Investment Advisor E&O Solutions

An E&O Program for Professionals on the Move!

Designed for Registered Investment Advisor firms or individual Financial Advisors, including options for insurance agents (life/health and property/casualty), sale of securities, financial planning and tax preparation.

Covers “Traditional” and “Expanded” investments, including the use of ETFs, BDCs, options, REITs and other alternative investments.

Program Features Include:

  • Includes coverage for certain fiduciary activities as defined under ERISA and DOL regulations.
  • Coverages available to mitigate risk relating to discretionary management services, covered calls/protective puts, trade errors/cost of corrections.
Very competitive rates and retentions.
  • Limits up to $3million.
  • Rates starting at $1,100 for RIAs and $875 for IARs.
  • Retentions as low as $5,000. Varies depending on AUM’s and Product Mix.
  • The deductible may decrease up to 20% per year over 5 years in the absence of claims/losses.
Flexible eligibility guidelines.
  • Simplified application process. Rates structured for AUM’s up to $1billion.
  • Portable prior acts options available for advisors joining firm. Attractive to new advisors.
  • Online enrollment coming soon.

Available in all states. Insured by National Casualty Company (an admitted carrier rated A+ Excellent: XV by AM Best), part of the Nationwide family of companies.

InterWeb’s Financial Services E&O Program is an affordable “Easy to enroll” program designed to meet the needs of the majority of applicants. If a firm or advisor does not meet the eligibility requirements, are above the revenue thresholds or have broader coverage needs, please contact us. We can submit applications to underwriters for special considerations.

InterWeb Specialty Group: (866) 277-7162

Dee Cordea (513) 335-2128 – Dee@InterWebInsurance.com

Kathy Phipps (949) 287-1594 – Kathy@InterWebInsurance.com

Sheri Pontolillo (949) 524-5242 – Sheri@InterWebInsurance.com

Ready To Get Started? Contact Us Now!