Instructions to retrieve 2021 Tax Documents are found under Resource Center – Tax Forms.

REGULATION BEST INTEREST AND FORM CRS

1DB Form CRS

Any PDF documents linked to below are best viewed in Adobe Acrobat.

Form CRS explains the types of client/customer relationships and the services the firm offers, the fees, costs, conflicts of interest, and required standard of conduct associated with those relationships and services, and whether the firm and its financial professionals currently have any reportable legal or disciplinary history.

We are required to deliver to prospective clients either at the beginning of a relationship with the firm, following a material change to the details of Form CRS, or upon certain events, such as when the client re-engages for a new or different relationship or service with the firm. 1DB Form CRS can be found here.

Regulation Best Interest

Regulation Best Interest (Reg BI) requires broker-dealers to act in their clients’ best interests when making an investment recommendation.  Please click here for more information.

Fee Schedules

Brokerage accounts

Robo advisory accounts

Firm Brochure Documents

Traditional RIA Part 2A
Firm Brochure – ADV Part 2A.
Traditional RIA Part 2A Appendix 1
Wrap Fee Program Brochure
Robo Advisory Part 2A
Robo Advisory Part 2A Firm Brochure.
Robo Advisory Part 2A Appendix 1
Robo Advisory Part 2A Appendix 1 – Wrap Fee Program Brochure