Disclosures, policies and investor resources.
Access Fiduciary Capital Management LLC’s regulatory documents, privacy and communication policies, business continuity information, public registration record and financial-professional research resources.
Important information should be easy to locate and understand.
Fiduciary CM® provides public access to documents describing the firm, its advisory services, fees, potential conflicts of interest, privacy practices, communication policies and operational continuity planning.
Prospective and existing clients are encouraged to review these materials, research their financial professional and ask questions before entering into or continuing an advisory relationship.
The SEC public record should be used to locate the firm’s most recent Form ADV filings and amendments. Adviser-specific information is provided through the applicable Form ADV Part 2B brochure supplement.
Fiduciary CM® regulatory documents and policies.
Select a document below. PDF documents and external regulatory resources will open in a new browser tab.
Form ADV Part 2A Firm Brochure
Describes the firm’s advisory business, services, fees, investment methods, disciplinary information, conflicts of interest and business practices. Current filings are available through the SEC public record.
View Firm Brochure & SEC RecordWrap Fee Program Brochure
Any current Form ADV Part 2A Appendix 1 or other wrap-fee filing applicable to the firm may be accessed through Fiduciary CM®’s SEC Investment Adviser Public Disclosure record.
Review Available SEC FilingsForm CRS — ADV Part 3
A brief summary of Fiduciary CM® services, fees, costs, conflicts, standards of conduct, financial-professional compensation and suggested questions for investors.
View Form CRSPrivacy Policy
Explains the categories of nonpublic personal information the firm may collect, circumstances in which information may be shared, safeguarding practices and available privacy choices.
View Privacy PolicyBusiness Continuity Plan
Summarizes how the firm plans to respond to significant business disruptions, protect records, maintain communications and help clients access funds and securities.
View Business Continuity PlanEmail & Text Message Policy
Provides important information regarding email, text messaging, electronic instructions, confidentiality, cybersecurity and the limitations of electronic communications.
View Email & Text PolicyWebsite Terms of Use
Describes permitted website use, the educational nature of site content, investment-risk notices, intellectual-property terms, third-party links and other important conditions.
View Terms of UseDifferent disclosures serve different purposes.
Reviewing the documents together provides a more complete understanding of the firm and the advisory relationship.
Form ADV Part 2A
The detailed firm brochure. Use it to review services, fees, investment practices, conflicts, other business activities and material information about the advisory firm.
Form CRS
A shorter relationship summary intended to help retail investors compare services and ask informed questions about fees, conflicts, legal obligations and financial-professional compensation.
Form ADV Part 2B
The brochure supplement for an individual Investment Adviser Representative. It generally addresses education, business experience, other activities and reportable disciplinary matters.
Advisory Agreement
The written agreement establishes the actual scope of services, responsibilities, fee arrangement, termination provisions and other terms applicable to a specific client relationship.
Privacy Notice
Describes how nonpublic personal information may be collected, used, safeguarded and shared, as well as rights that may apply under federal or state law.
Business Continuity Plan
Explains the firm’s general approach to operational disruptions. It does not eliminate the possibility of delays during an emergency or widespread service interruption.
Verify registration and review public background information.
Investors should independently research advisory firms, broker-dealers and financial professionals using official regulatory resources.
SEC Adviser Check
Search Investment Adviser Public Disclosure for registered investment-adviser firms and Investment Adviser Representatives, including available Form ADV filings.
Visit SEC Adviser CheckFINRA BrokerCheck
Research broker-dealers and registered brokerage professionals, including employment history, registrations and publicly reportable disclosures.
Visit FINRA BrokerCheckInvestor.gov
Access educational materials and tools regarding investment advisers, broker-dealers, Form CRS, investment risks, fraud awareness and financial-professional research.
Visit Investor.govA disclosure is most useful when it starts a conversation.
Investors are encouraged to ask their financial professional about the services being offered, the professional’s qualifications, total costs, potential conflicts and who to contact with concerns.
- What investment services and ongoing monitoring will you provide?
- How will you select investments or strategies for my account?
- What advisory, custodial and third-party fees will I pay?
- What conflicts of interest could affect your recommendations?
- How is my financial professional compensated?
- What experience, licenses and qualifications does my adviser have?
- Who should I contact if I have a complaint or concern?
MSC-BD, LLC Client Relationship Summary
This document pertains to brokerage and other services provided through MSC-BD, LLC. Brokerage services and investment-advisory services are different and may involve different fees, conflicts, obligations and regulatory relationships. The MSC-BD, LLC Form CRS does not replace Fiduciary CM®’s Form CRS or advisory disclosures.
Questions about a disclosure or your advisory relationship?
Contact Paul McIntyre, Chief Compliance Officer, for assistance locating a document, understanding where additional information may be found or raising a concern regarding Fiduciary CM®.
Fiduciary Capital Management LLC is registered with the U.S. Securities and Exchange Commission as an investment adviser. Registration does not imply a particular level of skill or training and does not constitute an endorsement by the SEC.
Information on this website is provided for educational and informational purposes only. It does not constitute individualized investment, tax, legal or insurance advice; an offer to sell or a solicitation to purchase a security; or the creation of an advisory relationship. Advisory services are provided only pursuant to an applicable written agreement.
All investing involves risk, including the possible loss of principal. Past performance does not guarantee future results. Clients and prospective clients should review the firm’s current disclosure documents and consult qualified tax, legal and insurance professionals regarding their individual circumstances.
Insurance products are offered through appropriately licensed independent insurance agencies and are not offered through Fiduciary Capital Management LLC.