Business Practices & Principles

Our aspiration and goal is to serve our clients with their full trust and confidence.  We earn and retain this by providing high quality services which are understood by our clients to rest upon high degrees of transparency, objectivity, and independence.

Because of the breadth of our client base, we understand and take seriously the potential for real or perceived conflicts of interest which may result from our many business activities.

And so we proudly live by the following fundamental tenets:

  • We place our clients’ interests first and above our own.
  • We never use, leverage, or favor a relationship with one client to the deliberate disadvantage of another.
  • All aspects of our research, and all proxy voting policies and vote recommendations, are based on fair, thorough, independent, and objective analysis, without regard to any economic or other inappropriate pressure.
  • We disclose and explain information about our internal processes, methodologies, and analytics used in the development of our services, our voting policies, and our voting recommendations.
  • We take strong measures to fully safeguard client information.
  • We believe transparency is an essential keystone of trust, and so, subject to the higher need for client confidentiality, we appropriately disclose any real or apparent potential conflict of interest relationships or situations as they arise.
  • Ultimately, we are guided by this most basic tenet: Do the right thing.

These principles are embedded deeply in our culture and in the policies we develop, the procedures we follow, the decisions we make, and the actions we take every day. We do not and will not tolerate their breach, whether due to conscious action, complacency, indifference, or lapse of ethical judgment.

For our Due Diligence Compliance Materials and ADV Part 2A click here.