Disclosure


Important Disclaimers

Dravo Bay, LLC dba Blue Rock Dravo Bay (herein collectively “Blue Rock Dravo Bay”, the “Advisor”, “we”, “our”, or “us”) is a Registered Investment Advisor (“RIA”) located in the State of Delaware. Blue Rock Dravo Bay provides investment advisory and related services for clients nationally. Blue Rock Dravo Bay will maintain all applicable notice filings and registrations as required by the various states in which Blue Rock Dravo Bay conducts business. Blue Rock Dravo Bay renders individualized responses to persons in a particular state only after complying with all regulatory requirements, or pursuant to an applicable state exemption or exclusion.

Certain Supervised Persons of Blue Rock Dravo Bay may also be Registered Representatives of Purshe Kaplan Sterling Investments, Inc. (“PKS”), an unaffiliated broker-dealer and member of FINRA/SIPC.

Terms of Use

Please read these terms and conditions of use (“Terms”) carefully before using the website located at http://bluerockdb.com (“Website”) or any of the information or services provided by Blue Rock Dravo Bay Advisors (in connection with the Website). By using the Website, you acknowledge that you have read and understood these Terms and accept to be legally bound by them. If you do not accept and agree to these Terms, you are not an authorized user of the Website or any of the information or services provided by Blue Rock Dravo Bay in connection with the Website and should promptly terminate all use thereof. The terms “you” and “your” mean you and any entity you may represent in connection with the use of the Website. You may use your browser to download or print a copy of these Terms for your records.

Blue Rock Dravo Bay reserves the right to change, modify, add or remove portions of these Terms at any time for any reason. We suggest that you review these Terms periodically for changes. Such changes shall be effective immediately upon posting. You acknowledge that by accessing our Website after we have posted changes to these Terms, you are agreeing to these Terms as modified.

These Terms were last updated on October 19, 2018.

Risk Disclosures

Different types of investments involve varying degrees of risk. Therefore, it should not be assumed that future performance of any specific investment or investment strategy will be profitable.

Asset allocation may be used in an effort to manage risk and enhance returns. It does not, however, guarantee a profit or protect against loss. Performance of the asset allocation strategies depends on the underlying investments.

This website is intended to provide general information about Blue Rock Dravo Bay and its services. It is not intended to offer or deliver investment advice in any way. Information regarding investment services are provided solely to gain an understanding of our investment philosophy, our strategies and to be able to contact us for further information.

Market data, articles and other content on this website are based on generally available information and are believed to be reliable. Blue Rock Dravo Bay does not guarantee the accuracy of the information contained in this website. The information is of a general nature and should not be construed as investment advice.

Please remember that it remains your responsibility to advise Blue Rock Dravo Bay, in writing, if there are any changes in your personal/financial situation or investment objectives for the purpose of reviewing/evaluating/revising our previous recommendations and/or services, if you would like to impose, add, or to modify any reasonable restrictions to our investment advisory services.

Blue Rock Dravo Bay will provide all prospective clients with a copy of our current Form ADV, Part 2A (“Disclosure Brochure”) and the Brochure Supplement for each advisory person supporting a particular client. You may obtain a copy of these disclosures on the SEC website at http://adviserinfo.sec.gov or you may Contact Us to request a free copy via .pdf or hardcopy.

Privacy Policy

Blue Rock Dravo Bay maintains a Privacy Policy that is provide to each prospective client at or before entering into an advisory relationship with the Advisor. The Privacy Policy may be amended from time to time. Blue Rock Dravo Bay delivers its current Privacy Policy to each client at least annually.

As Supervised Persons of Blue Rock may also be Registered Representatives of PKS, Clients are advised that PKS will have access to Client information, including account data and other personnally-identifiable information (“PII”) for purposes of supervision. Further, Blue Rock Dravo Bay is co-located with two other registered investment advisors [Avenue 1 Advisors, LLC dba Blue Rock Avenue 1 and RiversEdge Advisors, LLC dba Blue Rock RiversEdge]. Blue Rock Dravo Bay may share resources and have Clients in common.

To obtain a copy of the Blue Rock Dravo Bay Privacy Policy, please Contact Us.

Email Disclosures

Blue Rock Dravo Bay often communicates with its clients and prospective clients through electronic mail (“email”) and other electronic means. Your privacy and security are very important to us. Blue Rock Dravo Bay makes every effort to ensure that email communications do not contain sensitive information. We remind our clients and others not to send Blue Rock Dravo Bay private information over email. If you have sensitive data to deliver, we can provide secure means for such delivery.

Please note: Blue Rock Dravo Bay does not accept trading or money movement instructions via email.

As a registered investment advisor, Blue Rock Dravo Bay emails may be subject to inspection by the Chief Compliance Officer (“CCO”) of Blue Rock Dravo Bay, PKS and/or the various securities regulators. If you have received an email from Blue Rock Dravo Bay in error, we ask that you contact the sender and destroy the email and its contents.

If you have any questions regarding our email policies, please Contact Us.

Social Websites

Blue Rock Dravo Bay may utilize third-party websites, including social media websites, blogs and other interactive content. Blue Rock Dravo Bay considers all interactions with clients, prospective clients and the general public on these sites to be advertisements under the securities regulations. As such, Blue Rock Dravo Bay generally retains copies of information that Blue Rock Dravo Bay or third-parties may contribute to such sites. This information is subject to review and inspection by the CCO of Blue Rock Dravo Bay or the securities regulators.

Information provided on these sites is for informational and/or educational purposes only and is not, in any way, to be considered investment advice nor a recommendation of any investment product. Advice may only be provided by Blue Rock Dravo Bay’s advisory persons after entering into an advisory agreement and provided Blue Rock Dravo Bay with all requested background and account information.

If you have any questions regarding our policies, please Contact Us.