SCHMITZ CAPITAL PARTNERS FAQs?

Schmitz Capital Partners believes in straightforward and honest answers to your questions. We have compiled a list of those questions which are most frequently asked below. Please click an individual question to see its answer in the "drawer" function.

SCP FAQs

HOW LONG HAS SCHMITZ CAPITAL PARTNERS BEEN IN BUSINESS?

ARE YOU A BROKERAGE FIRM?

WHAT MAKES SCHMITZ CAPITAL PARTNERS DIFFERENT FROM ALL THE OTHER INVESTMENT COMPANIES?

WHAT DO YOU MEAN BY "ACTIVELY MANAGED MONEY" OR "ACTIVE MANAGEMENT"?

WHAT ARE THE ADVANTAGES OF ACTIVE MANAGEMENT OVER A "BUY AND HOLD"/"PASSIVE" APPROACH?

WHAT TYPES OF SECURITIES DO YOU USE TO MANAGE PORTFOLIOS?

WHAT IS YOUR INVESTMENT POLICY STATEMENT?

ARE REFERENCES AVAILABLE?

WHAT IS YOUR MINIMUM INVESTMENT REQUIREMENT?

HOW ARE YOU DIFFERENT FROM OTHER FIRMS AND WHY SHOULD I CONSIDER YOU?

HOW DO YOU CHARGE FOR YOUR SERVICES?

ARE YOUR FEES TAX DEDUCTIBLE?

WILL SCHMITZ CAPITAL PARTNERS HOLD MY ASSETS DIRECTLY?

WHERE IS MY ACCOUNT CUSTODIED?

WHO IS ROYAL ALLIANCE ASSOCIATES, INC.?

WHAT IF I NEED MY MONEY?

WHAT IF I WANT A MONTHLY INCOME FROM MY INVESTMENT?

IF I BECOME A CLIENT, HOW OFTEN WILL YOU KEEP ME UPDATED AND INFORMED?

IF I AM INTERESTED IN BECOMING A CLIENT, HOW SHOULD I PROCEED?

CLIENT PROTECTION FAQs

HOW ARE THE ASSETS I HOLD IN MY BROKERAGE ACCOUNT PROTECTED?

WHAT REGULATORY REQUIREMENTS AND EVALUATIONS IS YOUR CUSTODIAN (PERSHING) SUBJECT TO?

ARE PERSHING ASSETS SEGREGATED FROM CLIENT ASSETS AND HOW DOES PERSHING ENSURE THAT THE CONTROLS IN PLACE ARE OPERATING EFFECTIVELY?

ARE PERSHING ASSETS SIPC PROTECTED?

IN ADDITION TO THE SIPC PROTECTION AVAILABLE, PERSHING PROVIDES EXCESS ACCOUNT PROTECTION THROUGH LLOYD'S OF LONDON. WHAT IS EXCESS ACCOUNT PROTECTION?

WHAT ARE THE LIMITS TO THE EXCESS ACCOUNT PROTECTION THAT IS AVAILABLE FOR CLIENT ASSETS HELD IN CUSTODY AT PERSHING?

HOW DOES EXCESS ACCOUNT PROTECTION COVERAGE WORK?

UNDER WHAT CIRCUMSTANCES WOULD A SIPC CLAIM OR EXCESS OF SIPC COVERAGE CLAIM BE APPROPRIATE?

GENERAL FAQs

WHAT ARE THE IMPORTANT DIFFERENCES BETWEEN ALL VARIOUS TYPES OF FINANCIAL ADVISORS?

WHAT SHOULD I LOOK FOR WHEN HIRING A FINANCIAL ADVISOR?

WHAT IS A MUTUAL FUND?

WHAT IS THE DIFFERENCE BETWEEN "LOAD" AND "NO-LOAD" FUNDS?

IS A MUTUAL FUND VEHICLE A SUITABLE INVESTMENT FOR A RETIREMENT PLAN?

CAN I FOLLOW MUTUAL FUND PRICES?

WHAT ARE THE RISKS INVOLVED WITH MUTUAL FUNDS?

WHAT ARE THE CHANCES OF A BIG LOSS?

WHAT INFORMATION WILL I NEED FOR INCOME TAXES?

WHY WOULD I NEED HELP MANAGING MY INVESTMENTS?

SHOULD I WAIT UNTIL THE STOCK MARKET IMPROVES BEFORE STARTING TO INVEST?


Investing in mutual funds involves risk, including the potential loss of principal invested. Risks vary depending upon the strategy used by the fund as well as the sectors in which the fund invests. When redeemed, shares may be worth more or less than the original amount invested. Note: Differing classes of shares have varying expenses, loads, fees and breakpoints. These differing classes also have time line holding periods which are appropriate depending on the investor objectives and goals.

Investors should carefully consider the investment objectives, risks, charges and expenses of mutual funds. This and other important information is contained in the prospectuses, which can be obtained by contacting your financial professional and should be read carefully before investing.