Important regulatory and legal information about Protocol Wealth, LLC
Protocol Wealth, LLC is a Registered Investment Adviser with the United States Securities and Exchange Commission (SEC). Our SEC registration number is CRD #335298.
Registration with the SEC does not imply a certain level of skill or training. It is a legal requirement for firms providing investment advisory services.
As a fiduciary, Protocol Wealth is legally obligated to act in the best interests of our clients at all times.
Protocol Wealth's current Form ADV Part 2A (firm brochure) is publicly available at the SEC's Investment Adviser Public Disclosure website:
We will provide a copy of our full ADV upon request. Please contact us at compliance@protocolwealth.io
Certain advisors at Protocol Wealth hold the CERTIFIED FINANCIAL PLANNER™ certification. The CFP® certification is granted by the Certified Financial Planner Board of Standards, Inc. and requires:
CFP® professionals are held to fiduciary standards when providing financial advice.
Protocol Wealth provides investment advisory services only to residents of the United States and only in jurisdictions where the firm is appropriately registered or is otherwise exempt from registration requirements. This website is not intended to be a solicitation or offer of investment advisory services to any individual or entity in any jurisdiction where such offer would be unlawful.
The information provided on this website is for informational and educational purposes only. Nothing on this site should be construed as personalized investment advice or an offer to buy or sell any security, digital asset, or financial product. Users should not rely on the content herein as a substitute for independent financial judgment.
All investments involve risk, including the potential loss of principal. Digital assets in particular may experience extreme price volatility, regulatory uncertainty, illiquidity, and counterparty risk.
Past performance is not indicative of future results, and no assurance can be given that any investment strategy will be successful or achieve its objectives.
Clients should carefully consider their investment objectives, risk tolerance, time horizon, and financial situation before making any investment decisions.
Certain content on this website may contain forward-looking statements, including projections, forecasts, or expectations about future events or investment outcomes. These statements reflect Protocol Wealth's current beliefs and are based on information available at the time of publication. Actual outcomes may differ materially. Protocol Wealth is under no obligation to update or revise any forward-looking statements.
This website may contain links or references to third-party websites or resources. These are provided for convenience only. Protocol Wealth does not control and is not responsible for the content, services, or accuracy of any third-party site. The inclusion of a link does not constitute an endorsement or recommendation.
Use of this website or contact with Protocol Wealth does not create an investment advisory relationship. Such a relationship is established only after the execution of a written investment advisory agreement.
Protocol Wealth maintains a Business Continuity Plan designed to ensure the ongoing availability of advisory services in the event of a significant disruption. This includes off-site backups, cloud-based systems, and redundant communication pathways. Clients will be contacted via email or phone in the event of an emergency. A summary of our plan is available upon request.
Protocol Wealth takes cybersecurity seriously and has implemented measures designed to protect client information and assets:
Despite these measures, no system is completely secure. Clients should also take precautions to protect their login credentials and report any suspicious activity immediately.
Protocol Wealth uses artificial intelligence and machine learning tools to augment our investment advisory services. AI is used to enhance, not replace, human judgment and expertise.
All AI-assisted recommendations are subject to human review and approval. Clients have the right to request human review of any AI-generated analysis or recommendation.
Protocol Wealth may maintain a presence on social media platforms for educational and informational purposes. Content posted on social media:
Clients should not communicate confidential or sensitive information through social media platforms. For secure communications, please use our client portal or contact us directly.