Regulatory Information
- ESI Privacy Policy
- Client Relationship Summary
- Brokerage Agreement (Client Brokerage Transaction and Service Fee Schedule)
- Client Transaction and Service Fee Schedule for Managed Programs
- Revenue Sharing Disclosure
- Business Continuity Statement
- Important Account Info
- Form ADV Part 2A (48596)
- Form ADV Part 2A - Appendix 1 (51938)
- ERISA Revenue Sharing Disclosure
- Regulation BI Disclosure
SEC-Required Report on Routing of Customer Orders
(For links identified as xml version: to view correctly, please right click on the link, choose "save link as...", save it to your computer, then go to the path and open it with Excel)
- 2020 - First Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
2020 - First Quarter- Consolidated Quarterly Data - xml versionOpens in new Tab - 2020 - Second Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
2020 - Second Quarter- Consolidated Quarterly Data - xml versionOpens in new Tab - 2020 - Third Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
2020 - Third Quarter- Consolidated Quarterly Data - xml versionOpens in new Tab - 2020 - Fourth Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
2020 - Fourth Quarter- Consolidated Quarterly Data - xml versionOpens in new Tab - 2021 - First Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
2021 - First Quarter- Consolidated Quarterly Data - xml versionOpens in new Tab - 2021 - Second Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
2021 - Second Quarter- Consolidated Quarterly Data - xml versionOpens in new Tab - 2021 - Third Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
2021 - Third Quarter- Consolidated Quarterly Data - xml versionOpens in new Tab - 2021 - Fourth Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
2021 - Fourth Quarter- Consolidated Quarterly Data - xml versionOpens in new Tab - 2022 - First Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
2022 - First Quarter- Consolidated Quarterly Data - xml versionOpens in new Tab - 2022 - Second Quarter- Consolidated Quarterly Data - pdfOpens in new Tab
- 2022 - Second Quarter- Consolidated Quarterly Data - xml version