General Disclosure
Corbett Road Capital Management, LLC (“Corbett Road”) is a federally registered investment advisor with the Securities Exchange Commission (“SEC”) and has been in business since 2019. Registration with the SEC does not imply their approval or endorsement of any service provided by Corbett Road. This website contains information based on the views of Corbett Road. Other organizations or persons may analyze investments and the approach to investing from a different perspective than that reflected in this presentation. Nothing included herein is intended to infer that the approach to investing discussed in this presentation will assure any particular investment results.
Nothing on this website is to be considered investment advice and should not be relied upon as the basis for entering any transaction or advisory relationship or making any investment decision. All investments involve the risk of loss, including the loss of principal. Performance information included on this website is solely to demonstrate the potential benefits historically associated, with commercial asset classes. Past performance is not an indicator of future results.
Investors should consider the investment objectives, risks, charges, and expenses of each strategy before making an investment decision. This and other information about the strategies presented, including additional risks, are contained in Corbett Road Corbett Road’s Form ADV Part 2 available at https://adviserinfo.sec.gov/firm/summary/305063, which you should read carefully before you invest. Additional information pertaining to ETFs used for investment purposes can be found in the prospectus for each ETF.
Gross performance is defined as the performance results of a portfolio before the deduction of all fees and expenses. Net performance is defined as the performance results of a portfolio after the deduction of all fees and expenses that a client or investor has paid or would have paid in connection with the adviser’s services to the relevant portfolio, including, if applicable, advisory fees, advisory fees paid to underlying investment vehicles such as MFs and ETFs, and payments by the investment adviser for which the client or investor reimburses the investment adviser. Custodian fees paid to a bank or other third-party organization for safekeeping funds and securities are excluded from the calculation of net performance. Advisory fees charged to Corbett Road clients, are described in Corbett Road’s Form ADV Part 2 and Part 3 available at https://adviserinfo.sec.gov/firm/summary/305063. Non-fee-paying accounts reflect the deduction of the highest possible fees for each strategy to calculate net performance.
All information is based on sources deemed reliable, but no warranty or guarantee is made as to its accuracy or completeness. macrocastTM and microcastTM are proprietary indexes used by Corbett Road Capital Management to help assist in the investment decision-making process. Neither the information provided by macrocastTM or microcastTM nor any opinion expressed herein considers any investor’s individual circumstances nor should it be treated as personalized advice. Individual investors should consult with a financial professional before engaging in any transaction or strategy. The phrase “the market” refers to the S&P 500 Total Return Index unless otherwise stated. The phrase “risk assets” refers to equities, REITs, high yield bonds, and other high volatility securities.
Market performance information is included on this website solely to demonstrate the potential benefits historically associated with asset classes and does not represent or suggest results Corbett Road would or may have achieved when managing client portfolios. Investors cannot invest in a market index directly, and the performance of an index does not represent any actual transactions. The performance of an index is not an actual client portfolio which is subject to the deduction of various fees and expenses which would lower returns.
Corbett Road Investment Management (“CRIM”) is a Subchapter S Corporation. CRIM claims compliance with the Global Investment Performance Standards (GIPS®). CRIM has been independently verified for the periods January 1, 2014 to December 31, 2021.
CRIM together with Spire Investment Partners LLC, an independent registered investment adviser, form Corbett Road Investment Partners, LLC. Corbett Road Investment Partners, LLC is the entity that owns Corbett Road Capital Management, LLC (CRCM), a registered investment adviser.
Corbett Road Wealth Management, LLC (CRCW) is a dba name for the group of financial advisors who are registered with Spire Wealth Management, LLC, a subsidiary of Spire Investment Partners LLC.
Together, CRCM and CRWM manage a variety of investment strategies that are offered to different groups of clients. CRCM offers advisory services to Financial Advisors while CRWM offers advisory services to directly to individual High Net Worth and Retail investors.
Corbett Road Investment Management, LLC (CRIM) manages the accounts of CRWM and CRCM that have signed an investment management agreement.
Corbett Road Capital Management, LLC Privacy Notice
Collection and Retention of Non-Public Personal Information
Corbett Road Capital Management, LLC, also referred to as “CRCM,” collects and retains information about you to identify and communicate with you, to provide you with our products and services, to help us respond to your questions and to inform you about other financial services that may be of interest to you.
We collect the following types of non-public personal information about you:
Information that we receive from you on applications or other forms. This information can include:
- Social Security number
- Account numbers and account balances
- Information about your transactions with us or others
Disclosure of Non-Public Personal Information to Non-Affiliated Third Parties
We do not disclose non-public personal information about you or our former customers to non-affiliated third parties, except as permitted by law and as described below. We do not sell your personal information to anyone.
Disclosure of Non-Public Personal Information in Other Circumstances
We may also disclose non-public personal information about you as necessary to effect, administer, or enforce transactions that you have requested or authorized, or in connection with servicing or processing a financial product or service you have requested or authorized, or to maintain or service your accounts with us, or as otherwise described below. The law allows you to “opt out” of only certain kinds of information sharing with third parties. CRCM does not share personal information about you with any third parties that triggers this opt out right.
We normally disclose information:
- When it is necessary or helpful in completing a transaction;
- To verify the existence and condition of your account for a third party, such as another financial institution;
- To comply with a law, regulation, legal process, or court order which applies to us or to an affiliate;
- When you authorize us to;
- To other companies, financial institutions and networks which may be involved in processing your transactions;
- To our agents and affiliates and to third parties who perform services or functions on our behalf to facilitate the delivery of information related to your accounts or to other financial services that may be of interest to you;
- In response to requests by our regulatory agencies.
Our Employees’ Access to and Use of Customer Information
Each of our employees and representatives has responsibility for maintaining the confidentiality of customer information. We restrict access of nonpublic information about you to those employees who need to know that information to provide products and services to you. We require all of our employees to agree in writing to protect the confidentiality of customer information and to use it only for business purposes.
Our Security Procedures
We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.
CRCM is firmly committed to maintaining our clients’ privacy.
If clients choose to contact CRCM via e-mail, we will use e-mail information only for the specific purpose of responding to requests or comments and providing information to clients. E-mail addresses will not be sold, nor will they be shared with others outside of CRCM, unless we are compelled to do so by law.
Maintaining Confidentiality in Our Business Relationships with Other Companies
From time to time we contract with other businesses to perform services in support of our products. When it is necessary to provide confidential customer information to a third party, we require each business that we select to agree to adhere to the same privacy standards, laws and regulations that apply to us.
Business Continuity Summary
Corbett Road Capital Partners, LLC (“Corbett Road”) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us – If after a significant business disruption (“SBD”) you cannot contact us as you usually do at 844-878-4897, you may call us at 703-731-4402 or email us at scott[email protected]. If you cannot access us through any of those means, you should contact your custodian firm, or fund companies where your account(s) may be held, for instructions on how place trades or transfer funds and or securities in your account(s).
Our Business Continuity Plan (BCP) – We plan to quickly recover and resume business operations after a SBD and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the SBD.
Our BCP addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank, and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our clearing and custodial firms, back up our important records in a geographically separate area. While every emergency poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our clearing and custody firms that their objective is to restore their own operations and be able to complete existing transactions and accept new transactions and payments within a reasonable period of time. Your orders and requests for funds and securities could be delayed during this period.
Varying Disruptions – SBDs can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 24 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area and recover and resume business within 24 to 48 hours. In either situation, we plan to continue in business, transfer operations to our clearing and custody firms if necessary, and notify you through our web site, www.corbettroadcapital.com, email us at scott[email protected] or via a recorded message at 844-878-4897 on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
For more information – If you have questions about our business continuity plan, you can contact us at 844-878-4897 or at 703-748-5831.