Annual RIA Disclosure Brochure
By July 30th, each client will receive either via email or in the mail a copy of our firm’s updated Registered Investment Advisory (RIA) Disclosure Brochure. This document is required to be delivered to you annually. This brochure includes our privacy policy, a copy of our firm’s Form ADV 2A, each of our advisor’s Form ADV 2B and our Form ADV 3/CRS (Client Relationship Summary).
We take the privacy of your personal information very seriously. Please review our privacy policy and let us know if you have any questions on how we keep your non-public information.
With the addition of the Appleton office, we were required to update our Form ADV 2A which provides a detailed description of the various aspects of our firm and important disclosures that you should be aware of. A copy of this document was provided to you when you opened your account with us and/or when we first transitioned to the new Form ADV 2. We are required to make you aware of any material changes to this document annually and to provide you with additional copies if you request them.
The advisor’s Form ADV 2B provides a detailed description of the advisor’s background and activities that you should be aware of. A copy of this document was provided to you when you opened your account with us and/or when we first transitioned to our own Registered Investment Advisor (RIA).
The firm’s Form ADV 3/CRS (Client Relationship Summary) purpose is to provide retail investors with a “simple easy-to-understand information about the nature of your relationship with your financial advisor and AEGIS Financial” in order to help you compare services between firms and make more informed decisions. This is a new requirement of the SEC (Securities Exchange Commission) that is being provided in this brochure for the first time to you.
AEGIS Financial values our relationship and endeavors to provide you with quality services to suit your individual investment needs. Please notify us immediately regarding any changes in your situation that may affect your financial condition, investment objectives or risk tolerance.
Kristie Hennes, As the Chief Compliance Officer of our firm, is responsible to keep you up to date and informed of any material changes to our firm. Please feel free to contact her anytime at 920-233-4650.