Our relationship is governed by formal agreements between you and Vintage Capital Advisors, LLC and your custodian, which limit our authority over your securities to purchases and sales for your account and issuing instructions for the payment of funds to you. Our registration with the Securities and Exchange Commission expressly provides that we will not hold client assets. Your securities are held on deposit with our custodians who are protected by the Securities Investor Protection Corporation, and by any excess coverage which may be held by the custodian firms.

At no time do we have access to your securities, nor can they be delivered to anyone but you. Purchases will be made from your account and the proceeds from any sales deposited to your account. When you contribute new cash, it is deposited by you directly, either by wire or by check. Both will be made payable to the custodian firm who holds your account. Confirmations of all transactions and monthly activity statements are sent directly to you, with duplicates to us. You will also receive comprehensive performance reporting from us on a quarterly basis.

We will bill you on a quarterly basis for our fees. If you want our fees to be paid from your account, you may authorize your custodian, in writing, to do so on the account application. This is the only instance where funds can be paid to us. Any brokerage commissions or SEC fees for transactions are paid from your account at the time the transaction is executed.

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The Vintage Viewpoint Blog

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