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Investor Services

Clients trust their life savings with financial advisors and expect their financial advisor to act in their best interests.  In pursuit of higher returns, financial institutions have created complex investment products making it difficult for clients to understand, uncertain of its performance or if it is a suitable investment.  

After the 2007/2008 financial crisis, there were allegations of improper behaviours  carried out by institutions that compelled regulators to enhance regulations and apply sanctions against participants within the financial industries.  Through investigative and enforcement mechanisms, the regulators are working hard to detect and prevent improper behaviors.  These mechanisms compel firms to implement policies and procedures to detect and deter unwanted behaviors. However, as the industry evolves, so too does the sophistication of its participants.

At Alchemy Theorem, we work with clients to determine if they have been victims of any improper conduct within their accounts by reviewing their portfolio and account documentations.  As a third party and independent firm, our goal is to ensure that we help maintain the integrity of the financial industry and to promote consumer confidence.  We will work with you to ensure any improper actions taken within your account will be detected and a report will be made available for you to prosecute unscrupulous advisors and to seek just compensation.

We do this by employing tests, such as:

  • Documentation Review
  • Account Performance vs Fee Analysis
  • Suitability Investment Analysis