Strategic Financial Planning, Inc. (“SFP”) is a state registered investment adviser located in Plano, Texas. SFP and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which SFP maintains clients. SFP may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. SFP’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of SFP’s web site on the Internet should not be construed by any consumer and/or prospective client as SFP’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet. Any subsequent, direct communication by SFP with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of SFP, please contact the SEC or the state securities regulators for those states in which SFP maintains a notice filing. A copy of SFP’s current written disclosure statement (ADV) discussing SFP’s business operations, services, and fees is available from SFP upon written request. SFP does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to SFP’s web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.
Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by SFP), will be profitable or equal any historical performance level(s).
Certain portions of SFP’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, SFP’s (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from SFP, or from any other investment professional. SFP is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.
Rankings and/or recognition by unaffiliated rating services and/or publications should not be construed by a client or prospective client as a guarantee that he/she will experience a certain level of results if SFP is engaged, or continues to be engaged, to provide investment advisory services, nor should it be construed as a current or past endorsement of SFP by any of its clients. Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized adviser.
Each client and prospective client agrees, as a condition precedent to his/her/its access to SFP’s web site, to release and hold harmless SFP, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from SFP.
Strategic Financial Planning, Inc. is committed to safeguarding confidential information. We hold all personal data obtained or provided to us in the strictest confidence. Indeed, we require your specific permission before we will discuss your data with anyone external to the firm. The information we compile includes that provided by you, public data and other sources that you give us. We have never disclosed information to nonaffiliated third parties (such as brokerage firms, credit-card or insurance companies), except as permitted by law, or in carrying out the duties for which clients retained us. We do not anticipate any change to this policy.
We maintain a secure physical office and our computer network is protected by a security firewall to ensure that your information is not placed at unreasonable risk. We do not provide your personal information to mailing list vendors or solicitors for any purpose.
SFP does not monitor, control, or process the personal data of European Union data subjects. SFP does not maintain a virtual EU presence through its marketing or business strategies. The firm does not offer investment management or any other services to EU-based clients nor does it seek to do so.
Further privacy policies are only applicable to clients, are available upon request and will be provided annually to clients. DOWNLOAD COMPLETE POLICY.
DISASTER RECOVERY PLAN
Strategic Financial Planning, Inc. has developed and implemented a Business Continuity Plan (BCP) that includes redundant data centers and alternate facilities to protect its business processes and technology environment in the event of a significant business disruption. SFP’s policy is to respond to a significant business disruption (SBD) in an effort to safeguard employees lives and firm property, make a financial and operational assessment, quickly recover and resume operations, protect the firm’s books and records, and allow our customers to transact business.
The plan addresses business disruptions that may be caused by a local incident or by a regional or market related disaster that applies to many companies. The Plan covers our critical business processes and related employees essential for SFP to continue to conduct business for an interim or temporary period during a business interruption. Every important aspect of SFP’s business, including data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees: critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business is addressed in this plan.
SFP’s goal is to recover its Critical Business Processes with minimal interruption, depending on the nature of the disruption. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 1 business day. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and presume to recover and resume business within 5 business days. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
If after a significant business disruption clients cannot contact us as usual, they will be notified of an emergency contact number or go to this website for contact instructions. DOWNLOAD PLAN SUMMARY.
SFP files its ADV Part 2A and Part 2B as required by law at least annually. DOWNLOAD COMPLETE FORM.