As a registered investment advisor, we have a fiduciary responsibility to act in the best interest of our clients. That means, very simply, that your needs come before ours.
To further document the conduct that our clients should expect from us, we have adopted the CFA Institute Code of Ethics and Standards of Professional Conduct. (The CFA Institute is a non-profit organization of investment professionals that awards the CFA and CIPM designations, promotes ethical standards, and offers educational opportunities for its members.)
We are committed to maintaining fiduciary practices of the highest standard across all of our operations, and regularly review our processes for improvement. Clients and prospective clients are urged to ask questions of us about this essential aspect of our business. Tom Brakke is the chief compliance officer for the firm.
We believe our clients deserve full transparency of our investment decisions and have access to the trades and holdings in their accounts at any time. Client accounts are held with an independent custodian, Interactive Brokers, providing added protection against improper valuation of holdings and preventing the withdrawal of funds except by the client.
