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Regatta Research and Money Management acts in accordance with relevant securities laws, rules and regulations set forth by the SEC, FINRA and state securities authorities, as applicable. A complete description of our Terms and Conditions, Code of Ethics, Copyright, and Trademarks policies are available upon request.
Form ADV Part II
The following information are general disclosures regarding Regatta Research and Money Management, our investment strategies, and the information found on this website:
- Regatta Research & Money Management, L.L.C. is a registered investment advisor located in Metairie, Louisiana. Registration with the SEC does not imply any level of skill or training.
- Regatta and its representatives maintain current notice filings in accordance with requirements imposed upon SEC registered investment advisors with those states in which Regatta maintains the requisite number of clients.
- Regatta may only transact business in those states in which it is registered, or qualifies for an exemption or an exclusion from registration statements.
- This information is not an offer to buy or sell securities.
- Past performance is no guarantee of future results, and you may have a gain or loss when selling an investment.
- Investing is not FDIC insured.
- Investing is not bank guaranteed.
- No current or prospective client should assume that the future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended and/or purchased by advisor), or product made reference to directly or indirectly on this web site, will be profitable or equal to corresponding indicated performance levels.
- Always ask for and examine an advisory agreement and disclosure brochure (SEC Form ADV), along with current prospectus before investing.
- Regatta’s web site is limited to the dissemination of general information pertaining to its investment advisory services.
- The publication of Regatta’s web site on the Internet should not be construed by any consumer and/or prospective client as Regatta’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 Regatta with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration where the prospective client resides.
- Regatta does not make any representations or warranties as to the accuracy, the timeliness, suitability, completeness or relevance of any information prepared by an unaffiliated third party, whether linked to Regatta’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.
For information pertaining to the registration status of Regatta, please contact the United States Securities and Exchange Commission (the "Commission)" and/or the state securities law administrators for whose states Regatta maintains a notice filing. A copy of Regatta’s current written disclosure document discussing Regatta’s business operations, services, and fees is available upon written request.