Investment Adviser & Financial Planners

Investment Adviser & Financial Planners Professional Services include: 

  1. Financial, economic and investment advice rendered in the capacity of an Investment Adviser pursuant to a written contract;
  2. Investment management services rendered in the capacity of an Investment Adviser in connection with “A” above, including the selection and oversight of investment advisers, placement agents, research consultants and/or other outside service providers;
  3. Adherence to regulatory requirements for designing internal policies and procedures in the capacity of an Investment Adviser in connection with “A” above;
  4. The organization, formation or capitalization of a Private Fund or prospective Private Fund and/or the solicitation or sale of any interest(s) in a Private Fund or prospective Private Fund.


Services Also Include:

  • Personal Financial Risk Management
  • Investment Advice
  • Estate Planning
  • Education Planning
  • Retirement Planning
  • Tax Planning
  • Tax Preparation

Please be advised that the above titles, headings, definitions, terms and descriptions are for illustrative purposes only and are not a contract. Please refer to the actual policy and all endorsements for a complete description of coverage as certain Conditions & Exclusions apply.


Submission Requirements for NY, NJ, CT, and PA:

  1. Firm’s current letterhead.
  2. Fully completed, signed & dated Investment Adviser & Financial Planners Professionals Application
  3. Resumes of firm’s key personnel (owners, partners & principals.)
  4. Claims Supplement for each claim or disciplinary action in the
    past five (5) years, if any.
  5. Current Professional Liability Insurance Declarations Page &
    all material endorsements including, Prior Acts Endorsements.
  6. Signed and Dated NY Reg.194 for New York Applicants.

Very Important. Coverage cannot be bound until all required documentation, together with the premium due, is received, reviewed, and accepted by Underwriters. Coverage cannot be back-dated, so please make sure that your information is submitted on a timely basis. All submissions are individually underwritten to determine program eligibility and terms.

Email or fax completed forms to:
Fax: 914.592.6508

Questions? Call 914.592.6505