Safety of Assets

Your Safety is Our Priority  

At Chatterton & Associates, the protection of our clients’ assets is a key priority. There is no such thing as a Chatterton & Associates account, as all assets we manage are held in the client’s name with highly reputable third-party custodians. These trusted entities generate monthly/quarterly statements on the value of your investments and provide transaction updates. They also notify you of any changes in how accounts are registered. Our employees never have direct access to client assets, as all deposits are made in the form of a check payable to the third-party custodian. All distributions must be sent to the address of record or directly transferred to a like-registered account unless authorized by the client.


Furthermore, Chatterton & Associates is subject to regular and rigorous audits conducted by the Securities and Exchange Commission (SEC), and employs a dedicated compliance officer to oversee day-to-day operations as well as to develop a comprehensive compliance program. 


While not a requirement, Chatterton & Associates currently consults with a securities attorney and has engaged a third-party compliance consultant to conduct annual mock SEC audits to ensure that we are in full compliance at all times. Additionally, as part of our affiliation with FINRA-registered broker-dealer Royal Alliance & Associates, we take part in an annual audit of brokerage businesses. These extensive audits allow us to review and edit our internal processes to better align ourselves with industry best practices, and ultimately to offer our clients a wealth-management experience they can trust.