Advisor SAFE15

The Advisor SAFE15 is a shortened version of Broadridge Fi360 Solutions' full Self-Assessment of Fiduciary Excellence (SAFE) and CEFEX Assessment of Fiduciary Excellence (CAFE), designed to give an advisor a preliminary indication of his/her firm’s adherence to the Global Fiduciary Standard of Excellence.

The 15 Yes/No questions have been selected from the criteria contained in the standard: Prudent Practices® for Investment Advisors , which is the basis for CEFEX certification assessments. Upon completing the SAFE15 questionnaire, a SAFE15 report will be generated, allowing an advisor to quickly assess adherence to a fiduciary standard of care. It can also be a useful guide when assessing readiness for a CEFEX certification.

The CEFEX Certification Mark for Investment Advisors

The SAFE15 questionnaire takes about 10 minutes to complete and a report summarizing your responses will be shown after clicking 'Finish'.

Questions? Contact or call 866-390-5080.