Disclosures

Detailed information about a fund’s investment objectives, risks, fees and expenses is available in each fund’s prospectus and, if available, summary prospectus. The fund’s policies regarding selection of securities firms are described in the fund’s statement of additional information. An investor may request these materials from his or her financial professional or directly from the mutual fund company and should be read carefully before investing.

 

Cadaret, Grant Advisors receive the same payout ratio of commissions and “trail” 12b-1 servicing fees for all the funds they sell. In addition to the commissions and fees disclosed in the fund’s prospectus fee table, Cadaret, Grant receives additional cash compensation from Strategic Partners for ongoing marketing and education programs – advisors do not share in that compensation. Cadaret, Grant’s Strategic Partners* follow, in descending order based on the total amount of additional cash compensation received:

Cadaret, Grant Advisors are not paid a higher percentage share of commissions or “trail” 12b-1 servicing fees for selling these funds over other products.

 

*January 1–December 31, 2016

Business Continuity Plan

Cadaret, Grant maintains a business continuity plan, including alternate processing facilities, to address disruptions in our normal course of business. These plans are reviewed annually and updated as necessary.   The plans outline the actions Cadaret, Grant will take in the event of a building, city-wide, or regional incident, including relocating technology and operational personnel […]

Client ID Program Notice

The following is important information for investors about procedures for opening a new account:   To assist the government in its effort to fight the funding of terrorism and money laundering activities, federal laws require Cadaret, Grant to obtain, verify, and record information that identifies each individual or entity that opens an account. These procedures […]

Order Routing

The U.S. Securities and Exchange Commission (SEC) adopted new rules in an effort to improve public disclosure of order execution and routing practices. As a result, broker/dealers must, on a quarterly basis, disclose the identity of the market centers to which they route a significant percentage of their orders and the nature of their relationships […]

Privacy Policy

Annual Privacy Notice for: Cadaret, Grant & Co., Inc. Cadaret, Grant Agency Capital Strategy Group, Ltd.   Cadaret, Grant & Co., Inc., an independent broker/dealer, respects the privacy of any nonpublic, personal information that clients provide in order for us to open and service their accounts. We are committed to safeguarding that information by holding […]

ADV II (A) Brochure

The following are important disclosures for clients/investors. Please read them carefully and contact you financial advisor with questions.   Cadaret Grant ADV II (A) Brochure

Options

Click here to view the Options Clearing Corporation’s Characteristics and Risks of Standardized Options disclosure documentation.   The following is a list of supplements (organized by year and month of publication), to the Options Clearing Corporation’s options disclosure documentation.   1997        December   2000        May   2004        January   2007        April   2007        May   2007        […]