1. SEC Registration

Ethercore is an investment adviser registered with the U.S. Securities and Exchange Commission ("SEC"). Registration as an investment adviser does not imply a certain level of skill or training. Additional information about Ethercore is available on the SEC's website at www.adviserinfo.sec.gov.

2. Form ADV

Our Form ADV Part 2A Brochure provides information about our qualifications and business practices. If you have any questions about the contents of this Brochure, please contact us. The information in this Brochure has not been approved or verified by the United States Securities and Exchange Commission or by any state securities authority.

Download Documents

description Form ADV Part 2A (Firm Brochure)
description Part 3: Client Relationship Summary (Form CRS)

3. Proxy Voting

It is our policy not to vote proxies on behalf of our clients unless specifically agreed to in writing. Clients will receive proxy materials directly from the custodian or transfer agent and are responsible for voting their own proxies.

4. Code of Ethics

Ethercore has adopted a Code of Ethics pursuant to SEC Rule 204A-1. The Code describes the high standard of business conduct we expect of our supervised persons and sets forth provisions regarding potential conflicts of interest, personal securities transactions, and the protection of confidential information. A copy of our Code of Ethics is available to clients and prospective clients upon request.

5. Business Continuity Plan

We have developed a Business Continuity Plan to address 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. Our plan covers data backup and recovery, mission critical systems, financial and operational assessments, alternative communications, and alternate physical location of employees.

6. Anti-Money Laundering

To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open an account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents.