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"A Goal Without a Plan Is Just a Wish"
-Antoine de Saint-Exupery

   

Code of Ethics

We have a fiduciary duty to our clients and always place our clients' interests first and foremost. We always disclose any actual or potential conflicts of interest so that our clients can make informed decisions.

  • Honesty - An honest exchange of information is the basis upon which our relationships are built. We will be candid with you in all things. We will never make promises that we do not intend to keep.
  • Integrity - We hold ourselves to the very highest standards of integrity. We take our responsibilities extremely seriously . We will disengage from any relationship that might in any way conflict with this. We will not make compromises to our principles for any reason.
  • Objectivity - We will always act in good faith through education, independence and impartiality, to objectively act in the best interests of our client. We act in a fee only capacity in order to eliminate conflicts of interest. We accept no commissions, of any sort, from any entity.  We do not receive fees or compensation from any party based on the referral of a client or the client's business.
  • Professionalism - We will at all times act to increase our professional knowledge. We diligently monitor modern investment strategies and research.

We hold ourselves to these standards as well as being committed to complying with the following:

 

Latest Blog Posts

Jun 28, 2017 by Structured Asset Management, Inc.

I am glad to see the new requirement for investment advisors dealing with 401(k) plans take effect. Now advisors have to acknowledge their fiduciary status in writing and subscribe to an impartial standard of conduct. The big keys are that under these new standards, these advisors must:

  • Give advice in the clients' best interest
  • Charge reasonable compensation
  • Disclose conflicts of interest
  • Disclose the fees so they can be understood
  • Make...
Jun 26, 2017 by Structured Asset Management, Inc.

The new rule going into effect with the Department of Labor (DOL) fiduciary rule gives brokers and insurance agents till January 1, 2018 to come into compliance with the rules we have been following for decades.

This is huge news for 401(k) plan participants. Now advisors will have to consider the fees, the benefits and the services provided before they recommend a rollover from a corporate plan to an IRA. Imagine that, a rule that makes these people have to actually work in someone...

Jun 22, 2017 by Structured Asset Management, Inc.

Good news for 401(K) plan sponsors and participants! Under the new Fiduciary Standard of Care rule, all advisors that give investment advice to 401(k) sponsors and their employees (participants) now have to comply with the ERISA standard for fiduciary care.

Before this happened, only advisors who, like us, were subject to the Investment Advisors Act of 1940 were held to the fiduciary standard. Others had what's called the suitability standard. Brokers and insurance...

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