Forms ADV

Investment Adviser Registration and Disclosure Documents

Forms ADV Coming Soon

We are currently preparing our Forms ADV Part 1 and Part 2 as required for SEC registration as an investment adviser. These documents will be available before we begin providing investment advisory services.

About Forms ADV

Forms ADV are the uniform forms used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities authorities. The forms consist of two parts:

Form ADV Part 1

Part 1 contains information about the investment adviser's business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees. This information is used by regulators to determine whether to grant or continue the adviser's registration.

Form ADV Part 2 (Brochure)

Part 2 is the adviser's "brochure" that must be provided to clients. It contains information about the adviser's services, fees, strategies, conflicts of interest, and disciplinary information. Our Part 2 will include:

  • Advisory Business: Description of our services and client types
  • Fees and Compensation: How we are compensated for our services
  • Performance-Based Fees: Any performance-based compensation arrangements
  • Types of Clients: Description of our typical clients
  • Methods of Analysis: Our investment strategies and methods
  • Investment Risks: Material risks in our investment strategies
  • Disciplinary Information: Any legal or disciplinary events
  • Other Financial Activities: Other business activities and conflicts
  • Code of Ethics: Our standards of business conduct
  • Brokerage Practices: How we select brokers and custodians
  • Review of Accounts: How we monitor client accounts
  • Client Referrals: Any referral arrangements
  • Custody: Whether we have custody of client assets
  • Investment Discretion: Our authority over client accounts
  • Voting Client Securities: How we handle proxy voting
  • Financial Information: Our financial condition

Form ADV Part 2B (Brochure Supplement)

Part 2B provides information about supervised persons who provide investment advice and have direct contact with clients. This includes information about their education, business experience, and disciplinary history.

Annual Updates

Forms ADV must be updated annually and whenever there are material changes to the information contained in the forms. Clients will receive updated brochures or summaries of material changes annually.

Public Availability

Once filed, Forms ADV Part 1 and Part 2 will be publicly available through the SEC's Investment Adviser Public Disclosure (IAPD) website at www.adviserinfo.sec.gov. Clients and prospective clients can access these documents at any time.