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Important Notices

Investment advisory services are available only through StrategicPoint Investment Advisors, LLC (SPIA). SPIA is a federally registered investment advisor with the Securities and Exchange Commission. When authorized by client, StrategicPoint Securities, LLC, a federally registered broker-dealer and member of FINRA, carries out securities transactions on behalf of the clients of SPIA.  Insurance products and services are available only through StrategicPoint Insurance Services, LLC.

 

SPIA may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. SPIA’s website is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of SPIA’s website on the Internet should not be construed by any consumer and/or prospective client as SPIA’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by SPIA with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of SPIA, please contact the SEC or the state securities law administrators for those states in which SPIA maintains a notice filing. A copy of SPIA’s current written disclosure statement discussing SPIA’s business operations, services, and fees is available from SPIA upon written request.

Certain portions of SPIA’s website (e.g. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, SPIA’s (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from SPIA, or from any other investment professional. SPIA is neither an attorney nor accountant, and no portion of the website content should be interpreted as legal, accounting or tax advice.

Each client and prospective client agrees, as a condition precedent to his/her/its access to SPIA’s website, to release and hold harmless SPIA, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from SPIA.

This site may contain links to other websites, including links to the websites of companies that provide related information, products and services. These links are solely for the convenience of visitors to this site, and the inclusion of such links does not necessarily imply an affiliation, sponsorship or endorsement. Any opinions, advice, statements, or other information made available through such links are those of the respective authors. When you access one of these websites you are leaving SPIA’s website. SPIA assumes no responsibility for any material outside of SPIA’s website which may be accessed through any such link.

Information throughout this site, whether stock quotes, charts, articles, or any other statement or statements regarding market or other financial information, is obtained from sources which we and our suppliers believe reliable, but we do not warrant or guarantee the timeliness or accuracy of this information. Nothing on this website should be interpreted to state or imply that past results are an indication of future performance. Neither we nor our information providers shall be liable for any errors or inaccuracies, regardless of cause, or the lack of timeliness of, or for any delay or interruption in the transmission thereof to the user. THERE ARE NO WARRANTIES, EXPRESSED OR IMPLIED, AS TO ACCURACY, COMPLETENESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS OR ANY ‘LINKED’ WEBSITE.

ADV Part 2A

Advisors use the Form ADV to register as an investment advisor with the Securities and Exchange Commission (SEC). This is a legal document that ensures we are who we say we are-Registered Investment Advisors (RIAs). The Form ADV has two parts. Part 1 contains information about the advisor’s business, ownership, affiliations, employees and disciplinary history within the last ten years.

Part 2A requires investment advisors to prepare narrative brochures written in plain English that contain information such as the types of advisory services offered, the advisor’s fee schedule, disciplinary information and conflicts of interest.  The brochure is the primary disclosure document that investment advisors provide to their clients. You can view both Part 1 and 2 on the SEC’s website at www.adviserinfo.sec.gov or ADV Part 2A by clicking here. Our ADV Part 2B of the Form ADV part 2A “brochure supplement” provides information about our advisory personnel and is also available upon request.

Before you hire someone to be your investment advisor, always ask for, and carefully read, both parts of the advisor’s Form ADV.

Proxy Voting Policy

StrategicPoint Investment Advisors’ (“SPIA”) general policy is to not vote proxies on behalf of its clients.  Clients expressly retain the authority for and responsibility to vote proxies for any and all securities maintained in client accounts.  Clients will receive proxies directly from the custodian.  SPIA may provide advice to clients regarding the clients’ voting of proxies.

Pre-existing advisory clients are subject to the terms and conditions that were in effect according to the client’s most recent Investment Advisory Services Agreement and any applicable amendments.  In these instances where SPIA is voting proxies, SPIA follows its written policies and procedures to govern proxy voting.  In addition, subject to SPIA’s acceptance, clients may authorize SPIA by means of a separate written authorization to receive all proxy-related materials concerning securities held in client accounts and may delegate SPIA the authority to vote proxies on behalf of clients.

If SPIA has agreed to vote proxies on behalf of clients in those circumstances as mentioned above, the procedures for voting proxies and the record keeping systems maintained by the firm are as follows:

  • SPIA exercises reasonable efforts to acquire information sufficient to allow for an informed and timely vote.
  • The Chief Investment Officer or her authorized designee, votes all proxies to maximize shareholder value. SPIA will cast proxy votes for the sole purpose of enhancing the benefits of its advisory services by using the care, skill and diligence that a prudent person acting in a like capacity and familiar with such matters would use under the prevailing circumstances. The firm’s investment philosophy is to purchase quality companies for the portfolios of its clients. One of the main criteria for quality is excellence in management. Hence, the firm tends to vote issues in alignment with management’s recommendations, if there is no conflict with shareholder value.  For example, “Poison Pills” and other anti-takeover measures are not supported, even if recommended by management.
  • In situations where a material conflict may arise between the interests of SPIA and its clients, SPIA will provide the client with full and complete disclosure and invite clients to submit his or her own proxy voting preference on any issue that is subject to a shareholder vote.
  • The following records will be maintained and preserved in an easily accessible place for a period of not less than five (5) years:
    • A copy of SPIA’s current Proxy Voting Policy;
    • A copy of each proxy statement received by SPIA regarding securities held on behalf of its clients (which may be obtained from the SEC’s EDGAR system);
    • A record of each vote cast by SPIA on behalf of its clients;
    • A copy of any document created by SPIA that was material to a proxy vote on behalf of clients;
    • A copy of each written request received from a client as to how SPIA voted proxies on its behalf and a copy of any written response from SPIA to any written or oral client request for information as to how SPIA voted proxies on its behalf.

Upon client request, SPIA will furnish information about how their proxies have been voted.  Clients may request this information by contacting StrategicPoint Investment Advisors, LLC by phone at (401) 273-1500, in writing to 294 West Exchange Street, Providence, RI 02903, or visiting our website at www.strategicpoint.com


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