Please see below for links to all of our disclosure documents. Not all disclosures pertain to all client relationships. This will depend on the particular services or accounts that you choose to engage us for. Don't hesitate to ask us for clarification at any time.
CRS Forms - Customer Relationship Summaries
Form CRS, as required by the SEC, is intended to inform retail investors. Cambridge Investment Research, Inc. ("Cambridge") serves as a Broker/Dealer. Cambridge Investment Research Advisors, Inc ("CIRA") serves as a registered investment adviser. Because of these dual roles, they provide two CRS forms, along with a supplement, that detail various services, products, types of relationships you may engage with us in, fees/costs, conflicts, roles and duties.
Cambridge’s CRS Forms (Customer Relationship Summary)
Privacy Policy
Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.
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Regulation Best Interest Disclosure (Reg. BI)
The purpose of this disclosure is to provide information regarding the business practices, compensation, and conflicts of interest as they pertain to Cambridge Investment Research, Inc.
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Part 2A of the Form ADV for Cambridge’s RIA
Form ADV 2A is the uniform form used by Registered Investment Advisers to register with both the Securities Exchange Commission (SEC) and state securities authorities. Rep-advisors are required to provide new and prospective clients with a brochure and brochure supplements where information is written in plain English. The Form ADV 2A allows current and prospective clients to evaluate the risks associated with a particular rep-advisor, their business practices, and their investment strategies.
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Additional Disclosures from Cambridge Advisors
Updates happen on a regular basis. Didn't find the particular document you're looking for? Or did you by chance come across a broken link above? (First, please kindly let us know and we'll redirect you and fix the link!) Secondly, you'll find the main page of Cambridge disclosures here with their full list of disclosures and other available resources.
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Additional Disclosures from Cambridge Advisors
SEI Investments is the primary Custodian of our clients' investment accounts. Please see the link below for the main page of SEI disclosures.
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ADV Part 2B for Randell Ogden
This Brochure Supplement provides information about Randell Ogden that is an accompaniment to the Disclosure Brochures and Forms CRS for our firm, Cambridge Investment Research Advisors, Inc (CIRA) and affiliated broker-dealer, Cambridge Investment Research, Inc. (CIR). Here you will find information such as; Educational Background, Business Experience, Professional Designations, Disciplinary Information, and Other Business Activities.
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ADV Part 2B for Brendan Ercole, CFP®, ABFP™
This Brochure Supplement provides information about Brendan Ercole, CFP®, ABFP™ that is an accompaniment to the Disclosure Brochures and Forms CRS for our firm, Cambridge Investment Research Advisors, Inc (CIRA) and affiliated broker-dealer, Cambridge Investment Research, Inc. (CIR). Here you will find information such as; Educational Background, Business Experience, Professional Designations, Disciplinary Information, and Other Business Activities.
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CFP® Website
Brendan is a proud CFP® professional, in addition to an Accredited Behavioral Finance Professional.
