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Advisory business
The firm provides financial planning and discretionary investment management to individuals, families, business owners and their related entities. Advice is tailored to each client's written objectives, and clients may impose reasonable restrictions on the management of their accounts.
Fees and compensation
The firm is compensated exclusively by fees paid by clients. It receives no commissions, trail payments, referral fees or revenue sharing from any product provider, and no employee is licensed to sell insurance or securities products.
Custody
The firm does not take custody of client funds or securities. Client assets are held at an independent qualified custodian, which delivers account statements directly to the client at least quarterly.
Review of accounts
Accounts are reviewed at least quarterly by the adviser responsible for the relationship, and more frequently when market conditions or client circumstances require it.
Code of ethics
The firm maintains a code of ethics governing personal trading, gifts and outside business activities. A copy is available on request.
