Legal & Disclosures
Regulatory Filings
-
What is Form ADV Part 2A?
Form ADV Part 2A is the plain‑English “firm brochure” RIAs must give to clients, summarizing the adviser’s services, fees, conflicts, disciplinary history, and other material information to help clients evaluate the firm. It follows standardized disclosure items and must be delivered to new or prospective clients, with annual updates or offers of updates highlighting material changes.
Download Canyon Creek Investment Advisors’ Latest ADV Part 2A
-
What is Form ADV Part 2B?
Form ADV Part 2B is the plain‑English “brochure supplement” for each supervised person who gives advice or has discretion, summarizing that individual’s education and experience, disciplinary history, outside business activities, compensation and conflicts, supervision, and professional designations so clients can evaluate their specific adviser. It must be delivered to clients before or at the time the individual begins providing advice and updated when material information—especially disciplinary events—changes.
-
What is Form ADV Part 2B?
Form ADV Part 2B is the plain‑English “brochure supplement” for each supervised person who gives advice or has discretion, summarizing that individual’s education and experience, disciplinary history, outside business activities, compensation and conflicts, supervision, and professional designations so clients can evaluate their specific adviser. It must be delivered to clients before or at the time the individual begins providing advice and updated when material information—especially disciplinary events—changes.
-
What is a privacy policy?
An RIA privacy policy explains what nonpublic personal information the firm collects, how it uses and shares that information, how clients can opt out of certain third‑party sharing, and the safeguards in place to protect client data, consistent with GLBA and Regulation S‑P. Clients must receive an initial privacy notice when the advisory relationship begins and an annual notice thereafter, with additional requirements for secure disposal, incident response, and timely customer notification under recent amendments to Regulation S‑P.
Firm Policies
-
Overview
At Canyon Creek Investment Advisors (CCIA), we believe that true wealth management requires more than just financial acumen—it demands unshakeable integrity. Our culture is built on a simple yet powerful premise: your interests must always come first. We have formally adopted globally recognized ethical codes and rigorous professional standards to ensure that every decision we make is guided by honesty, transparency, and deep technical expertise.
-
Proxy Voting Policy
Canyon Creek Investment Advisors (CCIA) does not accept the authority to vote proxies on behalf of our clients. Instead, you retain the full responsibility and right to vote on all issues regarding the securities held in your account. You will receive all proxy materials, annual reports, and voting solicitations directly from your custodian. While we do not cast votes for you, we are available to provide general educational information or answer factual questions about the materials you receive, though we do not offer specific voting recommendations.
-
Overview
Canyon Creek Investment Advisors (CCIA) maintains a comprehensive Business Continuity Plan designed to ensure our firm remains operational during significant business disruptions. Whether facing a localized power outage, a natural disaster, or a regional emergency, we have the systems, backups, and protocols in place to protect your data and maintain our service to you. Our plan covers data recovery, alternative work locations, and emergency communication to ensure that your access to your funds and our advice remains uninterrupted.
-
Overview
At Canyon Creek Investment Advisors (CCIA), protecting your digital assets is as critical as managing your financial ones. We employ a rigorous, multi-layered cybersecurity program that includes enterprise-grade technical defenses, strict identity verification protocols, and continuous employee training. Whether we are working from our office or remotely, our systems are designed to ensure your data remains confidential, secure, and available only to authorized personnel.