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Investment Advisors and Consultant’s Professional Liability (or Errors & Omissions) policy protects advisors and consultants against losses due to any actual or alleged negligent act, error or omission committed in the scope of their duties as investment counselors/advisors.

Professional liability insurance or errors and omission insurance in available for a number of different types of investment advisors and consultants:

• Investment Advisors

• Investment Consultants

• Trustees

• Broker/Dealers

• Pension Consultants

• Litigation Consultants

• Actuaries

Underwriters will review the following information before providing premium pricing, limits and deductibles when quoting this investment advisor consultant exposure:

• Investment Advisors/Consultants application

• Asset types

• Asset under management

• ADV or other marketing information

• Manager experience

• Prior claims experience

• Client contracts

Claims typically come in two areas: Suitability and breach of contract/trading errors.

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AdvisersGold™ Program for RIA firms

The program provides limits of up to $1,000,000/$2,000,000 for qualifying firms, with coverage extensions available for activities as a Trustee, Fiduciary, Registered Representative and Life Insurance Agent.

The AdvisersGold™ policy form not only addresses the traditional malpractice exposures of investment advisers, but also the growing application of fiduciary responsibility.  Backed by the underwriter team at Naxos Insurance Company, which has significant expertise in this arena and an in-depth understanding of the risks faced by investment professionals.” 

AdvisersGold™ Program Highlights

Applications & Forms

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Investment Advisors Applications & Forms

TheStreet.com financial ratings of professional liability carriers

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