Three financial adviser initiatives: Aisa


By Mark Battersby | Added 15th June 2016

In the second of our series of insights from financial advisers across the world, James Pearcy-Caldwell, co-founder of financial planning firm Aisa, sets out three initiatives he is taking to build the business along best practice lines.

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international-adviser-1Pearcy-Caldwell, who is a certified financial planner and a chartered financial planner, has been living and working in Europe for several years and is the joint founder of Aisa Group which includes the OpesFidelio network in the EU.

He is the designated chief executive officer and compliance officer. A highly qualified adviser and investment manager with over 18 years’ experience, he has featured in books as a forward thinking innovator ensuring that Aisa and now OpesFidelio are at the forefront of new client initiatives.

He believes in having a philosophy based on an ethos with standards set at the top of the organisation. Clients and advisers alike should be treated with respect and integrity; the more transparent and knowledgeable both are, the more likely a successful outcome with benefits shared equally. He strongly believes the opposite is also true.

As an adviser, he also holds the CISI chartered MSCI, discretionary investment management CertPFS (DM) and is regulated and authorised in the UK by the Financial Conduct Authority (FCA), as well as being a registered advisor with the Securities & Exchange Commission (SEC).

He is an authorised pension specialist, and has a focus on inheritance tax advice in several countries. He has won multiple awards.

The Treating Customers Fairly (TCF) regime outlined by the FCA has been the guiding principle for UK firms for many years. Some years ago, Aisa sat down with existing clients and formulated a customer charter, and 10 years later that charter still provides the guidelines for advisers and staff, to the benefit of Aisa’s clients.

Through travelling and meeting other advisers around the EU, he believes that there many advisers who recognise the advantage of setting up their business models with an ongoing service that offers clients regulatory protection, and many clients who would value this type of service. OpesFidelio was set up to offer this.

Click here to see the first of the key initiatives James Pearcy-Caldwell is taking forward and implementing to build a better business.

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