Collegiate Capital Management, Inc. is a registered investment adviser with the U.S. Securities and Exchange Commission and is notice filed in various states. Any reference to or use of the terms “registered investment adviser” or “registered,” does not imply that Collegiate Capital Management, Inc. or any person associated with Collegiate Capital Management, Inc. has achieved a certain level of skill or training. Collegiate Capital Management, Inc. may only transact business or render personalized investment advice in those states and international jurisdictions where we are registered, notice filed, or where we qualify for an exemption or exclusion from registration requirements. The purpose of this web site is to provide general information on our products and services only and should not be construed as a solicitation to effect, or attempt to effect, either transactions in securities or the rendering of personalized investment advice over the Internet. Any communications with prospective clients residing in states or international jurisdictions where Collegiate Capital Management, Inc. and its advisory affiliates are not registered or licensed shall be limited so as not to trigger registration or licensing requirements.
We feel that our current and prospective clients should be able to freely access information about our firm. To that end, the following documents provide information to help you get better acquainted with our practices.
Form ADV Part 2
The Securities and Exchange Commission (SEC) requires that each Investment Advisory firm maintain a current Form ADV Part 2. This form provides important information about Collegiate Capital Management, Inc. including a description of all aspects of our firm’s business practices, relationships with third parties, fees and compensation, and the services that we provide for our clients.
Our firm takes great pride in the procedures that we have established for collecting and safeguarding our clients’ nonpublic personal information. These steps are continually reviewed by the firm to ensure the policy is consistent with operating procedures and updated in a timely manner when necessary.
Code of Ethics
Collegiate Capital Management, Inc. is required to adopt and adhere to a written Code of Ethics. The firm’s Code of Ethics requires high standards of business conduct, compliance with federal securities laws, reporting, and record retention of personal securities transactions and holdings, reviews, and sanctions.
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