Unique Firm Structure

A Brief Description of Bluemound Asset Management and working with me… Bluemound Asset Management, LLC is a fee-only registered investment advisor working in your best interests. The firm is bound, by choice, to the fiduciary standard of care which is an obligation that most advisors do not make. I have developed […]

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Kirk Spano

Kirk Spano Biography

Hello, My name is Kirk Spano. I grew up in a middle class working family in Milwaukee. I remember long gas lines, the first home my parents bought and the recession of the early 1980s. My parent’s sacrificed to put me through Catholic Schools at a time that Milwaukee Public Schools […]

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Investment Philosophy

My investment philosophy deviates significantly from most other traditional financial planners. Before working with me it is important that you understand the differences in my approach.  I am a fee-only Registered Investment Adviser. I do not charge commissions. I act as a fiduciary with your best interest as the mandate for […]

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Why Use a Fee Only Financial Advisor

What is a Fee-Only Adviser? A fee-only financial advisor does no accept commissions for the investment products used in your portfolio. Rather, we are compensated based upon a percentage of assets under management, hourly fees or a flat-fee.  Fee-only advisors do not accept commissions, because commissions create an inherent conflict of […]

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Outside Links Disclaimer

The links on these pages are generally great resources for finding a broad range of information. They are thought to be reliable, however we can not guarantee their accuracy. By clicking on a link you understand that you are leaving this site. The information presented on the linked websites is […]

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Code of Ethics

Bluemound Asset Management, LLC

Code of Ethics Summary

The Investment Advisers Act of 1940 imposes a fiduciary duty on Registered Investment Advisors.  Bluemound Asset Management, LLC as a portion of fulfilling its fiduciary duty to clients places each client’s interests as the paramount consideration in all decisions, actions and methods of providing services.

This document will outline both our Fiduciary Duty, as well as, our compliance with rule 201A-1 of the Act.

Our Fiduciary Duty

In recognition of the trust and confidence placed in Bluemound Asset Management, LLC by its clients, and because the Advisor believes that its operations should benefit its clients, Bluemound Asset Management, LLC has adopted the following universally applicable principles.

Clients’ interests are paramount. 

Bluemound Asset Management, LLC places client interests before their own and constantly act in the best interest of the Advisor’s clients.

The Advisor will always attempt to recognize and act in the best interest of its clients.

Further Duties

Investment Advisor Representatives of Bluemound Asset Management, LLC must accomplish all personal securities transactions in a manner that avoids a conflict of interests with its clients, in accordance with the Advisor’s Personal Trading Policy, and report personnel securities transactions at least quarterly to the Advisor.

IARs must avoid actions or activities that allow (or appear to allow) profit or benefit from your position with Bluemound Asset Management, LLC, to self, family or acquaintance, or that bring into question your independence or judgment.

IARs must comply with all applicable federal securities laws, including the prohibitions against the misuse of material nonpublic information, which includes information relating to issuers as well as to Bluemound Asset Management, LLC securities recommendations and client securities holdings and transactions, in conducting yourself and the operations of Bluemound Asset Management, LLC

IARs  must report any violations of this code of ethics promptly to your chief compliance officer and where necessary any broker-dealer as required, and where necessary to appropriate regulatory authority.

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Privacy Policy

Bluemound Asset Management, LLC Privacy Policy We have adopted the following policies to safeguard your nonpublic information which you disclose to us for the purpose of providing you with various financial services. Information we may collect: Information we receive about you on applications, questionnaires, client profile documents and other forms […]

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