Regulatory transparency
Compliance and disclosures
JAADE Finance is committed to full regulatory transparency. This page details our compliance obligations, fiduciary standards, privacy practices, and the procedures available to you if a concern arises.
100%
Fee-only model
0
Commission-based products
SEC
Registered investment advisor
ADV
Available upon request
Standard disclosure
Investment disclosure
JAADE Finance does not guarantee investment returns. All investments involve risk, including the possible loss of principal. Past performance is not indicative of future results. This content is for informational purposes only and does not constitute investment, legal, or tax advice. The value of investments and the income derived from them may go down as well as up, and investors may not receive back the full amount originally invested. Any projections, forecasts, or estimates contained herein are for illustrative purposes only and are based on certain assumptions and current market conditions that are subject to change without notice. Diversification and asset allocation strategies do not ensure a profit or guarantee against loss. JAADE Finance is a registered investment advisor. Registration does not imply a certain level of skill or training. Please consult a qualified financial advisor before making investment decisions.
Our commitment
Fee-only fiduciary model
JAADE Finance operates exclusively as a fee-only fiduciary. This distinction carries specific legal and practical meaning for every client relationship we maintain.
Fee-only means that JAADE Finance is compensated solely by the fees our clients pay directly. We do not receive commissions, referral fees, or any other form of third-party compensation tied to product sales. Our fee structure is disclosed in full before any engagement begins.
Fiduciary means that our advisors are legally obligated to act in your best interest at all times. This is not a marketing promise — it is a regulatory standard we are bound to uphold. Every recommendation we make must be suitable for your specific financial situation, goals, and risk tolerance.
This model eliminates the conflicts of interest that arise when an advisor is compensated by the products they recommend. When you work with JAADE Finance, the advice you receive is aligned exclusively with your financial goals.
Regulatory filings
Form ADV disclosure
As a registered investment advisor, JAADE Finance files Form ADV with the Securities and Exchange Commission (SEC). Form ADV is a regulatory document that provides detailed information about an advisory firm, including its business practices, fee structure, disciplinary history, and potential conflicts of interest.
Form ADV Part 2A — Firm brochure
Part 2A describes our advisory services, fee schedules, investment strategies, and the educational and professional backgrounds of our advisory personnel. It also outlines the types of clients we serve, the methods of analysis we employ, and any material conflicts of interest.
Form ADV Part 2B — Brochure supplement
Part 2B provides information about the specific individuals who provide investment advice to you, including their qualifications, disciplinary history, and outside business activities.
How to request
Current and prospective clients may request a copy of our Form ADV Part 2A and Part 2B at any time, at no cost, by contacting our compliance department at compliance@jaade-finance.com or by calling our main office. You may also access our filings through the SEC Investment Adviser Public Disclosure database at adviserinfo.sec.gov.
Data protection
Privacy policy summary
JAADE Finance collects, uses, and safeguards personal information in accordance with applicable federal and state privacy regulations. The following summarizes our core privacy commitments.
Information we collect
We collect personal information necessary to provide our advisory services, including name, contact details, Social Security number, financial account data, income, tax information, and investment objectives. We collect this information directly from you and, with your authorization, from third-party financial institutions.
How we use your information
Your information is used exclusively to provide, administer, and improve our advisory services. We do not sell, rent, or trade your personal information to third parties for marketing purposes.
Information sharing
We share personal information only as necessary to service your accounts (e.g., with custodians, broker-dealers, or regulatory bodies) or as required by law. All third-party service providers are contractually bound to protect your data.
Data security
We maintain physical, electronic, and procedural safeguards designed to protect your personal information against unauthorized access, alteration, or disclosure. Access to client data is restricted to authorized personnel who require it to perform their duties.
Your rights
You have the right to access, correct, or request deletion of your personal information, subject to regulatory record-keeping requirements. To exercise these rights, contact our compliance department.
Accountability
Filing a complaint or raising a concern
JAADE Finance takes every client concern seriously. If you believe that our firm or any of our advisors have acted in a manner inconsistent with our fiduciary obligations, applicable regulations, or your reasonable expectations, you have multiple avenues to raise the issue.
Contact us directly
Submit your concern in writing to our Chief Compliance Officer:
JAADE Finance — Compliance Department
compliance@jaade-finance.com
We will acknowledge receipt within two business days and provide a written response within 30 calendar days.
File with a regulator
You may also file a complaint with the following regulatory bodies:
- →SEC — sec.gov/tcr
- →FINRA — finra.org/investors/have-problem
- →State Securities Regulator — contact your state's securities division
Questions about our compliance practices
Our compliance department is available to address any questions regarding our regulatory obligations, fee structure, or privacy practices. Clarity is not optional — it is how we operate.