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Code of Ethics
As a fiduciary, the Company has an affirmative duty to render continuous unbiased investment advice and at all times act in your best interest. To maintain this ethical responsibility to you, the Company has adopted a Code of Ethics that establishes the fundamental principles of conduct and professionalism expected by all personnel in discharging their duties. This Code is a value-laden guide committing such persons to uphold the highest ethical standards, rooted in the most elementary maxim.
To help you understand our ethical culture and standards and how we control sensitive information, a copy of our Code of Ethics is available for your review upon request.
We have a fiduciary duty to ensure that your welfare is not subordinated to any interests of ours or any of our personnel. The following disclosures are internal guidelines we have adopted to assist us in protecting all of our clientele.
Participation or Interests
Financial Industry Activities & Affiliations
The Company has a custodial and brokerage relationship with Charles Schwab & Company, Inc. (“Schwab”), a licensed broker-dealer (member NASD/SIPC). Currently, all managed accounts of the Company are maintained with Schwab though one client requested Wells Fargo.
We have selected Schwab as our custodian of choice based on Schwab’s competitive transaction charges, our familiarity with Schwab’s trading platform, and on-line services for account administration and operational support.
The Company is not a subsidiary of, or affiliated with Schwab in any manner. The Company is solely responsible for the investment advice rendered, and advisory services are provided separately and independently of the brokerage firm.