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Legal Stuff

Form ADV Part 2

The Form ADV is our primary disclosure document that we file with SEC and any states that we are currently registered in.  This document describes in detail all of our services, fees, businesses practices, and any potential conflicts of interest should we work together.  Every client receives a copy of this document at the beginning of an engagement, but you can also view this document here.

View ADV Part 2

Privacy Policy

We understand how important privacy is in today’s world and we recognize that relationships with current and prospective clients are built on transparency and trust.  Our Privacy Policy describes what data we may collect, how we use it, and how we protect it.  You can view our Privacy Policy here, but the short version is that we do everything we can to keep your private information…private.

View Privacy Policy


Under Par Planning LLC is an Investment Advisor registered with the State of New York. Under Par Planning LLC does not provide legal, accounting, or tax advice. Any statement regarding such matters is explanatory, may not be relied upon as definitive advice, and you are advised to consult with your legal, accounting or tax adviser.

Under Par Planning LLC and its representatives are in compliance with the current filing requirements imposed upon registered investment advisors by those jurisdictions in which Under Par Planning LLC maintains clients. Under Par Planning LLC may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. Under Par Planning LLC’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 Under Par Planning LLC’s web site on the Internet should not be construed by any consumer and/or prospective client as Under Par Planning LLC’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 Under Par Planning LLC 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 Under Par Planning LLC, please contact the SEC, FINRA or the state securities regulators for those states in which Under Par Planning LLC maintains a filing. A copy of Under Par Planning LLC’s current written disclosure statement discussing Under Par Planning LLC’s business operations, service, and fees is available through the links above and upon written request. Under Par Planning LLC 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 Under Par Planning LLC’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.