Values & Ethics

At the root of everything we do, and the central focus of Caprock, is and will always be the success of our clients. We understand that our clients are the reason we exist and why we perform with a high level of focus, dedication, hard work, and creativity. We take great pride in our work and we are passionate about helping our clients succeed at the highest level possible. As a CFA Charterholder, our CEO, Chris Jarvis incorporates the CFA Institute’s code of ethics and standards, considered the benchmark for the professional investment community, into Caprock’s own culture in order to achieve a high level of integrity in our business.

OUR CODE OF ETHICS MAINTAINS:

  • Place the integrity of the profession and the interests of clients above our own interests.
  • Act with integrity, competence, and respect in every business dealing.
  • Maintain and develop professional competence, and continued education, above industry standards.

OUR STANDARDS OF PROFESSIONAL CONDUCT COVER:

  • Professionalism and integrity of the capital markets.
  • Duties of honesty and commitment to clients and company personnel alike.
  • Investment analysis and recommendations with the highest degree of accuracy.
  • Conflicts of interest and responsibilities to CFA Institute Members and Candidates.