This website (“capitalcapital.com”) is provided as a service of Capital Capital Advisors, LLC (“Capital Capital”). By accessing capitalcapital.com, you agree to the following terms and conditions:
Advisor Registration: Capital Capital is a State Registered Investment Advisor in Sausalito, CA. State registration is required for Registered Investment Advisors with less than $100 million in assets under management. A copy of Capital Capital’s Brochure, Form ADV Part 2A is provided to all clients and prospective clients, and additionally is available for review or download on capitalcapital.com. In addition to being registered with the State of California, Capital Capital also has clients in other states, but due to the fact that Capital Capital has less than six (6) investment advisory clients in each of states, no additional filings are required.
An investment advisor may only transact business in a particular state after licensure or satisfying qualifications requirements of that state, or only if they are excluded or exempted from the state’s investment adviser requirements. Follow-up or individualized responses to consumers in a particular state by an investment adviser that involve either effecting or attempting to effect transactions in securities or rendering of personalized investment advice for compensation shall not be made without first complying with the state’s investment adviser requirements, or pursuant to an applicable state exemption or exclusion.
For information concerning the licensure status or disciplinary history of an investment advisor, a consumer should contact his or her state securities law administrator.
No Offer: Nothing capitalcapital.com should be construed as a solicitation or offer, or recommendation, to acquire or dispose of any investment or to engage in any other transaction. Capital Capital does not render or offer to render personalized investment advice or financial planning advice through capitalcapital.com. Capital Capital’s specific advice is given only within the context of our contractual agreements with each client. capitalcapital.com is limited to the dissemination of general information about Capital Capital’s service offerings, and provides an alternative method for prospective clients to learn more about and/or contact Capital Capital. Advice may only be rendered after the delivery of Form ADV Part 2A and 2B, the execution of an investment advisory and/or financial planning agreement by the client and the advisor, and the initial payment of the planning fee or investment advisory fee by the client to the advisor.
No Reliance: While Capital Capital uses reasonable efforts to obtain information from sources which it believes to be reliable, Capital Capital makes no representation that the information or opinions contained on capitalcapital.com is accurate, reliable or complete. The information and opinions contained in capitalcapital.com are provided by Capital Capital for personal use and informational purposes only and are subject to change without notice. Nothing contained on capitalcapital.com constitutes investment, financial, legal, tax or other advice nor is to be relied on in making an investment or other decision. Capital Capital’s specific advice is given only within the context of our contractual agreements with each client.
Capital Capital Advisors requires that you provide current and accurate financial and personal information. Capital Capital Advisors will protect the information you have provided in a manner that is safe, secure and professional. Capital Capital Advisors is committed to protecting your privacy and to safeguarding that information.
Safeguarding Customer Documents
We collect non-public customer data in checklists, forms, in written notations. and in documentation provided to us by our customers for evaluation, registration, licensing or related consulting services. We also create internal lists of such data.
During regular business hours access to customer records is monitored so that only those with approval may access the files. During hours in which the company is not in operation, the customer records will be locked.
No individual who is not so authorized shall obtain personal and financial customer information. No individual with authorization to access personal and financial customer information shall share that information in any manner without the specific consent of the firm’s principal. Failure to observe Capital Capital Advisors procedures regarding customer and consumer privacy will result in discipline and may lead to termination.
Sharing Nonpublic Personal and Financial Information
Capital Capital Advisors is committed to the protection and privacy of its customers’ and consumers’ personal and financial information. Capital Capital Advisors will not share such information with any affiliated or nonaffiliated third party except:
When necessary to complete a transaction in a customer account, such as with the clearing firm or account custodians:
When required to maintain or service a customer account;
To resolve customer disputes or inquiries;
With persons acting in a fiduciary or representative capacity on behalf of the customer;
With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm;
In connection with a sale or merger of Capital Capital Advisor’s business;
To protect against or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability;
To comply with federal state or local laws, rules and other applicable legal requirements;
In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement;
In any circumstances with the customer’s instruction or consent; or
Pursuant to any other exceptions enumerated in the California Information Privacy Act.
It is not a policy of Capital Capital Advisors to share nonpublic personal and financial information with affiliated or unaffiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service customer accounts or is mandated by law, there are no allowances made for clients to opt out.
BUSINESS CONTINUITY PLAN
Capital Capital Advisors LLC has developed and implemented a Business Continuity Plan (“BCP”) to protect its business processes and technology environment in the event of a significant business disruption. Capital Capital Advisors’ policy is to respond to a significant business disruption (SBD) in an effort to safeguard employees’ lives and firm property, quickly recover and resume operations, protect the firm’s books and records, and allow our customers to transact business.
Capital Capital Advisors’ goal is to recover its business activities with minimal interruption, depending on the nature of the disruption. In a disruption to only our firm or the 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 presume to recover and resume business within a reasonable amount of time. 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.
If, after a significant business disruption, you cannot contact us as you usually do at 415.924.4949, please go to our website at www.capitalcapital.com for contact instructions. If you cannot access us through those means, and you have a brokerage account carried by our clearing firm, you should contact TD Ameritrade Institutional via its website www.tdainstitutional.com or by telephone at 800.431.3500 for instructions on how it may provide prompt access to your funds and securities, including accepting buy and sell orders and issuing checks and wires from your account.
Please be advised that our business continuity plan is subject to change and modification. Our firm will update this plan whenever we have a material change to our operations, structure, business, or location, or to those of our clearing firm. In addition, our firm will review our plan annually to modify it for any changes. If the plan is modified, we will promptly post the revised summary on our website www.capitalcapital.com. If you have questions about our business continuity planning or would like a written copy of the summary of our BCP, you can contact us at 415.924.4949 or www.capitalcapital.com