REGULATORY & DISCLOSURE INFORMATION
FirstWave Financial is a U. S. Securities and Exchange Commission Registered Investment Advisory firm. We do not render or offer to render personalized investment advice or financial planning advice through this medium. This medium is limited to the dissemination of general information on the adviser’s service offerings and provides for an efficient mechanism in which a prospective client may contact the adviser. Advice can only be rendered after the following conditions are met:
Registration of the adviser with the U. S. Securities and Exchange Commission as a Registered Investment Adviser if the adviser has more than $25,000,000 under management.
Delivery of a disclosure statement by Adviser to client.
Execution of an Investment Advisory and / or Financial Planning agreement between the client and the adviser.
Initial payment of the planning fee or investment advisory fee by the client to the adviser.
Adviser may transact business only in States in which it is registered, or in which it is excluded or exempted from registration. The Investment Adviser must also be registered or exempted or excluded from registration in any state in which it follows up on individualized responses to persons in that State that involve either the effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation.
The information in this web-site is based on data gathered from what we believe are reliable sources. It is not guaranteed as to accuracy, and does not purport to be complete and is not intended as the primary basis for investment decisions. It should also not be construed as advice meeting the particular investment needs of any investor. The identification of specific funds and model portfolios is being made on the assumption that the investor would participate in that investment or portfolio on a long-term basis (in excess of five years) and only after consulting with their investment advisor to determine their needs and tolerance for risk. With respect to any such identification, there can be no assurance that the fund or model portfolio will in fact perform in the manner suggested.
All investment and portfolio results assume the re-investment of all dividends and are gross of any investment advisory fees. The results do not represent actual trading due to the timing of the clients’ trades and their trading costs. They may also not reflect the impact that material economic and market factors might have had on the advisor’s decision-making if the adviser were managing the clients’ money. Investment and portfolio results may be different than the results our discretionary clients achieve due to the timing of trades by the advisor and the market conditions.
All references that might be made to an investment or portfolio's performance are based on historical data and one should not assume that this performance will continue in the future.
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