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 and keep costs low are keys to your financial success. Bluemound offers a vast array of services by maintaining low overhead and tapping many resources. The many relationships I have […]Read More
My investment philosophy deviates significantly from most other traditional financial advisors. Before working with me it is important that you understand the differences in my approach. Usually, the mass media, public at large and too many financial advisers are most interested in “hot” or “in the news” ideas which leads them to be emotional and unfocused. I seek a less emotional and more analytic approach to investing. Very often I will want to buy what others are selling, and sell what […]Read More
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 parents sacrificed to put me through private schools at a time that Milwaukee Public Schools were beginning to fail. I fondly remember all of the good times with my family, especially my brothers, and friends. I can never fully repay any of these people for their love, […]Read More
Asset allocation is at the heart of successful risk management and investing. If you avoid the worst parts of the economy, research demonstrates that you can materially reduce risk and improve performance. Bluemound Asset Management, LLC offers five core investment strategies. Each asset allocation is designed for different types of investors. After a complete review, Kirk and you will build a custom investment plan to fit your needs and goals. Here are the five core investment strategies Bluemound builds from: […]Read More
High costs, packaged advice and lack of transparency have been problems in the financial services industry for decades. That has slowly been changing this century. About 1 in 5 of us now offer a more rigorous fiduciary standard that aligns services and fees with your interests. What is a Fee-Only Adviser? A fee-only financial advisor gets no commissions for the investment products used in your portfolio or for trading. Fee-only advisors do not accept commissions so that we can avoid inherent […]Read More
There are no warranties or guarantees of any kind whatsoever made by or represented by Bluemound Asset Management, LLC or Kirk Spano. You can lose a lot of money investing in securities products no matter what anybody says. You should always consider your risk tolerance, goals and other specific circumstances when making any investment or considering any investment idea. This website, blog and related content is a publication of Bluemound Asset Management, LLC and Kirk Spano. Information presented is believed to be factual and […]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 for informational uses only and are not offers of situation specific advice by Kirk Spano or Bluemound Asset Management, LLC. Statements made by various authors and contributors of linked sites […]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