|
|
Values
Client Focus: Achieving investment success and exceeding expectations for each client are our top priorities. 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 according to each 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, so every person on our staff is a key member of our team and is committed to performing his or her role with integrity and professionalism. We strive every day to provide you with excellent customer service and investment results. In addition, we are committed to compliance with all regulatory requirements and standards of practices of the various professional organizations of which we are members.
Teamwork: At Synergetic Finance, we believe in open communication and collaboration with our clients as well as in our work environment. Internally, we reward our team based on their contribution to the team and to the success of our clients.
Growth and Profitability: We believe that Synergetic Financial Management, LLC 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.
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 acknowledge, 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.
|
|
