Our Transition to Rede Wealth

As an independent wealth management firm, we are regulated by the Securities and Exchange Commission (“SEC”), a US government agency rather than the Financial Industry Regulatory Authority (“FINRA”), a self-regulatory agency of member brokerage firms and exchange markets. Rede Wealth makes its primary regulatory filings with the SEC, which may be reviewed via the following link:

http://www.adviserinfo.sec.gov/IAPD/Firm/173346.

For your convenience, we (as individuals) will also maintain a registration with FINRA through a “friendly broker-dealer”. A “friendly broker-dealer” allows us to continue providing brokerage products like 529 accounts and insurance products through a commission-based relationship, while still primarily working with our clients in an advisory capacity.

We understand that some of our clients may have been confused by the details of our transition to Rede Wealth, but the broker-dealer industry has created a protocol for its advisors to follow when departing their member firm. A copy of that protocol can be found by clicking here and reviewed, at your convenience. In order to remain compliant with this protocol, the only information that we were allowed to collect was your account title, name, address, email and phone numbers. In order to protect your privacy and security, we could not collect account numbers, Social Security numbers or dates of birth. Unfortunately, providing advance notice of the move to you would have violated this protocol, and notice to our former firm would have jeopardized our transition to Rede Wealth.

Broker Protocol