Co-Owner and Principal
Co-Owner and Principal
Corporate Communications Manager
Head of Due Diligence
Buttonwood Due Diligence, as an independent third-party provider of due diligence services to the broker-dealer and registered investment advisor community, has implemented a Code of Ethics to strengthen Buttonwood’s endeavors to produce accurate, independent due diligence products and services.
First, Buttonwood’s Code of Ethics contains policies and procedures addressing and preventing various conflicts of interest, including provisions prohibiting any Buttonwood employee from accepting gifts, gratuities, or entertainment from any sponsor.
Second, Buttonwood is paid in full for any contracted services at the very start of an engagement, eliminating any financial leverage that a sponsor may have to influence the content of a Buttonwood Review.
Third, Buttonwood withholds conclusions from any drafts sent to sponsors, further reducing the sponsor’s ability or incentive to attempt to influence Buttonwood’s conclusions.
Fourth, when a report is finalized with our final thoughts, opinions and recommendations, the report is uploaded to Buttonwood’s Report Vault, a password-protected area of our website to which the sponsor does not have access. Click the link to visit the Report Vault.
Fifth, Buttonwood employees are prohibited from investing in any program previously reviewed or expected to be reviewed in the future.
Buttonwood employees are prohibited from investing in any program previously reviewed or expected to be reviewed in the future.
While every review is different, on average Buttonwood aims to complete each offering review within approximately 2 to 3 weeks and each sponsor review within approximately 3 to 4 weeks. Options are available to accelerate the review process when necessary.
Buttonwood’s due diligence reviews are tailored specifically to each engagement. Following discussions with management and/or an initial review of the primary offering document for an investment program Buttonwood will quote an engagement price that reflects and accounts for the anticipated complexity of the review in question. Please contact Buttonwood to receive a quote.
Our broad mix of talent and experience allows us to analyze an investment product or sponsor from financial, legal, operational and tax perspectives, all while asking the right questions and sharing our thoughts that are drawn from decades of diverse experience. Furthermore, we want all our clients to experience success. We pride ourselves on being fair and impartial and are here to support our financial advisory and sponsor clients in any way possible.