Important Disclosures

Broker-Dealer & Advisory Affiliation

Securities offered through Arkadios Capital, member FINRA / SIPC. Advisory services offered through Arkadios Wealth. RBG Capital is not a registered broker-dealer or investment adviser and is not affiliated with Arkadios beyond the relationship described above.

You may verify the registration status and disciplinary history of any broker, brokerage firm, investment adviser, or investment adviser representative on FINRA’s BrokerCheck: brokercheck.finra.org.

Regulatory Documents

The following documents are filed and maintained by Arkadios. You are encouraged to review them before engaging our services.

• Form ADV Part 2A — Arkadios Wealth (PDF) — Describes advisory services, fees, conflicts of interest, and disciplinary history.
• Form CRS — Arkadios Wealth (PDF) — Client Relationship Summary for advisory services.
• Form CRS — Arkadios Capital (PDF) — Customer Relationship Summary for brokerage services.
• Regulation Best Interest Disclosure (PDF) — Information required under Reg BI for retail brokerage relationships.
• Arkadios Wealth Peak Wrap Fee Brochure (PDF) — Wrap-fee program disclosures.
• Arkadios Privacy Notice (PDF) — How Arkadios collects, uses, and protects nonpublic personal information.
• Arkadios Business Continuity Plan Summary (PDF)

For paper copies of any of these documents at no charge, please contact us at info@rbgcap.com.

General Disclosures

The information on this website is provided for general informational purposes only and does not constitute investment, legal, tax, or accounting advice. It is not a solicitation or offer to buy or sell any security and should not be relied upon as the basis for any investment decision.

Content has been prepared without regard to the specific investment objectives, financial situation, or particular needs of any individual visitor. Recipients are encouraged to seek independent professional advice before acting on any information contained herein.

Risks of Investing

Investing in securities involves risk, including the possible loss of principal. The value of any investment may fluctuate, sometimes significantly, and investors may not receive back the amount they originally invest. Different types of investments involve varying degrees of risk. There is no guarantee that any investment strategy or portfolio will achieve its objectives.

Before investing, you should carefully consider your investment objectives, risk tolerance, time horizon, and liquidity needs. Diversification and asset allocation do not assure a profit or protect against loss in declining markets.

Past Performance Disclaimer

Past performance is not indicative of, and does not guarantee, future results. Any references to historical returns, market data, or investment performance are provided for illustrative and informational purposes only. Actual results may differ materially from any historical figures referenced.

Any performance information presented has not been independently audited and may not reflect the deduction of advisory fees, transaction costs, or other expenses, which would reduce returns if reflected. Benchmark comparisons are for reference only and may differ materially from a client portfolio due to differences in holdings, volatility, and other factors.

Forward-Looking Statements

Certain statements on this website may constitute forward-looking statements, including statements regarding market outlooks, economic trends, investment strategies, and expectations for future performance. These statements are based on current expectations and assumptions and involve known and unknown risks and uncertainties that could cause actual outcomes to differ materially from those expressed or implied.

Forward-looking statements speak only as of the date they are made. RBG Capital undertakes no obligation to update or revise any forward-looking statement to reflect changes in circumstances or expectations after the date of the original statement.

Contact

For questions about these disclosures or to request paper copies of any regulatory document referenced above, please contact us: