Disclosures
Financial services are one of the most heavily regulated industries. Below you can find documents and policies required by regulatory bodies.
Financial Industry Regulatory Authority information on David Bass
Investment adviser information for David Bass
Investment adviser information for the firm, Decision Tree Advisor.
Required for registering with the Securities and Exchange Commission. This provides general information about the investment adviser, types of clients, owners and executives, etc.
Required for registering with the Securities and Exchange Commission. This is designed for the client. It discloses types of services, fee structure, method of operation, education of principle, investment objectives, conflicts of interest, etc.
As part of our relationship, we collect personal financial information on you. This information is used to provide you with the most comprehensive view of your finances. However, our relationship requires this information be held in strict confidence. This policy outlines my responsibilities to you.