Acting in Your Best Interest

Financial Advisor

As investment advisors, we at Lightship Capital Management are governed by the Investment Advisers Act of 1940 and applicable state securities laws that govern conduct and disclosure requirements. As a Financial Advisor, we aim to provide trust and confidence.

As Financial Advisors, WE WORK TO:

  • Make full and fair disclosure of all material facts
  • Have a reasonable, independent basis for our investment advice
  • Obtain best execution for your securities transactions where  we are in a position to direct brokerage transactions
  • Ensure that investment advice is suitable to your objectives, needs  and circumstances
  • Refrain from effecting personal securities transactions inconsistent  with your interests
  • Remain loyal to your financial goals


Investment planning cannot change your situation overnight – it’s a lifelong process. Remember that events beyond your control, such as inflation or changes in the stock market or interest rates, will affect your results. Just as you seek a doctor for medical issues, there are times when you need a qualified professional to provide advice. A CERTIFIED FINANCIAL PLANNER TM (CFP®) professional can help you in your pursuit of a healthier future.

When it comes to ethics and professional responsibility, CFP® professionals are held to the highest of standards. They are obliged to uphold the principles of integrity, objectivity, competence, fairness, confidentiality, professionalism and diligence as outlined in CFP® Board’s Code of Ethics. The Rules of Conduct require CFP® professionals to put your interests  ahead of their own at all times and to provide their services as a “fiduciary” – acting in the best interest of their clients. CFP® professionals are subject to CFP® Board sanctions  if they violate these standards.