Compliance & Regulatory Documents

Regulatory documentation and compliance disclosures


Form ADV Part 2 serves as a key disclosure document for both current and potential clients of investment advisors. It’s designed to provide clear and comprehensive information, in simple English, about the firm in two distinct sections:

  • Part A: This section focuses on the overall business operations of the investment advisor. It details the types of advisory services offered, the fee structure, any relevant disciplinary history, potential conflicts of interest, and the firm’s business affiliations. Essentially, it covers anything that a client might find important in understanding the advisor’s practices and background.
  • Part B: This section dives deeper into the qualifications and experience of key personnel within the investment advisor firm. It provides information about the educational background, business experience, and any disciplinary history of the individuals who directly manage client accounts or provide investment advice.

It’s crucial to note that investment advisors are obligated to furnish their clients with a copy of Form ADV Part 2. This ensures transparency and empowers clients to make informed decisions regarding their investments.

Form ADV Part 3, also known as Form CRS, is a concise document designed to help you evaluate our financial services. It provides key information about the services we offer, the fees you’ll incur, potential conflicts of interest we may have, and other important disclosures.

Here’s what you can expect to find in Form CRS:

  • Types of services: We clearly outline the specific financial services we offer to individual investors like you.
  • Fees and costs: You’ll find a breakdown of the fees and costs associated with our services, allowing you to understand the financial implications of working with us.
  • Conflicts of interest: We disclose any potential conflicts of interest that might arise during our relationship, ensuring transparency and ethical conduct.
  • Other disclosures: The form may also include additional information that we believe is relevant to your decision-making process.

Ultimately, Form CRS empowers you to make informed choices about your financial future by providing a clear picture of what to expect from our firm.

Privacy Notice
Protecting Your Personal Information

As a registered investment advisor, ACM takes the security of your personal information seriously. We comply with SEC Regulation S-P, which requires us to:

  • Safeguard your non-public personal information: This includes any information that can identify you, such as your age, phone number, and other financial details.
  • Disclose our privacy policies: We clearly outline how we handle your information and when we might share it with affiliated or unaffiliated third parties.
  • Maintain secure procedures: We have established comprehensive procedures to ensure your information is protected and confidential.

Our Privacy Notice provides an overview of the policies which govern all employees and aim to:

  • Educate our team: Ensure everyone understands their role in protecting client confidentiality.
  • Establish clear guidelines: Define the proper handling and sharing of your information.
  • Monitor compliance: Regularly assess and improve our data security practices.

In case of any doubt, ACM always prioritizes the confidentiality of your information.