Compliance and Disclosures

Built to a fiduciary standard, disclosed where it matters.

USWMA operates as a Registered Investment Adviser. This page summarizes how we approach compliance on the advisor platform. It is informational only and does not replace our Form ADV, which governs in all cases.

The program

Four commitments behind every account.

Registered, and verifiable

USWMA is a Registered Investment Adviser. Registration does not imply a certain level of skill or training. Our filings are public and can be reviewed at any time.

Form ADV Part 1 and Part 2A kept current
Public disclosure via IAPD and FINRA BrokerCheck
Zero disclosed disciplinary events as of the most recent filing

Non discretionary by default

USWMA manages accounts on a strictly non discretionary basis. Clients authorize each transaction prior to execution; USWMA does not hold discretionary trading authority.

Documented order handling procedures
Client authorization on every transaction
Advisor of record retains the client relationship

Clean custody

Client assets are custodied at Interactive Brokers LLC in separate, advisor named, fully disclosed accounts. There is no omnibus structure and no proprietary trading.

Separately maintained accounts
T+1 reconciliation across cash, positions, and activity
Advisor named on every statement

Conflicts, disclosed

Material outside business activities of the principal are documented in Form ADV. Clients are never required to use any affiliated party for execution or any other service.

Annual code of ethics certification
Conflict of interest policy reviewed annually
Fees negotiable and disclosed in Form ADV Part 2A

Verify USWMA

Look us up directly with the regulators.

Adviser disclosure

IAPD

Open IAPD

Broker dealer disclosure

FINRA BrokerCheck

Open BrokerCheck

Standard of care

A fiduciary standard, applied to the advisor platform.

As a Registered Investment Adviser, USWMA owes a fiduciary duty. On the platform, that means clear written engagements, transparent economics, and disclosure of material conflicts, so the advisor of record can meet their own obligations with confidence.

Written platform and advisory agreements
Transparent, negotiable fee arrangements
Best interest framing on every recommendation
Documentation built for audit and examination

Disclosures and records

Current filings, retained records, plain English.

Form ADV Part 1 and Part 2A are kept current and available publicly. We retain books and records as required and document order handling, billing, and conflicts so that nothing depends on memory.

Form ADV Part 1 and Part 2A current
Books and records retained per regulation
Documented billing and rebate reconciliation
Privacy policy provided to clients

Diligence welcome

Do your own due diligence, then let's talk.

We encourage advisors to verify USWMA directly with the regulators and to review our Form ADV before any engagement. Nothing on this site is an offer of advisory services; engagement is subject to a written agreement and applicable regulatory review.

Partner With Us Read our Form ADV