Fiduciary Statement

Background

An investment adviser, whether registered or not, has an affirmative duty to act in the best interests of its clients and to make full and fair disclosure of all material facts, particularly when the adviser's interests may conflict with clients' interests.

Firm Statement

As an investment adviser, Reviewmy401k.com LLC owes its clients specific duties as a fiduciary:

  • Provide advice that is suitable for the client
  • Give full disclosure of all material fact and any potential conflicts of interest
  • Serve with loyalty and in good faith
  • Exercise reasonable care to avoid misleading a client

Reviewmy401k.com LLC seeks to protect the interest of each client and to consistently place the client’s interests first and foremost in all situations.  It is the belief of this investment adviser that the policies and procedures are sufficient to prevent and detect any violations of regulatory requirements as well as the firm’s own policies and procedures.
 

Code of Ethics Statement

Background
This registered investment adviser, ReviewMy401k.com LLC has adopted a code of ethics to:

(i)    set forth standards of conduct expected of advisory personnel (including compliance with federal securities laws);
(ii)    safeguard material non-public information about client transactions; and
(iii)    require “access persons” to report their personal securities transactions. In addition, the activities of an investment adviser and its personnel must comply with the broad antifraud provisions of Section 206 of the Advisers Act.

Introduction
As an investment adviser firm, ReviewMy401k.com LLC  has an overarching fiduciary duty to our clients.  They deserve our undivided loyalty and effort, and their interests come first.  We have an obligation to uphold that fiduciary duty and see that our personnel do not take inappropriate advantage of their positions and the access to information that comes with their positions.

The Adviser holds their directors, officers, and employees accountable for adhering to and advocating the following general standards to the best of their knowledge and ability:

  • Always place the interest of the clients first and never benefit at the expense of advisory clients.
  • Always act in an honest and ethical manner, including in connection with, and the handling and avoidance of, actual or potential conflicts of interest between personal and professional relationships.
  • Always maintain the confidentiality of information concerning the identity of security holdings and financial circumstances of clients.
  • Fully comply with all applicable laws, rules and regulations of federal, state and local governments and other applicable regulatory agencies.
  • Proactively promote ethical and honest behavior with the Adviser, including, without limitation, the prompt reporting of violations of, and being accountable for adherence to, this Code of Ethics.

Failure to comply with the Adviser’s Code of Ethics may result in disciplinary action, including termination of employment.