SEC REGISTRATION
Jay A. Fishman, Ltd. ("JAF") is a U.S. Securities and Exchange Commission ("SEC") Registered Investment Advisor ("RIA"). SEC registration is required for RIA's that have more than $25 million under management. Jay A. Fishman, Ltd. and its representatives are in compliance with the current registration and/or notice filing requirements imposed upon SEC registered investment advisers and by those states in which Jay A. Fishman, Ltd. maintains clients. A copy of Jay A. Fishman's Form ADV-Part II is provided to all clients and prospective clients.
NO OFFER
This website is for informational purposes only and does not constitute a complete description of investment services or performance. This web site is in no way a solicitation or offer to sell securities or investment advisory services; rather, this medium is limited to the dissemination of general information on the advisers's service offerings and provides for an efficient method in which a prospective client may contact the adviser.
NO RELIANCE
While Jay A. Fishman, Ltd. uses reasonable efforts to obtain information, whether stock quotes, charts, articles or any other statement or statements regarding market or other financial information, from sources which JAF believes to be reliable, JAF makes no representation that the information or opinions contained on the JAF website is accurate, reliable, timely or complete. The information and opinions contained on the JAF website are provided by JAF for personal use and informational purposes only and are subject to change without notice. Nothing contained on the JAF website constitutes investment, financial, legal, tax or other advice nor is to be relied on in making an investment or other decision. JAF's specific advice is given only within the context of our contractual agreements with each client.
LINKED WEBSITES
When you access certain links on the JAF website you may leave the JAF website. Jay A. Fishman, Ltd. does not endorse the content of such websites nor the products, services or other items offered through such websites. Any links to other sites are not intended as referrals or endorsements, but are merely provided to the users of the JAF website for conveniense and informational purposes.
PAST PERFORMANCE
Past performance is not indication of future results. Therefore, no current or prospective client should assume that the future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended and/or purchased by advisor), or product made regerence to directly or indirectly on the JAF website, or indirectly via link to any unaffiliated third-partty website, will be profitable or equal to corresponding indicated performance levels. Different types of investments involve varyin degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client's or prospective client's investment portfolio. Historical performance results for investment indexes and/or categories generally do not reglect the deduction of transaction and/or custodial fees or the deduction of an investment management fee, the incurrence of which would have the effect of decreasing historical performance results.
CLIENT PRIVACY
On June 22, 2000, the Securities and Exchange Commission ("SEC") adopted Regulation S-P: Privacy of Consumer Information. Regulation S-P applies to all financial institutions that are subject to the jurisdiction of the SEC, including investment advisors. The general purpose of the regulation is to protext to privacy of consumer information, a principle Jay A. Fishman, Ltd. has strictly adhered to since our inception. Jay A. Fishman, Ltd. recognizes that the foundation of our business is the trust and confidence of our clients. We are committed to maintaining the confidentiality of the personal information we collect. This notice is provided to you so that you may know how we collect information about you, the type of information we collect, what we may disclose to banking and brokerage firms that serve as account custodians ("custodiars"), and the steps we take to protect your personal information.
The nonpublic personal information we collect about you is from the following sources: (1) Information we receive from you on applications or other forms, which includes your name, address, date of birth, Social Security number, marital status, assets and financial statistics; and (2) Information about your transations with us or others.
The nonpublic personal information we collect from you is controlled as follows: (1) We restrict access to your personal and account information to those authorized employees and custodians who need to know that information to provide services to you, (2) We maintain physical, electronic and procedural safeguard your nonpublic personal information. Every employee of Jay A. Fishman, Ltd. is required to execute an Employee Confidentiality Agreement, (3) We share nonpublic personal information about you outside our company only as directed and authorized by you, or as required or permitted by law.
If you decide to close your account(s) or become an inactive client, we will adhere to the privacy policies and practices as described in this notice. If we change our privacy practices, we will provide you notice of all material changes.
Updating Client Financial Situation
Jay A. Fishman, Ltd. recommends for ongoing investment suitability that each client contact JAF whenever vital information relating to your financial situation changes. Such information includes, but is not limited to, taxable consequences, time horizon, and liquidity needs.
As prescribed by rule 204-3(c) of the Investment Advisors Act of 1940, Jay A. Fishman, Ltd. hereby ofers to deliver, without charge, a copy of its brochure (ADV Part II) upon request.
If you have any questions not listed here,
please feel free to contact us.
