HOME / VAULTS
Four vaults,
Four vaults,
forty-seven
cells.
Principal dealing on our own account, fee-paid advisory, fiduciary administration, and the machinery of the market — every cell numbered, every capacity countersigned.
VAULT I · PRINCIPAL
Principal Dealing
CELLS 101 – 109Positions taken for our own account — our capital in the trade, our risk on the line, dealings disclosed as principal.
101Own-Account ContractsInvesting in financial contracts on own account — principal positions.
102Investment ClubsInvestment club participation and pooled own-account investing.
103Mineral RoyaltiesMineral royalty and lease dealing — acting as principal to investors.
104Mortgage DealingBuying and selling mortgage instruments as a dealer.
105Oil Royalty DealingOil royalty dealing as principal in transactions with investors.
106Securities SpeculationSpeculative positions in securities for own account.
107Tax Lien DealingTax lien dealing as principal — acquisition and disposition to investors.
108Venture CapitalVenture capital participation in early-stage companies.
109Viatical SettlementsViatical settlement company services — life-policy transactions.
VAULT II · ADVISORY
Advisory & Funds
CELLS 201 – 216Customized, fee-paid counsel — planning, advice, and the management of funds and trusts for clients.
201Certified Financial PlanningCustomized certified financial planning — fees paid by client.
202Investment AdviceCustomized financial investment advice — fees paid by client.
203Financial PlanningCustomized financial planning services — client-paid fees.
204Advice ConsultingInvestment advice consulting — customized, client-paid.
205Advice CounselingInvestment advice counseling — customized, client-paid.
206Investment AdvisoryInvestment advisory services — customized, fee-paid.
207Investment ManagementDiscretionary investment management for client portfolios.
208Fund ManagementManaging investment funds for clients.
209Mutual Fund ManagementManaging mutual funds — portfolio management.
210Personal Investment TrustsManaging personal investment trusts for individuals and families.
211Trust ManagementManaging trusts — investment oversight of trust assets.
212Mutual Fund ManagingMutual fund portfolio management services.
213Pension Fund ManagingPension fund management — plan asset oversight.
214Personal Trust ManagingManaging personal investment trusts — discretionary programs.
215Portfolio Fund ManagingPortfolio fund management across mandates.
216Private Equity ManagingPrivate equity fund management — private market mandates.
VAULT III · FIDUCIARY
Trust & Fiduciary
CELLS 301 – 307Administration to the letter of the instrument — estates, escrow, custody, and nondepository trust work.
301Private Estate AdministrationAdministrators of private estates — settlement and oversight.
302Bank Trust OfficesBank trust office functions — fiduciary administration.
303Escrow AgenciesEscrow agency services — excluding real estate escrow.
304Fiduciary AgenciesFiduciary agency services — excluding real estate fiduciary work.
305Personal Trust AdministrationPersonal investment trust administration — trustee operations.
306Securities CustodySecurities custodian services — safekeeping and settlement support.
307Nondepository TrustTrust company services, nondepository — administration without banking.
VAULT IV · MARKET
Market Machinery
CELLS 401 – 415The plumbing that keeps markets honest — clearing, quoting, transferring, and the paperwork that makes trades real.
401Crowdfunding FundraisingBusiness start-up fundraising using a crowdfunding platform.
402Exchange ClearinghousesClearinghouses for commodity exchange or securities exchange.
403Deposit BrokersDeposit broker services — placement and intermediation.
404Commodity ClearingExchange clearinghouses for commodities or securities.
405Gas Lease BrokersGas lease brokers' offices — lease transaction intermediation.
406Oil Lease BrokersOil lease brokers' offices — lease transaction intermediation.
407Protective CommitteesSecurity holders' protective committees — holder representation.
408Securities QuotationQuotation services for securities — price reporting.
409Stock QuotationQuotation services for stocks — market data reporting.
410Holders' ProtectiveSecurities holders' protective services.
411Securities TransferSecurities transfer agencies — registration and transfer.
412Stock Quotation ServicesStock quotation services — quote dissemination.
413Stock TransferStock transfer agencies — record and certificate transfer.
414Transfer AgenciesTransfer agencies for securities — agent-of-record services.
415Virtual Currency ClearingVirtual currency trading exchange clearinghouses.
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