Responsible Investing

At Guardian Capital Group Limited, we believe businesses that engage in sustainable environmental practices, consider the impacts of their operations on their employees and their communities and have proper governance practices that protect the interests of all stakeholders, are better positioned to deliver sustainable value over the long term.

Guardian Capital LP’s approach to responsible investing integrates considerations of environmental, social, and governance (ESG) matters into our investment analysis and stewardship activities, with the objective of enhancing long-term investment performance. Our two primary Responsible Investing approaches are applied across all our portfolios, with the process unique to the investment mandate.

ESG INTEGRATION

Our investment teams integrate ESG into their investment analysis using our proprietary research processes. Our portfolio managers do not apply any preset exclusions; instead, they assess a broad array of ESG factors in determining the long-term sustainability of each company and the impact these factors have on its outlook and valuation.

ACTIVE OWNERSHIP

Our investment teams focus on dialogue with companies to influence their approach to ESG factors that are material and relevant for their specific circumstances. Our portfolio managers use their meetings with companies as an opportunity to raise ESG issues with the aim of encouraging companies to explore solutions to effect the desired change.

The universe of acceptable investments for the Fund may be limited as compared to other funds due to the Fund’s ESG investment screening. Because the Fund does not invest in companies that do not meet its ESG criteria, and the Fund may sell portfolio companies that subsequently violate its screens, the Fund may be riskier than other mutual funds that invest in a broader array of securities.

Responsible investing may incorporate considerations beyond traditional financial information into the investment selection process. This could result in investment performance deviating from other products with comparable objectives or broad market benchmarks. Please review the Fund’s prospectus for details on how the Fund’s investment strategy incorporates responsible investing considerations and the associated risks, and consult your financial professional prior to investing. Guardian Capital LP is a signatory of the UN-supported Principles for Responsible Investment (UN PRI), and our Responsible Investing policies are publicly available on our website at: https://www.guardiancapital.com/investmentsolutions/responsible-investing.

FINRA’s BROKER CHECK

You should consider the investment objectives, risks, charges and expenses of the Alta Quality Growth Fund, Guardian Capital Fundamental Global Equity Fund, and Guardian Capital Global Dividend Fund (collectively, the “Guardian Capital Funds”) carefully before investing. A prospectus with this and other information may be obtained by calling 1.800.957.0681 or by downloading one from this web site. You should read the prospectus carefully before investing.

Guardian Capital Funds are offered only to United States residents, and information on this website is intended only for such persons. Nothing on this website should be considered a solicitation to buy or an offer to sell shares of the Guardian Capital Funds in any jurisdiction where the offer or solicitation would be unlawful under the securities laws of such jurisdiction.

Shares of the Guardian Capital Funds are distributed by Ultimus Fund Distributors, LLC (Member FINRA). Ultimus Fund Distributors, LLC is not affiliated with Guardian Capital Group Limited.

Mutual fund investing involves risk. Principal loss is possible. There is no guarantee that the Guardian Capital Funds will meet its investment objective. By concentrating its investments in an industry or sector, the Fund may face more risks than if it were diversified broadly over numerous industries or sectors. To the extent that the Fund invests in growth-oriented securities, the Adviser’s perception of the underlying companies’ growth potentials may be wrong, or the securities purchased may not perform as expected. The universe of acceptable investments for the Fund may be limited as compared to other funds due to the Fund’s Environmental, Social, Governance investment screening. Because the Fund does not invest in companies that do not meet its ESG criteria, and the Fund may sell portfolio companies that subsequently violate its screens, the Fund may be riskier than other mutual funds that invest in a broader array of securities.

Guardian Capital LP is the Guardian Capital Fundamental Global Equity Fund’s investment adviser, effective January 28, 2022. Prior to January 28, 2022, Alta Capital Management, LLC served as investment adviser to the Guardian Capital Fundamental Global Equity Fund. GuardCap Asset Management Limited (UK), is a non-US wholly owned subsidiary of Guardian Capital LP, and serves as the Fund’s investment sub-adviser. Effective January 28, 2022, Guardian Capital LP has delegated responsibility for the day-to-day management of the Fund to GuardCap Asset Management Limited. Guardian Capital LP is the Guardian Capital Global Dividend Fund’s investment adviser. Alta Capital Management, LLC is the Alta Quality Growth Fund’s investment adviser. Alta Capital is a majority-owned, US domiciled subsidiary of Guardian Capital LP.