Opening an Account

Opening Accounts

To open a new account:

  1. Fill out a questionnaire. A Vulcan Investments Advisor Representative will be in contact with you to discuss your objectives and determine your suitability. Request a questionnaire today!.
  2. Sign one of two (or both) client agreements:
    1. Discretionary Advisory Contract  and/or
    2. Financial Planning Agreement
  3. Vulcan Investments will provide you with Disclosures. This includes Vulcan Investments Privacy Policy and Form ADV 2. Request Form ADV 2.
  4. The Vulcan Investments Supervisor will review and approve all new accounts.

Discretionary Authority

Discretionary authority is provided through the signing of the Discretionary Investment Advisory Agreement, by both the Client and Vulcan Investments LLC Representative. Upon receipt of written authorization, the Adviser may manage client assets on a limited discretionary basis. The Client delegates to the Adviser limited discretionary trading authorization with respect to the purchase, exchange and sale of actively traded equity and equity-related securities. All attempts will be made to gain clients approval before any and all trades are executed. However, in the event the client is not able to be reached and necessity dictates the immediate execution of said transaction; the Representative will perform the necessary transactions for the sole benefit of that client.

Examination of Client Accounts

All of Vulcan Investments LLC clients are both managed and reviewed on a continuous basis. Overall investment strategy, market outlook, and individual requirements are considered during the review process. Triggering factors that may affect a client’s account consist of any relevant situation that may alter a client’s account in any material way. This may include any adverse changes in individual investments, industry, or general economic factors as well as changing needs and/or conditions of the clients themselves.

IA Fee Structure

Fees based on assets under management are as follows

Market Value of Portfolio Annual Fee
From $0 – $1,000,000 1.00%
Over $1,000,000 Negotiable, but not to exceed 2.00%

Any Financial Planning or Hourly Consultation Services will be provided for an hourly fee of $75.00 per hour.

Passive components of a client’s account will not be used to calculate the market value of portfolio. Passive components would consist primarily of CD’s, and U.S. Treasuries. Any passive components to be deducted from overall market value will be clearly listed in Quarterly Reports provided to clients.