Investment Strategy Understanding & Client Suitability Acknowledgment

What We Offer: Our firm primarily offers specialized US Large Cap and US Small Cap strategies based on our proprietary momentum investing approach. Among other benchmarks, these strategies aim to outperform the S&P 500 and Russell 2000 Indices, respectively, over the long term. It's important to understand that while we endeavor to maintain a risk profile similar to these benchmarks, our strategies will likely exhibit significant tracking error to their benchmarks due to the inherent nature of momentum investing.

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Investor Suitability and Acknowledgment: Our strategies are tailored for investors prepared to embrace a level of risk and volatility similar to the S&P 500 and Russell 2000 Indices. It's important to note, however, that there may be periods when the volatility of these strategies significantly exceeds that of their benchmarks. We urge you to thoughtfully assess your investment goals, capacity for risk, and long-term financial plans. By reaching out to us, you confirm that you have thoroughly read, comprehended, and contemplated the appropriateness of these strategies in the context of your unique financial circumstances. 

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Performance and Risk Considerations: Past performance is not indicative of future results. Investment returns and principal value will fluctuate, and your investment may be worth more or less than the original cost. The momentum-based approach may lead to higher portfolio turnover, potentially resulting in higher transaction costs and short-term capital gains.

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Regulatory Compliance and Transparency: We adhere to all regulatory requirements set forth by FINRA and state authorities. Our strategies, processes, and fees are transparent and detailed in our Form ADV, available upon request and linked on the next page. This disclosure is intended to be clear and understandable. If you have any questions or require further clarification, please do not hesitate to contact us. As a registered investment advisor, we uphold a strict fiduciary duty to act in the best interests of our clients at all times. 

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Client Suitability Assessment: Prior to investing, we conduct a thorough suitability assessment to ensure our strategies align with your individual financial goals and risk tolerance. Part of this commitment involves conducting thorough Know Your Customer (KYC) and Anti-Money Laundering (AML) checks to ensure the safety and legality of all transactions. These procedures help us understand your financial situation, investment experience, and risk tolerance to provide the most suitable investment advice and services, while upholding our fiduciary standard. By adhering to these practices, we aim to maintain a transparent environment for all our clients.

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