Guiding Principles
The Golden Rule:
Treat others the way you want to be treated. Our company’s most valuable assets walk out the door at the end of the day. We encourage, expect, and respect each other’s contribution as we work together to reach our common goals.
Teamwork:
This is achieved through honest communication and support by orchestrating our resources. Solicit help when needed and recognize where you can pitch in. Communicate problems and roadblocks; there may be a simple resolution. Don’t pass the buck, and don’t let it pass to you. We are a team.
Quality:
We make every effort to ensure that everything that goes out of our doors is of the highest possible quality. This is accomplished through an established system of checks and balances. Concurrently, we will try to produce top quality as cost effectively as possible.
Pride:
We take pride in our skills, process, and results, which is rewarded through our clients’ appreciation. Some of us witness this appreciation more than others; this message of appreciation needs to be communicated through our entire organization.
Sense of Urgency:
Do it now. Get it done. If your sense of urgency is inhibited due to factors beyond your direct control, communicate that internally; there may be a reasonable alternative.
Promptness:
Try to return all calls within an hour, if possible. Generally, a.m. calls should be returned before noon and p.m. calls should be returned by 5:00, within the same day, and in all instances within 24 hours. If you do not have a complete response, let the person know, internally as well as externally.
Confidentiality:
Our clients’ information and affairs are strictly confidential. This also means care in protecting our clients’ affairs in discussions with each other in public (i.e. restaurants, elevators, etc.). This has no exceptions, period.
Preparation and Follow-Up Determine Most Successes:
Over-prepare within reason. Be the best-prepared person at the table. Client interactions should produce and result in consensus and direction. Everyone should be clear on what is next.
Care:
Treat client affairs as if they were your own. The guideline is this: if we would do it for a family member, we will do it for our clients.
Under-Promise and Over-Deliver:
If you say you will do it, do it and more: no exceptions.
Memo to File:
Most meetings with clients require a memo to file with meeting notes: sometimes these meeting notes (or an abbreviated version) are valuable for our clients or their advisors to receive as summary and communicating task expectations and responsibility.
Spell-Check and Proof:
Have all output spell-checked and proofread by someone else.
Email is Formal and Forever:
Treat email to clients as formal communication. Email is good for communicating facts and not as good for communicating feelings. Email is also forever; it is easily stored, copied, and forwarded; it tends to be around longer than printed mail.
Two B’s of Communication:
Be Brief! Respect other people’s time.
Honest Communication:
When you don’t know the answer to a question, say so. You earn more respect when you say, “I don’t know, but I will find the answer,” than any other alternative option.
Take Notes:
The difference between an idiot and a genius can be a pen and a piece of paper. Do not assume you will remember the pertinent details of what was said.
Express Sincere Interest in Our Clients’ Family and Business:
It is appreciated by them and makes us better informed to serve them.
Attitude:
Smile when representing Capital Advisors, Ltd., even when you are on the phone. Be enthusiastic about our company and services.
Sense of Humor:
We are an organization that values humor and the benefit it brings to our work place and our client relationships.
Do Not Bad Mouth the Competition:
If you don’t have something nice to say, don’t say it at all. Additionally, you never know how people are connected.
Toll Free Numbers:
We do not use clients’ toll free numbers unless instructed to do so.
Phone Messages:
Always leave your number slowly -- two times.
Be Considerate:
Write thank you notes, even when we are the customers.
Carbon Copy:
Utilize carbon copy to co-workers liberally on communications internally and externally. This improves interoffice communication, awareness, and in many cases, will improve outcomes.