The Capital Chart Room, Ltd

The Capital Chart Room LTD® is a registered investment adviser established in November 1998 and converted to a limited partnership in December 2001. The firm specializes in providing financial planning, consulting, and investment management services to individuals, trusts, estates, charitable organizations, and corporations. The firm's investment strategies include The Chartered Portfolio Program, which offers fee-based asset management with strategic asset allocation and diversification techniques. Clients have discretion over implementation decisions and can terminate services within five business days. The minimum initial investment for planning and consulting services ranges from $40,000 to $150,000, while investment advisory services have a minimum portfolio value of $1,000,000. Fees are negotiable and may include fixed fees or fees based on assets under management. The firm charges an annual advisory fee for The Chartered Portfolio Program based on a percentage of assets under management. Clients may also incur additional charges from custodians, brokers, and third-party managers. The firm acts as a fiduciary, placing clients' interests ahead of its own and adhering to a Code of Ethics. The supervised persons include Jeffrey M. Holler, David Hopkins, Victor Heetai, Ryan Solt, Chace Prothe, Jacob Irvin, Gloria Mendez, Angela Walthall, and Anita LaMaster, who are responsible for various roles within the firm. The firm does not charge performance-based fees, votes on client securities, or receive compensation for client referrals. Clients receive quarterly statements from qualified custodians and have discretion over their investments.