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Who is Synergy? |
 Synergy Financial Management, LLC (SFM) is a Registered Investment Advisory firm specializing in wealth management. For more than 12 years, Synergy Financial Management, LLC, has served as a trusted partner of individuals and families, providing wealth management guidance and solutions based on the firm's understanding of each client's situation and goals. We take an objective proactive approach, bringing proven expertise to every aspect of a client's wealth — from accumulation and growth through preservation and distribution.
The firm focuses on providing fee-based investment advice and comprehensive financial planning services to individuals and businesses. Since Synergy Financial Management, LLC, is a fee-based advisor, potential conflicts of interest regarding compensation are removed.
At Synergy Financial Management, LLC, we believe that clients should be in a better financial situation working with our firm than they are working on their own. In striving to provide a true win-win client-advisor relationship, we have established core firm values and a code of ethics to guide us in our daily operations..
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What are your firm's values? |
Client Focus: Achieving investment success and exceeding expectations for each client is our top priority. We demonstrate our commitment:
- By clarifying our understanding of and documenting the goals and objectives of each client.
- Through excellent communication - proactive and responsive - with every client.
- By developing strong partnerships with other professionals who are also serving the client and providing education and support to enhance client knowledge.
- Through the faithful execution of the investment strategy in each portfolio in accordance with the client's specific objectives.
- Through relentless focus on operational efficiency and excellence including timely and accurate production of all client reports.
Commitment to Integrity and Excellence: Our reputation is critical to our long-term success. Every person on our staff is a key member of our team and is committed to performing their role with integrity and professionalism. We strive every day for excellence in service and investment results. We are committed to compliance with all regulatory requirements and the standards of practices of the various professional organizations of which we are members.
Teamwork: Open communication and collaboration form a common bond for achievement and creating a pleasant work environment. Each individual is rewarded for their contribution to the team and the firm's success. We value and reward results impacting the investment process and performance and client satisfaction.
Growth and Profitability: We believe that SFM will prosper as a result of our commitment to excellence in serving our clients. The long-term profitable growth of the firm provides opportunities for all team members to grow professionally and enjoy greater rewards. Being profitable will allow us to better serve our clients.
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Does your firm have a code of ethics? |
Code of Ethics: The Company's Code of Ethics ("Code") has been adopted to promote and maintain the highest standard of personal and professional conduct in the investment management profession. All employees of the firm are expected to subscribe and adhere to the Code, which serves to assure public confidence in the Company and the services it offers. All employees of the firm acknowledges, in writing, receipt of the Code and any amendments.
Each employee shall:
- Always place the financial interests of the client first. Employees shall recommend only those investments that are suitable for a client, based on that client's particular circumstances and situation. As a fiduciary, an advisor has an affirmative duty of utmost good faith to act solely in the best interests of the client and to make full and fair disclosure of all material facts, particularly where the advisor's interests may conflict with the clients.
- Disclose fully to clients the services provided and compensation received. All financial relationships, direct or indirect, or any potential conflicts of interest shall be fully disclosed on a timely basis. All client inquiries shall be answered promptly, completely, and truthfully.
- Be subject to a review and monitoring procedure for personal trading activity, including initial public offerings and limited offerings, on a periodic basis after a pre-clearance procedure. Client portfolios will always be given preference for execution and allocation on either sales or purchases. The Company has adopted an Insider Trading Policy Statement and a Personal Trading Policy Statement, which are reviewed on an annual and quarterly basis respectively and signed by each employee on an annual and quarterly basis respectively.
- Maintain the confidentiality of all information entrusted by the client to the fullest extent permitted by law as outlined in the Company's Notice of Privacy Practices.
- Comply fully with all statutory and regulatory requirements affecting the delivery of investment advisory services to clients. Strive to establish and maintain excellence personally and among colleagues in all aspects of investment management.
- Maintain the highest standard of personal and professional conduct.
- Promptly report any violation of the Code to the firm's Chief Compliance Officer.
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