Official disclosures

FINRA CRD#(company): 312759

FINRA CRD#(individual): 7333801

Please click the SEC links below to access the company registration and disclosure documents:

ADV Form Part 1 (company registration)

ADV Form Part 2A (company disclosures)

ADV Form Part 2B (key personnel disclosures)

Platform used

LFC uses Altruist system to manage clients’ account and execute securities transactions. Altruist is a brokerage house with technology for investment advisors. Clients can log into their accounts by clicking here or the button on the upper right corner of this page (in the navigation menu).

Other related knowledge

One major difference between registered investment advisors (RIA) and registered representatives of brokerage companies(RR): RIAs must act as fiduciaries of the investors, RRs are not required. Click Wikipedia or SEC website for more details about RIAs and RRs.

What is a fiduciary: A fiduciary is a person or organization that acts on behalf of clients, putting their clients' interest ahead of their own, with a duty to preserve good faith and trust. Being a fiduciary thus requires being bound both legally and ethically to act in the other's best interests.

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