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 II
The Securities and Exchange Commission (SEC) requires that each Investment Advisory firm maintain a current Form ADV Part II. 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, revenue sources, 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. Theses steps are continually reviewed by the firm to insure 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 ot 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.