Disclosures & Important Links
Disclosures
- Emergency Contact Numbers, rev. 2022.03
- Brokerage Account Agreement, rev. 2023.09
- Designation of Responsibilities, rev. 2023.09
- Form CRS, rev. 2024.03
- Investment Advisor Firm Brochure ADV Part 2A, rev. 2024.03
- Investment Advisor Firm Brochure ADV Part 2A Appendix 1, rev. 2024.03
- Regulation Best Interest Disclosure, rev. 2022.04
Important Links
Rule 606 Disclosure of Order Routing Information
- Rule 606 Clearing Firm Disclosure
- Quarter 2, 2024 (PDF)
- Quarter 2, 2024 (XML)
- Quarter 1, 2024 (PDF)
- Quarter 1, 2024 (XML)
- Quarter 4, 2023 (PDF)
- Quarter 4, 2023 (XML)
- Quarter 3, 2023 (PDF)
- Quarter 3, 2023 (XML)
- Quarter 2, 2023 (PDF)
- Quarter 2, 2023 (XML)
- Quarter 1, 2023 (PDF)
- Quarter 1, 2023 (XML)
- Quarter 4, 2022 (PDF)
- Quarter 4, 2022 (XML)
- Quarter 3, 2022 (PDF)
- Quarter 3, 2022 (XML)
- Quarter 2, 2022 (PDF)
- Quarter 2, 2022 (XML)
- Quarter 1, 2022 (PDF)
- Quarter 1, 2022 (XML)
- Quarter 4, 2021 (PDF)
- Quarter 4, 2021 (XML)
- Quarter 3, 2021 (PDF)
- Quarter 3, 2021 (XML)
- Quarter 2, 2021 (PDF)
- Quarter 2, 2021 (XML)
- Quarter 1, 2021 (PDF)
- Quarter 1, 2021 (XML)
- Quarter 4, 2020 (PDF)
- Quarter 4, 2020 (XML)
- Quarter 3, 2020 (PDF)
- Quarter 3, 2020 (XML)
- Quarter 2, 2020 (PDF)
- Quarter 2, 2020 (XML)
- Quarter 1, 2020 (PDF)
- Quarter 1, 2020 (XML)