Dedicated to providing a safe harbor for your investments
Dedicated to providing a safe harbor for your investments

Business Ethics

At Pacific Investment Advisory we operate under a strict Code of Ethics.  As a Registered Investment Advisor we are required by law to act in our clients' best interests.

Furthermore, we understand that trust is our most valuable asset, and that honesty, integrity and professionalism are the backbone of our company.  Therefore, all of our employees abide by the following:

Code of Ethics
All employees of Pacific Investment Advisory understand that the firm has a fiduciary duty to our clients and their best interests must always come first. Honesty, integrity and professionalism are the backbone of our organization and are required of all employees. Every employee will practice and encourage others to practice in an ethical manner and will abide by the following principles:
All employees of Pacific Investment Advisory will at all times, place the interests of PIA's clients before their own.
Every employee will comply with all applicable federal securities laws, and will exercise reasonable care and professional judgment at all times.
Employees will not only maintain their competence, but will also strive to improve their competence and that of others in the organization.
Every employee agrees to act in an ethical manner, and with integrity, competence, and dignity at all times when dealing with the public, clients, and prospects, as well as with fellow employees and employers at PIA.
Every employee shall read and understand Pacific Investment Advisory's Standards of Professional Conduct and shall adhere to those standards at all times.
With regard to personal securities transactions, a PIA employee will avoid any conflict of interest and will not abuse his position of trust and responsibility or take inappropriate advantage of that position.
All information concerning the financial circumstances of clients, their identity and personal information, and the identity of their securities holdings will be treated in the strictest confidence. (See our Privacy Policy )
Failure to comply with this code will result in disciplinary action, which may include termination of employment.

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