Driven by Principles – Our Code of Ethics
The relationship with our clients is a precious thing. Although we build relationships based on responsible behaviors, our relationships are more formally operated under our Code of Ethics and Fiduciary Agreement that is contractualized with each client. The nature of the relationship we maintain with a client is like the relationship between doctor and patient, or lawyer and client.
We provide you with a formal copy of our Code of Ethics and we revere in the highest regard.
We make every effort possible to provide intelligent and unconflicted advice to clients. We do not receive a fee or other compensation that is contingent on the purchase or sale of a financial product from another party based on the referral of a client or the client’s business.
We shall keep all client relations and client data private, unless specifically authorized by the client to share it. We shall treat all documents with care, use the highest standards of safety when maintaining records, and take care when disposing them.
Integrity & Honor
We will endeavor to always take the high road. We are mindful of the potential for misunderstandings that can occur in typical human interactions. We will be diligent to keep our actions authentic so that a client or other professional would not doubt our intentions. In all interactions, we should be mindful that in addition to serving our clients, we are a reflection of our profession, and our actions should always reflect this.
We shall conduct ourselves using standards that serve to be a credit to the industry at all times. We treat people with integrity, honesty, dignity and respect.
All dealings and recommendation with clients shall always be in the client’s best interests. The wellbeing of clients is always the priority.
We shall strive to establish and maintain a high level of professional knowledge and ability. We shall maintain industry and educational continuing education requirements. We shall not provide advice in areas where we are not proficient.
We shall provide written disclosure prior to the engagement of the advisor, and thereafter throughout the term of the engagement, to provide the client with any conflicts of interest, or potential conflict of interest, which could or reasonably may compromise the objectivity or impartiality of the advisor. We shall fully describe method of compensation and potential conflicts of interest to clients. We shall also specify the total cost of investments.