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SERVING HOUSTONIANS AND SURROUNDING AREAS SINCE 2002
Charles Schwab: Broker/Custodian for Beta Management
Selecting an investment advisor is a significant decision. Choosing the right brokerage firm to custody your assets is equally important. Beta Management uses Charles Schwab to custody assets and trade securities for clients. For more than 25 years, Charles Schwab has helped advisors deliver an exceptional experience to their clients. Schwab is experienced in serving the needs of advisors and their clients. Schwab offers innovative products and services that support the financial planning and portfolio management services that advisors provide to investors like you.
You can feel confident in Schwab as the custodian of your assets. They're committed not only to meeting the industry's rigorous regulatory requirements, but also to upholding their own stringent business standards, which are designed to safeguard your assets and help ensure the firm's financial health and stability.
Schwab Provides A Full Range of Investment Solutions and Trading Services
Schwab provides insights, research, and access to a wide range of investment products and expertise. Beta Management leverages these tools to develop recommendations that suit your unique investment needs. Every trade placed on your behalf is handled by a team that puts your best interests first.
Equities
Schwab equity specialists have access to all major national and regional exchanges. Their specialists are available to help with the order of listed or over-the-counter stocks, large orders, and thinly traded issues, and they will strive to obtain the best price.
Fixed Income
By working with Schwab, Beta Management has access to more than 36,000 bonds from more than 200 dealers and can select products to meet your capital preservation and income goals in a single place. If government, corporate, or municipal instruments are appropriate, a Schwab fixed income specialist will work to locate the most favorable combination of rates and maturities.
Mutual Funds
Beta Management can choose from thousands of mutual funds, many with no loads and no transaction fees, with Schwab Mutual Fund OneSource, or select from Schwab's Mutual Fund Marketplace, which provides convenient one-stop access to a full range of mutual fund managers from nearly every asset class. Schwab also provides research and experts' top fund picks to narrow down the choices and find the right funds for you.
Investors should carefully consider information contained in the prospectus, including investment objectives, risks, charges, and expenses. You can request a prospectus by calling 1-800-435-4000. Please read the prospectus carefully before investing.
Industry-Leading Technology
Schwab's powerful technology platform and versatile mobile apps help Beta Management stay connected to you and share important information. Schwab also provides you with intuitive website and mobile apps that you can use to view account information, remotely deposit checks, and stay connected to your investments—anytime, from almost anywhere. All of their technology is designed to make it easier for you and Beta Management to work with Schwab, while upholding the strict security standards and protections that are put in place to keep your assets safe.
Dedicated Support Teams
Schwab's network of service teams is dedicated to supporting every aspect of the investment management services Beta Management provides to you. Schwab Alliance, a dedicated service team for clients of advisors, is only a phone call away. Trading and operations teams, technology consultants, and account managers provide trading assistance, account management, and strategic information to keep Beta Management up to date on how to maximize Schwab's services for your benefit.
Safeguards Designed to Protect Your Assets
As an industry leader, Schwab goes beyond the safety measures required by regulators, offering you additional levels of protection. You can be assured that Schwab follows stringent internal practices and business standards designed to keep your assets safe.
Charles Schwab & Co., Inc. SIPC Coverage
The securities and cash held in accounts of Charles Schwab & Co., Inc. (including those held by clients of investment advisors with Schwab Advisor Services™) are insured by the Securities Investor Protection Corporation (SIPC) in the event of broker-dealer failure. SIPC provides up to $500,000 of protection for accounts that clients of advisors hold in each separate capacity (e.g., joint tenant or sole owner), with a limit of $250,000 for claims of uninvested cash balances. More information about SIPC coverage is available at sipc.org.
Additional Insurance Coverage
Additional brokerage insurance is provided to Charles Schwab & Co., Inc. accounts through underwriters at Lloyd's of London and other London insurers. This "excess SIPC" protection of securities and cash is provided up to an aggregate of $600 million, limited to a combined return to any client from a trustee, SIPC, Lloyd's, and other London insurers of $150 million, including up to $1,150,000 in cash. This additional protection becomes available in the event that SIPC limits are exceeded.
Compliance With Government Mandates
As a registered broker-dealer, Schwab is subject to the rules and regulations of the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board, and all other exchanges of which Schwab is a member. These regulatory entities have established financial responsibility rules designed to help safeguard client assets. Accurate Company Financial Reports SEC Rule 17a-5 requires all registered broker-dealers to routinely file periodic reports. These include regulatory and surveillance information providing accurate details regarding their current financial and operational conditions. Schwab files these reports both monthly and quarterly, delivering full disclosure of the state of our company.
Accurate Company Financial Reports
SEC Rule 17a-5 requires all registered broker-dealers to routinely file periodic reports. These include regulatory and surveillance information providing accurate details regarding their current financial and operational conditions. Schwab files these reports both monthly and quarterly, delivering full disclosure of the state of the company.
Long-Term Financial Health
You need to be confident that your assets have been placed with a financially healthy company. The Charles Schwab Corporation is financially strong, and they are committed to the continued health of their businesses.
Strict Privacy and Security Standards
Schwab has comprehensive measures in place to help protect your privacy and security—today and in the future.
To learn more about Beta Management Consulting, check out our About Page.
An independent, personable advisor and the full service of Charles Schwab... Because success is not a coincidence.