The linked document is a brief outline of the primary investment strategies that Bluemound Asset Management, LLC offers. Please take a look and contact Kirk Spano to discuss how these ideas might help you build and protect your financial freedom. Before proceeding, please read our terms, conditions & disclaimers.Read More
Bluemound Asset Management, LLC is a fee-only registered investment advisor acting as a fiduciary. That means, by rule, I am bound to work in your best interest. I have chosen this approach, despite most competing firms choosing less stringent ethics. I believe that insightful investing using technology to filter information […]Read More
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 […]Read More
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 […]Read More
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 […]Read More
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 […]Read More
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.
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.Read More