Sceptyr, LLC (CRD# [To be assigned]) is registered as an investment advisor under the Investment Advisers Act of 1940. Our Form ADV Parts 1 and 2 are filed with the SEC and contain important information about our business practices, fees, conflicts of interest, and disciplinary history.
- Visit the SEC’s Investment Adviser Public Disclosure (IAPD) website at www.adviserinfo.sec.gov
- Request a copy directly from us at compliance@sceptyr.com
- Review our Form ADV Part 2A (our Brochure) before entering into any advisory relationship
- Discretionary and non-discretionary portfolio management
- Financial planning and wealth management
- Alternative investment strategies and private placements
- Estate and tax planning coordination
- Risk management and insurance analysis
- Retirement and education planning
Our services are generally available to:
- Accredited investors as defined by SEC regulations
- Qualified clients with investable assets typically exceeding $1,000,000
- Institutional clients including pension plans, endowments, and corporations
- High-net-worth families and individuals
- Asset-Based Fees:u00a0Typically range from 0.50% to 1.50% annually based on assets under management
- Financial Planning Fees:u00a0Fixed fees ranging from $5,000 to $50,000 depending on complexity
- Performance Fees:u00a0May apply to certain qualified clients and strategies
- Minimum Fees:u00a0Annual minimum fee of $25,000 may apply
- Custodial fees charged by third-party custodians
- Transaction costs and brokerage commissions
- Fund expenses for mutual funds and ETFs
- Alternative investment fees and expenses
- Third-party platform and technology fees
- Market Risk:u00a0Securities markets can be volatile and unpredictable
- Interest Rate Risk:u00a0Changes in interest rates can affect bond and stock values
- Credit Risk:u00a0Issuers may default on their obligations
- Inflation Risk:u00a0Purchasing power may decrease over time
- Currency Risk:u00a0Foreign exchange fluctuations in international investments
- Concentration Risk:u00a0Lack of diversification may increase losses
- Liquidity Risk:u00a0Limited ability to sell investments quickly
- Leverage Risk:u00a0Use of borrowed money can amplify losses
- Complexity Risk:u00a0Sophisticated strategies may be difficult to understand
- Regulatory Risk:u00a0Changes in laws may affect investment values
- Manager Risk:u00a0Performance depends on skill of investment managers
- Fee Arrangements:u00a0Higher fees for certain investment products
- Third-Party Relationships:u00a0Compensation from product sponsors or platforms
- Personal Trading:u00a0Our employees may invest in the same securities as clients
- Custody Arrangements:u00a0Relationships with recommended custodians
- Outside Business Activities:u00a0Other business interests of our personnel
We recommend qualified custodians for safekeeping of client assets. We do not serve as custodian and do not have physical possession of client funds or securities. Recommended custodians include:
- Charles Schwab & Co. Inc.
- Fidelity Brokerage Services LLC
- TD Ameritrade Institutional
- Interactive Brokers LLC
We maintain business continuity plans to address potential disruptions to our operations, including:
- Natural disasters and emergencies
- Technology failures and cyber incidents
- Key person risk and succession planning
- Pandemic and health emergencies
- Regulatory changes and compliance issues
We maintain physical, electronic, and procedural safeguards to protect client information in accordance with Regulation S-P and other applicable privacy laws. Our privacy practices are detailed in our Privacy Policy.
Neither Sceptyr, LLC nor its management persons have any material disciplinary history to disclose. Any disciplinary events would be disclosed in our Form ADV Part 1 and Part 2B.
Our communications through social media, email, and other electronic means are subject to securities laws and our compliance policies. We maintain archives of electronic communications as required by regulation.
As a registered investment advisor, we are subject to periodic examinations by the SEC or state regulators. We cooperate fully with regulatory examinations and implement any required corrective actions.
We may vote proxies for client securities when authorized to do so. Our proxy voting policies and procedures are designed to vote in the best interests of our clients and are available upon request.
We may deliver account statements, confirmations, and other required disclosures electronically with client consent. Electronic delivery is subject to the same regulatory requirements as paper delivery.
We encourage clients to contact us directly with any concerns or complaints. Our complaint resolution process includes:
- Initial review by your advisory team
- Escalation to our Chief Compliance Officer if needed
- Documentation and tracking of all complaints
- Implementation of corrective measures when appropriate
- Regulatory reporting of complaints as required
For additional information about investment advisors and investing, visit these regulatory websites:
If you have questions about any of these disclosures or need additional information, please contact:
