We recognize it's not possible to create a plan to handle every possible eventuality, but it's our intent to set up a framework to be used in the most likely of scenarios. It is also the intent that this framework provide guidance as to how to respond should an unforeseen situation occur.
We believe an adviser's fiduciary obligation to its clients includes the obligation to take steps to protect the clients' interests from being placed at risk as a result of our inability to provide advisory services after, for example, a natural disaster or, in the case of some smaller firms, the death of the owner or key personnel. The clients of an adviser that is engaged in the management of their assets would ordinarily be placed at risk if the adviser ceased operations.
Business Description
Core Planning conducts investment advisory services; we do not hold custody over customer funds or securities. Transactions are sent to a custodial brokerage firm, which executes the orders, compares them, allocates them, clears and settles them.
The custodian maintains its clients’ accounts, grants clients access to them, and delivers funds and securities.
Firm Contact Persons
Core Planning's emergency contact person is:
Guy Penn
636-734-7507
Managing Member and Chief Compliance Officer (CCO)
Alternative firm contact in case of death of above Key Personnel:
Lei Deng
314-800-4923