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Zero Regulatory Disclosures

Can your broker/dealer say that?

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Two decades in the industry and we still don’t have a single disclosure on our firm’s record to date.1 That track record of strength, stability, and continued success are no accident. They are a result of our passionate commitment to our core values. Our long-term success is a result of consistently doing the right thing — even when no one is looking.

We stand firmly behind our values in every decision — no matter how small — and are only interested in being front page news for the right reasons.

Advisor-Minded Compliance

Most of our executive management team started out as advisors themselves, so our policies and procedures are designed from a different chair — yours. You’ll find that the attitude of our compliance department is unlike that of any broker/dealer or RIA you’ve ever known. In fact, you might even enjoy conversations with our compliance team.

Brian, one our advisors in Texas, said it best in a recent email. “SCF compliance is mature, reasonable, and experienced.” It is that same unique culture that allows us to offer a service-driven boutique experience in every area of our firm while providing resources and products that rival the largest firms in our industry.


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1As of January 23, 2017.