​Who We Serve

​

We design programs for a wide range of financial professionals, including:

• Registered Investment Advisors (RIAs)

• Wealth & Asset Management Firms

• Private Equity & Venture Capital Firms

• Broker-Dealers

• Family Offices

• Hedge Funds & Alternative Investment Managers

 

Key Coverages for Investment Managers

​

Your program may include:

• Errors & Omissions (E&O) / Professional Liability
  Protection against claims of negligence, misrepresentation, or investment advice disputes.

• Directors & Officers (D&O) Liability
  Shields executives and board members from personal liability tied to firm decisions.

• Employment Practices Liability (EPLI)
  Coverage for claims of wrongful termination, harassment, or discrimination.

• Fidelity & Crime Insurance
  Protects against employee dishonesty, theft of funds, and third-party fraud.

• Cyber Liability & Data Breach Coverage
  Covers costs from ransomware, data theft, and client privacy breaches.

• General Liability & Property Insurance
  Protection for office locations, equipment, and third-party injury claims.

• Business Interruption Insurance
  Covers lost income if operations are halted by a covered event.

 

Why Firms Choose Peloton

 

• Industry-Specific Expertise – we understand regulatory requirements and investor expectations.

• Market Access – direct relationships with carriers specializing in financial institutions.

• Claims Support – advocacy for quick and fair resolution of sensitive client disputes.

• Compliance-Ready – programs structured to meet SEC, FINRA, and client contract requirements.

 

Risk Services for Investment Firms​

​​

We go beyond policy placement with resources designed for financial professionals:

• Regulatory Review Support – insurance programs aligned with SEC, FINRA, and state oversight.

• Cybersecurity Resources – assessments, phishing prevention, and incident response planning.

• Employment Practices Guidance – Training to reduce EPLI risk.

• Board & Investor Relations Support – risk analysis for D&O coverage adequacy.

 

FAQs

​

Why is E&O insurance essential for investment managers?

Because clients can sue over perceived mismanagement, poor advice, or financial loss—even if claims are unfounded. E&O provides defense and settlement coverage.

​

Do small RIAs really need D&O coverage?

Yes. Regulators, investors, and even employees can bring claims against leadership decisions.

​

Is cyber insurance necessary if we outsource IT?

Yes—Even with third-party IT vendors, your firm can be held liable if client or investor data is compromised.

​

What if investors or partners require specific coverage limits?

We structure programs to satisfy lender, investor, and contractual requirements.

​

Protecting Investors, Firms & Advisors

Your clients trust you to safeguard their financial future. Peloton Insurance Brokers ensures you’re protected while you do it.​