Business Principles

principle -- noun

1. A fundamental truth, law, or postulate. 2a. A rule or code of behavior. 2b. Moral or ethical standards in general, integrity. 3. An underlying or established rule or policy.*


  1. Individuals, families, and businesses may benefit from a strong relationship with a trusted financial advisor
  2. Clients are partners -- serving their needs well is a basis for striving toward my success
  3. Striving to take all of the up -- not nearly as important as trying not to take all of the down
  4. There are many opportunities, but not always more money
  5. I feel investment success and strategy discipline are directly related
  6. All investments have risk (inflation risk, market risk, credit risk, etc.) -- understanding risk is fundamental
  7. Strive to continuously anticipate changing market conditions and develop strategies accordingly -- complacency can lead to extinction
  8. Never confuse an attitude toward risk with a capacity for risk
  9. Careful planning, steady performance, and ongoing adjustment are key to stay on track toward goals
  10. Put myself in the client's shoes to facilitate best decisions


*Webster's II New Riverside Dictionary