True North exists to serve its clients with integrity and objectivity and is committed to providing unbiased investment solutions and financial counsel to meet clients’ needs. True North’s Code of Ethics establishes the standard of conduct for the firm and all its employees.
2011-10-10 True North Code of Ethics
At True North, we respect our clients’ personal financial privacy. This is a review of the unique circumstances when we would need to disclose any information to a 3rd party and states the steps we take to protect and secure clients’ confidential information.
The Securities and Exchange Commission (SEC) requires that all registered investment advisors (RIAs) file a “Form ADV – Part 2,” now known as the “Disclosure Brochure.” This document discloses to clients and prospective clients important information about the firm. This document complies with the SEC’s new rules approved in July 2010 and effective April 1, 2011. The new rules state that the Form ADV should be written in “plain English,” among other requirements about what should be contained in the document.
This document explains True North’s policy to not advise clients on class action suits. The policy also describes what help True North can provide should a client decide to participate in a class action suit.
“Stewardship to me is taking care of my clients like I would my own family.”
Tim Dwight, Wealth Manager
