disclosure statement

Business Continuity Plan

Stuart Portfolio Consultants, LP has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our Business Continuity Plan.

Contacting Us –

If after a significant business disruption you cannot contact us as you usually do by phone at (212) 360-7500 or by email at soltchick@stuartpartners.com, you should call our alternative number at (917) 359-4764. If you cannot access us through any of those means, you should contact the entities that you have invested in directly for instructions on how you may access investment information, invest additional funds and/or provide you with prompt access to funds and securities.

Our Business Continuity Plan –
We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible given the scope and severity of the significant business disruption.

Our Business Continuity Plan addresses: data back-up 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; and regulatory reporting.

Varying Disruptions –
Significant business disruptions can vary in their scope, such as only our single firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. 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 2 hours. In a disruption affecting our business district, city or region, we will transfer our operations to a site outside of the affected area and recover and resume business within 1 business day. In either situation, we plan to continue in business and notify you through our customer emergency number, (917) 359-4764, on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we assure our customer’s prompt interface with the respective companies and entities that have provided investment products to you, through us.

For More Information –
If you have questions about our Business Continuity Plan, you can contact us at (212) 360-7500.