Addressing the Insurance Needs of Investment Advisors & Financial Professionals

Changing how you select your Professional Insurance

North American Professional Liability Insurance Agency, LLC (NAPLIA) is the leading independent agency specializing in providing Errors & Omissions Insurance to Investment Advisors, Broker/Dealers, Third Party Administrators, and other Investment Professionals.

NAPLIA represents the leading Professional Liability Insurance carriers and has long-standing, direct relationships with their underwriters. We can provide you with quotes from multiple insurance professional liability insurance carriers, so you can make an informed decision on the best options for your firm.

Investment Advisor Resources

More than just a policy...NAPLIA resources include industry leading White Papers, legal opinions, articles, and more. 

Investment Advisors Guide to Errors & Omissions Insurance

Judged by the company we keep

At NAPLIA we understand we are judged by the company we keep.  That is why we are pleased to be aligned with the leading names in the financial industry.

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Applications / Forms

Accountants E&O Applications & Forms
Errors & Omissions Applications & Forms
Investment Advisors, Plan Consultants, Broker/Dealers, TPAs, and other Financial Professionals face an increased risk of claims for their professional services.  Get Applications, Forms, & Highlights by Insurance Carrier.
Employee Dishonesty Applications & Forms
Investment Advisor ERISA Bonds
Section 412 under ERISA states every fiduciary of an employee benefiti plan shall be bonded against fraud or dishonesty.
Process for Reporting a Potential Claim
Employee Dishonesty
The increasing trend in workplace fraud and the relatively low cost of these policies, makes Employee Dishonesty Insurance a coverage that we recommend highly to each of our clients.
Marcia Wagner
White Paper: The Rising Need for ERISA Fiduciary Liability Protection for TPAs and Retirement Plans Providers
NAPLIA in partnership with Marcia Wagner has developed this in-depth White Paper. 

Exclusive Programs

Deductible Reduction Insurance Program

Broker/Dealer Deductible Solutions

Deductible Reduction Insurance Program (DRIP) insures Registered Reps and Advisors for their deductible under their Broker/Dealer errors & omissions program.  A tremendous incentive for B/D's to maintain quality Reps.

Open MEP Bonds

Open MEP Bonds

In response to the DOL's guidelines prohibiting the use of a single ERISA bond to cover multiple adopters in an open MEP plan, a unique blanket bond that covers the Master Plan Sponsor and adopting employers.

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Third Party Administrators / TPAs

Do Third party Administrators have fiduciary liability under ERISA?  Does your Errors & Omissions policy contain affirmative fiduciary coverage.  Contact NAPLIA for comprehensive coverage for TPAs.