Regulatory Policy
The Family Firm is registered with the United States Securities and Exchange Commission (SEC) and maintains a notice filing as required by some states. Our Federal registration document (called the "Form ADV") consists of two parts (Part 1 and Part 2) and is available on-line at United States Securities and Exchange Commission (SEC) The Family Firm ADV. Both parts can be located in the navigation bar on the left. Part 2 is organized to provide you with specific information as required by the SEC. It can also be downloaded as a PDF file (The Family Firm’s ADV Part 2). A copy of this document must be provided to you before services are initiated.
Privacy Policy
The Family Firm, Inc., an independent financial advisory firm, is committed to safeguarding the confidential information of its clients and prospective clients. Your visit to our Web site is completely confidential. We do not collect (or allow others to collect) information about you via electronic means during your visit to our site.
If you wish to contact The Family Firm, Inc., we do request some contact information so we can respond to your inquiry. The information submitted through our contact form will be used only to respond directly to your inquiry. If you contact us, we hold all personal information provided to our firm in the strictest confidence.
If you become a client, confidential records include all personal information that we collect from you or receive from other firms in connection with our services. We also require any other firms with whom we must interact to maintain the confidentiality of your information.
A complete description of our firm's privacy policy and electronic security procedures is available upon request.
Proxy Voting Policy
Proxies are voted in a manner consistent with the best interest of clients. The Family Firm’s policy is to disclose any material conflict of interest regarding a proxy vote to affected clients. Client/shareholder interests are represented consistently in The Family Firm’s proxy voting policies:
- Stock options should be expensed and their cost transparent to shareholders.
- "Poison pills" and other anti-takeover provisions are opposed.
- Stock option plans and other compensation issues are reviewed on a case-by-case basis.
- Reasonableness, dilution of existing shareholder interests, and prior managerial performance are considered and evaluated.
- Mergers and other corporate restructurings are evaluated individually and are voted upon consistent with shareholders long-term interest.
- Employee Stock Option Plans are voted favorably.
Issues of social and corporate responsibility are evaluated individually, including consideration of the cost of complying with the issue up for vote.
