Business Continuity Plan
Edgemont Capital Partners, L.P. (“EDGE”), pursuant to Financial Industry Regulatory Authority, Inc. (“FINRA”) rules, has created a Business Continuity Plan, to address and guide our response to and recovery from Significant Business Disruptions (“SBDs”). Copies of this Summary Disclosure Statement shall be given to all clients at the time they open their accounts with EDGE. EDGE’s Business Continuity Plan is subject to modification and an updated summary will be promptly sent to our clients. Alternatively, clients may obtain updated summaries by requesting a written copy by mail or fax.
In all of the following scenarios, EDGE plans to continue business and our planned recovery time, depending upon the time of occurrence, should not exceed 24 hours from the time of the declaration of the SBD. Staff, telephone calls, and e-mails will return to their original location upon full restoration of service.
Disruption to a single building or our Firm’s main office:
If a disruption occurs at our main office located at 787 7th Avenue, 49th Floor, New York, NY 10019, the firm shall continue to operate from residential office locations.
Disruption to a business district:
If a disruption occurs in our business district affecting our main office, the firm shall continue to operate from residential office locations. If possible, these locations shall be outside the business district.
City-wide business disruption:
If a disruption occurs in our city-wide area that affects our main office, the firm shall continue to operate from residential office locations. If possible, these locations shall be outside the city-wide area.
If a regional disruption occurs that affects our main office, the firm shall continue to operate from residential office locations. If possible, these locations shall be outside the regional area.
Please call if you should have any questions at (212) 867-8935.
You may obtain information about the Securities Investor Protection Corporation (SIPC), including a copy of the SIPC brochure, by calling them at (202) 371-8300 or visiting their web site at sipc.org.
Edgemont Capital Partners, L.P. (“EDGE”) is committed to complying with U.S. statutory and regulatory requirements designed to combat money laundering and terrorist financing. The USA Patriot Act requires all financial institutions to obtain, verify, and record information that identifies each person or entity that opens an account or establishes a relationship with the Firm. Specifically, EDGE is required to collect the following information: legal name, date of birth, address and identification number (TIN or SSN). A legal entity may need to provide other information such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, and a partnership agreement or a trust agreement. We may also ask for a copy of your driver’s license or seek additional documentation.
The Financial Industry Regulatory Authority runs a public disclosure program known as BrokerCheck that provides information about brokerage firms and their registered persons. To obtain an investor brochure that includes information about BrokerCheck or to obtain additional information, contact the FINRA public disclosure hotline at (800) 289-9999 or visit the BrokerCheck website at brokercheck.finra.org. FINRA’s website is located at finra.org.