Broker Check

Disclosures

Elliott Cove

The name “Elliott Cove” means, and is used by us to refer to Elliott Cove Capital Management LLC, a limited liability company formed under the laws of the State of Washington.

Elliott Cove Capital Management is an investment adviser registered under the Investment Advisers Act of 1940. Investment products and services referenced in this web site, including the Elliott Cove Portfolios, are offered and sold by Elliott Cove Capital Management and its investment adviser representatives. An investment adviser representative employed by Elliott Cove Capital Management also may be employed in a different capacity by a financial institution with which Elliott Cove Capital Management has an investment advisory services agreement. However, that individual may not, as an employee of the financial institution, engage in any offering or sale of securities or investment services.

Elliott Cove is also an insurance agency licensed by the State of Washington. Insurance products and services referenced in this web site are offered and sold by Elliott Cove and its licensed insurance agents. An insurance agent employed by Elliott Cove Insurance Agency also may be employed in a different capacity by a financial institution with which Elliott Cove Insurance Agency has an insurance services agreement. However, that individual may not, as an employee of the financial institution, engage in any offering or sale of insurance products or services.

Neither Elliott Cove nor any of its management persons is registered or has an application pending to register as a broker‐dealer, futures commission merchant, commodity pool operator, commodity trading adviser, or associated person of the foregoing, and Elliott Cove does not anticipate such affiliations in the future.  However, one of our employees William Schatz is a Registered Representative of, Lincoln Investment, a broker-dealer not related to Elliott Cove.

You can work with Mr. Schatz in his separate capacity as a registered representative of Lincoln Investment.

William Schatz is  a Registered Rep of Lincoln Investment.  Advisory Services and Securities are offered through Lincoln Investment, Registered Investment Adviser, Broker/Dealer, Member FINRA/SIPC. Elliott Cove Capital and Lincoln Investment are independent and non-affiliated. www.lincolninvestment.com

Privacy Policy

In November of 1999, Congress enacted the Gramm-Leach-Bliley Act (GLBA). The GLBA requires certain financial institutions, such as investment adviser firms, to protect the privacy of customer information. In situations where a financial institution does disclose customer information to non-affiliated third parties, other than permitted or required by law, customers must be given the opportunity to opt out or prevent such disclosure. Elliott Cove Capital Management (ECCM) does not share or disclose customer information to non-affiliated third parties except as permitted or required by law.

ECCM is committed to safeguarding the confidential information of its clients. ECCM holds all personal information provided by clients in the strictest confidence and it is the objective of ECCM to protect the privacy of all clients. Except as permitted or required by law, ECCM does not share confidential information about clients with non-affiliated parties. If there were to be a change in this policy, ECCM will provide clients with written notice and clients will be provided an opportunity to direct ECCM as to whether such disclosure is permissible.

To conduct regular business, ECCM may collect personal information from sources such as:

  • Information reported by the client on applications or other forms the client provides to ECCM
  • Information about the client’s transactions implemented by ECCM or others
  • Information developed as part of financial plans, analyses or investment advisory services

To administer, manage, service and provide related services for client accounts, it is necessary for ECCM to provide access to customer information within the firm and to non-affiliated companies, (including custodians and banks we contract with), with whom ECCM has entered into agreements. To provide the utmost service, ECCM may disclose the information below regarding customers and former customers, as necessary, to companies to perform certain services on ECCM’s behalf.

  • Information ECCM receives from the client on applications (name, Social Security number, address, assets, )
  • Information about the client’s transactions with ECCM or others (account information, payment history, parties to transactions, )
  • Information concerning investment advisory account transactions
  • Information about a client’s financial products and services transaction with ECCM

Since ECCM shares non-public information solely to service client accounts, ECCM does not disclose any non-public personal information about ECCM’s customers or former customers to anyone, except as permitted by law. However, ECCM may also provide customer information outside of the firm as required by law, such as to government entities, consumer reporting agencies or other third parties in response to subpoenas. If ECCM has a change to its customer privacy policy that would allow it to disclose non-public information not covered under applicable law, ECCM will allow its clients the opportunity to opt out of such disclosure.

Electronic Message Disclaimers

All electronic messages that you receive from one or more of Elliott Cove Capital Management and their respective affiliates will have been sent subject to and conditioned on the General Disclaimers set forth below and on the following:

  1. Email messages are confidential communications between sender and recipient. Communications that are erroneously transmitted do not waive this confidentiality or any privilege. You are prohibited from using, disseminating, forwarding or reproducing an email or email attachments not intended for you.
  2. You may not use email to request, authorize or effect the purchase or sale of any security or the transfer of any funds except as expressly authorized by Elliott Cove. Prior to Elliott Cove accepting or processing any such request or authorization or related order or instruction, you must have opened an account with Elliott Cove and executed and delivered such contracts, agreements, authorizations and other documentation relating to the same as Elliott Cove, in its discretion, may require. Thereafter, requests for purchases and sales of securities and fund transfer instructions may be sent by email but will not be effective unless and until you have received notice from Elliott Cove acknowledging receipt of the request or instruction and accepting the same.
  3. Elliott Cove reserves the right, to the extent permitted by application law, to monitor electronic communications and store messages in a manner and at a location determined by Elliott Cove in its discretion.
  4. Notwithstanding Elliott Cove’s privacy policy, set forth previously, Elliott Cove does not make any representation or warranty that electronic messages will be confidential. Electronic messages may be intercepted or accessed by unauthorized or unintended parties, may not arrive at their intended destination, or may not arrive in the form transmitted. Electronic messages may not be timely, secure or error-free. Information speaks only as of its date; Elliott Cove disclaims any duty to update information or advise you of any changes.

General Disclaimers

  1. This paragraph constitutes notice as contemplated by U.S. Treasury Circular 230. Elliott Cove does not render advice to anyone on tax or tax accounting matters. Communications from Elliott Cove are not intended or written to be used, and may not under any circumstances be used by any taxpayer, for the purpose of avoiding penalties that may be imposed on a taxpayer under U.S. federal income tax laws. Investors should consult their own legal, tax or other advisors, both at the onset of a transaction and on an ongoing basis, to determine the laws, rules and regulations applicable in the circumstances.
  2. Data relating to performance of Elliott Cove portfolios or other funds or securities reflect and represent past performance. Past performance is no guarantee of future performance or results, which may be higher or lower than those previously achieved. No representation or warranty is made respecting achievement of results. Average annual total returns include reinvestment of dividends and capital gains.

Elliott Cove investment products are NOT insured by the FDIC or NCUA, are NOT deposits of or guaranteed by any bank or credit union, and may be subject to risk, including the possible loss of principal.