Legal
Maas Capital Advisors, LLC (hereinafter "Maas Capital") is an investment adviser registered with the United States Securities and Exchange Commission and pursuant to pertinent laws and regulations, also maintains "notice filings" with several states. Maas Capital only transacts business in states where it is properly registered, or excluded or exempted from registration requirements.
All written content on this site is for information purposes only. No client or prospective client should assume that any information presented and/or made available on this Website serves as the receipt of, or a substitute for, personalized individual advice from Maas Capital, which can only be provided through a formal advisory relationship. Please see the "Contact Us" section for information on contacting Maas Capital.
No information on this website is intended as legal advice. You should consult your legal counsel regarding legal advice for your particular circumstances.
Certain portions of this website are intended only for the use of current clients of Maas Capital, or for prospective clients who have been screened by Maas Capital and granted access to these restricted areas. Information obtained from website pages that have limited access should not be shared with persons who have not been specifically granted individual access to the restricted web pages.
Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that the future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended and/or purchased by Maas Capital), or product made reference to directly or indirectly on this website, or indirectly via link to any unaffiliated third-party website, will be profitable or equal to corresponding indicated performance levels.
Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client's investment portfolio.
Historical performance results for investment indexes and/or categories generally do not reflect the deduction of transaction and/or custodial charges or the deduction of an investment management fee, the incurrence of which would have the effect of decreasing historical performance results.
Material represented is believed to be from reliable sources and we make no representations as to its accuracy or completeness.
Privacy Statement
Maas Capital Advisors, LLC is committed to maintaining the confidentiality, integrity and security of the personal information that is entrusted to us.
The categories of non-public information that we collect from you may include information about your personal finances, information about your health (to the extent that it is needed for the financial planning process), and information about transactions between you and third parties. We use this information to help you meet your personal financial goals.
With your permission, we disclose limited information to attorneys, accountants, mortgage lenders and other professionals with whom you have established a relationship. You may opt out from our sharing information with these non-affiliated third parties by notifying us at any time by telephone, mail, fax, email, or in person. With your permission, we share a limited amount of information about you with your brokerage firm in order to execute securities transactions on your behalf.
We do not provide your personal information to mailing list vendors or solicitors.
We require strict confidentiality in our agreements with unaffiliated third parties that require access to your personal information, including financial service companies, consultants and auditors. Federal and state securities regulators may review our company records and your personal records as permitted by law.
Personally identifiable information about you will be maintained while you are a client, and for the required period thereafter that records are required to be maintained by federal and state securities laws. After that time, information may be destroyed.
We maintain a secure office to ensure that your information is not placed at unreasonable risk. We employ a hardware firewall barrier, secure data encryption techniques and authentication procedures in our computer environment.
We will notify you in advance if our privacy policy is expected to change. We are required by law to deliver this Privacy Statement to you annually, in writing.
Business Continuity Plan Disclosure
Maas Capital Advisors, LLC has developed a Business Continuity Plan (BCP) as part of our ongoing contingency planning efforts to mitigate the impacts of business interruptions. Since the timing of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our BCP.
Maas Capital Advisors, LLC plans to quickly recover and resume business operations after a significant business disruption (SBD) and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our clients to transact business. In short, our BCP is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the SBD.
Our BCP addresses data backup and recovery; our mission-critical systems; financial and operational assessments; alternative communications with clients, staff, regulators and service providers; alternate physical locations for our staff; regulatory reporting; and assuring our clients prompt access to their funds and securities if we are unable to continue our business. Our custodial firm, Fidelity Investments, backs up their important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, Fidelity has advised us that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments with minimal down-time. Your orders and requests for funds and securities could be delayed during this period.
SBDs can vary in their scope, and may affect only our firm, a single building housing our firm, the business districts where our firm is located, the cities where we are located, or whole regions. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In either situation, we plan to continue in business, transfer operations to our custodial firm if necessary, and notify you through our web site www.maascapital.com or our main phone numbers regarding how to contact us. The Maas Capital Advisors, LLC office locations and telephone numbers are listed on the Maas Capital Advisors, LLC website.
In cases of an extreme disruption where you cannot access us through either of those means, you should contact our custodial firm Fidelity Investments at 1.800.343.3548 for instructions on how Fidelity may provide you with prompt access to your funds and securities. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our clients' prompt access to their funds and securities.
The Maas Capital Advisors, LLC BCP is reviewed at least annually and is subject to modification without notice. A written copy of our BCP disclosure is provided to clients at the start of the advisory relationship, posted on our website, and provided to clients upon request.
In the event it becomes necessary for Maas Capital Advisors, LLC to execute our BCP, we will post a message on the Maas Capital website, www.maascapital.com.
If you have questions about our business continuity planning, please email us.