contact you to let you know how to enroll and log-in to our new and improved client portal.

* As reported by Financial Planning magazine, June 1996-2020, based on total revenue. Steve Carlsen and Sathya Chey are registered representatives with securities and advisory services offered through LPL Financial, a registered investment advisor. Member FINRA/SIPC. CA Insurance License: 0683994 and 0M62433

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LET’S GET STARTED


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