Be objective and be free of, or fully disclose, possible conflicts of interest.
Provide recommendations and decisions on behalf of our clients solely in each client’s best interest.
Deal fairly with clients and discharge professional responsibilities with due care.
Act with integrity, dignity, diligence, competence, and honesty, and maintain the highest standards of ethics and report promptly any breach of this Code of Ethics to the Chief Compliance Officer.
Explain the fee(s) FOALLC will charge clients and the related services we will provide. Make clear that we will not accept any payments other than from our clients.
Protect the confidentiality of all private information relating to or entrusted by our clients, to the fullest extent permitted by law.
Provide our clients all requested information. Our clients’ inquiries shall be answered to the best of our abilities in a prompt, accurate and courteous fashion.
Comply fully with all statutory and regulatory requirements issued by federal, state and professional bodies, including those relating to “insider trading.”
Not seek to obtain clients by advertising or solicitation in a manner that is false, misleading, deceptive or over-reaching.
Permit the regular review and required reporting of their personal securities holdings and transactions to verify that activity is not counter to our clients’ best interests.
Obtain approval of FOLLC prior to personally investing in an initial public offering or private placement.
Maintain a comprehensive knowledge base through continuing education and training and membership in appropriate professional societies.
Family Office Advisors LLC strives to preserve its highly ethical, unbiased culture. Toward that end, the firm shall provide this current Code of Ethics to each Member and Employee, all of whom in turn, shall: