“Our mission is to give clients the highest probability of achieving their financial goal(s).”

‐‐ Mission Statement, RoseCap Financial

Code of Ethics & Firm Values

RoseCap has compiled a set of firm values which set the tone for how we do business and interact with our clients.  We have also adopted ethics codes and standards, that we believe are among the highest in the investment industry.  These include the CFA Institute’s Code of Ethics and Standards of Professional Conduct, the Daniels Fund Code of Ethics, and the Asset Manager Code of Professional Conduct

However, we believe that having ethics in a company is more than just adopting codes, writing procedures, and having employees watch 15 minute videos.  Ethics requires aligning everything in our business with our ethics code.  This includes how we pay employees, how RoseCap gets paid by clients, and how we provide advisory services to those trusting us to be looking out for them.

At RoseCap Financial, our mission is to provide clients with the highest probability of achieving their financial goals.

This includes:

  1. How we pay employees
  2. How RoseCap is paid by clients, and
  3. How we provide advice to clients trusting us to put their best interest first.