Registered with the Securities and Exchange Commission (“SEC”)
Patton Fund Management is registered with the SEC as a Registered Investment Advisor (“RIA”). This registration is generally required for a firm with client assets in excess of $100 million. You can access our registration filing with the SEC via their website by clicking HERE
Registration with the SEC requires Patton to do the following:
- Act as a fiduciary to our clients always putting their best interests first
- file extensive disclosures
- maintain robust policies, procedures, and record keeping
- provide robust disclosures to our clients and prospective clients
- subject to routine examinations by the SEC
- and much more
Securing your money with a qualified custodian unrelated to Patton.
Keeping your money safe is our top priority. Your money is held in safekeeping with a qualified custodian that has no business affiliation with Patton, in an account in your name with reporting available to you 24/7. The custodian is highly regulated, among the biggest in the industry, and provides insurance of $30 million or more (depending on the custodian) per account.
Having your money held at an unaffiliated qualified custodian provides you with a built-in checks and balance so that what is reported to you by Patton can then be confirmed by the custodian. This relationship structure helps avoid the most common frauds in the investment industry that occur due to the lack of checks and balances. Patton has no direct access to your money nor is your money at risk if Patton experiences business difficulties.
Protection of your personal information is our legal responsibility.
We are regulated by the Securities and Exchange Commission. The SEC has made the protection of your personal information a priority. We have taken many steps to protect your personal information including the following:
- Code of Ethics: internal document spelling out the standard of care Patton adheres to
- Risk Assessment: ongoing assessment with an outside consultant identifying and addressing all risks to our clients and business
- Cyber Security Policy: comprehensive policy and procedures to protect your data from both internal and external threats
- Internal Processes and Controls: detailed processes about how your personal information and requests regarding your account are handled
Your custodial account can only be accessed via a double authentication process. To access your account, you input your username and password as well as provide additional verification via a credit card sized tool. Therefore, you are protected if your username and password get into the wrong hands.
Every investment holding in your portfolio is visible to you. Whereas some investments will hold funds or securities that you cannot see, you will always have full access to view every investment in your portfolio.