Halbert Wealth Management, Inc. ("HWM") is an Investment Advisor registered with the Securities and Exchange Commission. Information is taken from sources believed reliable but its accuracy cannot be guaranteed. Market opinions are intended as general observations, not specific investment or trading advice. Investments mentioned may involve risk. Please consult a competent professional and the appropriate disclosure documents before making any investment decisions. Past results are not necessarily indicative of future results, and there is no foolproof way of selecting an Investment Advisor. Not all investments mentioned are appropriate for all investors. Certain investments referred to herein may not be available in all states, and this website does not constitute a solicitation to residents of any such states. Any client may receive a copy of HWM's Form ADV Part 2 at no charge upon request. Officers, employees, and affiliates of HWM may have positions in investments discussed herein.
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Disclosure of Business Continuity Plan
Firms are required to maintain a business continuity plan that addresses the continuation of key business functions in the event of a major business disruption. Firms must also have available an outline of the business continuity plan for its clients. Halbert Wealth Management recognizes that, although remote, the possibility of business disruption due to various events does exist. We have had comprehensive business continuity plans in place for many years that are designed to minimize the impact of a major business disruption. This notice summarizes those plans.
Halbert Wealth Management’s Business Continuity Plan (the “Plan”) identifies the core processes of our business and what actions would need to be taken if an emergency affected one of those core processes. The Plan also details how Halbert Wealth Management would respond to different disruption scenarios, including relocation of our offices to a temporary facility. In the event of a major business disruption, the Plan is designed to help us:
* protect our employees’ lives and office property,
* evaluate the disruption and determine the appropriate response,
* quickly recover from the disruption and resume operations,
* ensure that you, our client, always has access to your accounts,
* maintain communications between ProFutures and our employees, regulators and you, and,
* protect our business and account records.
If a major business disruption were to occur, you would be able to contact us at our toll free number, (800) 348-3601. We would also keep you updated through our website at www.halbertwealth.com.
The following describe disruption events of varying severity and how Halbert Wealth Management’s Business Continuity Plan is designed to respond to them. These responses are subject to modification. Any updates to this disclosure will be promptly posted on our website. Alternatively, clients can request that an updated disclosure be sent to them by mail.
A Firm-Only Business Disruption
In the event that Halbert Wealth Management’s offices could not be used due to physical damage, failure of technology or services, or inability of employees to access the building, replacement office locations are available for key employees to resume critical office functions. Computer systems and duplicate copies of customer account information are kept off-site and available for use in case of a business disruption. We expect that most critical functions would resume within one day, most in just a few hours.
A Business District, City or Regional Disruption
In the event that a significant business disruption affects the business district, city or region where Halbert Wealth Management’s offices are located, we will transfer our operations to backup facilities. Clients may experience a minor delay in reaching us due to technology delays or other difficulties arising from the transfer of operations. We expect that most core office functions would resume within three days.
We are required to review the Plan at least annually and have an updated disclosure available by request. In the event of a significant business disruption, Halbert Wealth Management is committed to make every reasonable attempt to restore and maintain normal service levels as soon as practicable.