As an investment adviser registered under the Investment Advisers Act of 1940 (the “Act”), Chamberlain Financial Planning, LLC (the “Adviser”) is subject to Rule 204A-1. This rule requires registered investment advisers to adopt a code of ethics, which we have adopted as follows.
As an investment adviser firm, we have a 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.
Chamberlain Financial Planning LLC holds its managers, 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.
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