Alpine Peaks Consulting Code of Ethics
Alpine Peaks Consulting takes the utmost care in providing the most prudent advisory services to each individual client. In doing so, the firm stringently adheres to the following code of ethics:
Client Priority – Alpine Peaks Consulting shall not accept any referral fees or compensation that is contingent upon the recommendation, purchase, or sale of a financial product and/or a broker/dealer.
- Integrity – Acting with complete honesty at all times, including immediate disclosure of any pertinent information, including any conflict(s) of interest.
Objectivity – All recommendations are made objectively by a systematic evaluation of the age, investment goals, risk tolerance, liquidity needs, and tax burden of each client individually.
Competence – A high level of investment and financial planning comprehension to maximize benefit to each individual client by means of continual research and education. All services shall be conducted with the highest possible level of professionalism.
Fairness – Alpine Peaks Consulting shall provide all services to clients in a manner that is fair and reasonable regarding fees charged and detail of analysis and advisory and planning services rendered.
Confidentiality – Alpine Peaks Consulting shall never disclose any confidential client information without the specific consent of the client unless in response to proper legal process, to defend against charges of wrongdoing by Alpine Peaks Consulting, or in connection with a civil dispute between the firm and the client.
Professionalism – Alpine Peaks Consulting shall always act in a manner that demonstrates exemplary professional conduct by behaving with dignity and courtesy to clients, fellow professions and others in business related activities.
Diligence – Alpine Peaks Consulting shall act in a manner that demonstrates exemplary professional conduct by behaving with dignity and courtesy to clients, fellow professions and others in business related activities.
The investment advisor for Alpine Peaks Consulting shall always exercise best efforts to act in good faith, and in the best interests of the client. The investment advisor shall provide written disclosure to the client prior to the engagement of the advisor, and thereafter throughout the term of the engagement, of any conflicts of interest, which will or reasonably may compromise the impartiality or independence of the advisor. The advisor, or any party in which the advisor has a financial interest, does not receive any compensation or other remuneration that is contingent on any client's purchase or sale of a financial product. The advisor does not receive a fee or other compensation from another party based on the referral of a client or the client's business. Alpine Peaks Consulting adopts a policy of no trading or recommendations based on any insider information or rumor mongering. Alpine Peaks Consulting will never accept any gift based on a recommendation for a client.
A security owned by Alpine peaks Consulting/Evan Salke would only be recommended to a client if the security:
- Meets the investment goals and risk tolerance of the client
- The recommendation would have no effect on my personal current or future transaction(s) of the security. A recommendation of a particular security would never be made to a client if the recommendation would serve any benefit beyond that of the client's needs only (e.g. front running, painting the tape, or any other unethical action).