Company Policies

Labrador Investments, LLC is bonded for your protection.  We have purchased a fidelity bond from a reputable insurance company to ensure an extra layer of protection for your account.

Labrador Investments, LLC publishes and regularly updates a Policies and Procedures Manual that describes how we do business.  Our policies and procedures include the following elements related to client service:

    • Duty to abide by all Federal, state and local laws, rules and regulations, including the CFA Institute Code of Ethics and Standards of Professional Conduct.(Click here for a copy.)
    • Experience and Credentials Requirements of professionals
    • Background checks for all employees and contractors who have access to client information
    • Disclosures to clients

See our Form ADV Part 2 here(Click here for a copy.)

  • Privacy Policies (Click here for our Privacy Policy.)
  • Proxy voting
  • Soft dollar arrangements (We currently do not engage in using client brokerage fees to pay for research.  All research costs come out of our own pocket.)
  • Recordkeeping for client accounts
  • The establishment of an independent custodian to hold client assets.  Labrador Investments LLC never touches client assets and only has the capability to send requests to the custodian for fees billed to the client for services rendered.
  • Investment Policies and Procedures regarding review of client accounts and updating client investment goals and objectives
  • Policies regarding execution of client trades
  • Policies ensuring the priority of client trades before our professionals’ own trades are placed.
  • Policies regarding bond trading and trading stocks to ensure that clients are treated similarly when decisions are made to buy and sell a specific stock
  • A policy prohibiting insider trading
  • A policy on investing in Initial Public Offerings (IPOs) – companies who are selling their stock to the public for the first time.
  • A policy to disclose personal investments in individual stocks in our quarterly newsletter.
  • A policy regarding the use of research to recommend the purchase or sale of a stock
  • A policy on valuation of client holdings
  • A policy on Fees and Refunds of Unearned Fees

Clients and prospects may request information on any of these policies by contacting us at (513) 755-7857.

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