1. We stress creativity and imagination in solving problems. We put ourselves in our clients' shoes. Our Advisors are an important asset in solving problems and seeking opportunity. While recognizing that the old way may still be the best way, we consistently seek to find alternative solutions to client's problems.

2. Our client's interests are paramount. If we serve our clients exceptionally, our success will follow.

3. We stress teamwork in everything we do. A cohesive team produces positive energy which enhances our creativity. We have no room for people who put their personal interests ahead of the firm and its clients. Integrity is at the core of our business; we expect our people to maintain balance between their work and personal life and live this quality, not merely talk about it.

4. We constantly seek to anticipate changes in the needs of clients and help them through innovative service. Complacency can lead to a slow decline, and our culture is one of curiosity and education through a variety of professional and graduate programs.

5. Our primary assets are our people and reputation, with our reputation being the most important. We are dedicated to complying fully with the letter and spirit of the laws, rules, and our ethical principles that govern us. Our growth depends upon unwavering dedication to this standard.

6. Our goal is to return superior risk-adjusted returns to our equity holders. Profitability is critical to achieving superior returns versus our peers, building our capital, and attracting and retaining our best people. Significant employee ownership aligns the interest of our employees and our shareholders.

7. We have an uncompromising determination to achieve excellence in all that we undertake. If we cannot provide an excellent product or service, we will not pursue the business.

8. We make a consistent effort to identify and recruit the very best people. Although our activities are diverse and numerous, we select our people one by one. In our business, we know that without the best people, we cannot achieve our strategic goals.

9. Confidential information is a normal part of our business and it is protected. Privacy and absolute discretion concerning client confidentiality is absolutely crucial.

10. We must be fair competitors and never denigrate other firms, but rather learn from their mistakes and successes to improve our product: trust.

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