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Waiver and Severability
Last updated: April 2013
Explanation of Awards and Rankings
The Barron’s “Top 100 Financial Advisors” and “Top 1000 Financial Advisors” lists feature various compilations of the top-ranking financial advisors in the country, as identified by Barron's magazine. The rankings reflect the volume of assets overseen by the advisors and their teams, revenues generated for the firms, and the quality of the advisors’ practices. The publication gives less weight to assets and revenues from institutional clients. The scoring system assigns a top score of 100 and rates the rest by comparing them with the winner.
Seattle Business Magazine’s “Top Washington State Money Managers for 2010” list is ranked by AUM (assets under management). Source: RAH Financial.
Seattle Business Magazine’s 2009 “Washington’s 100 Best Companies to Work For” recognition was based upon survey feedback provided by applicant companies. Results were compiled by market research company Ipsos Corp, and final scores were determined by judges, who added points at their discretion to the top-ranking companies.
Wealth Manager Magazine’s 2009 “Annual Top Wealth Managers” is a ranking based on average AUM (assets under management) per client.
Washington CEO magazine’s “Top 12 Wealth Management Firms in Washington” was a list compiled by Sharon Altaras from a Washington CEO magazine survey. Firms are ranked by total AUM (assets under management).
“Schwab’s Best-Managed Firms” recognition is based on a White Paper titled “Best-Managed Firms: It’s About Time. Time Management and Organizational Effectiveness” © 2007 Charles Schwab Institutional. Moss Adams LLP is not affiliated with or employed by Charles Schwab & Co, Inc. The Report is for general informational purposes only and is not intended to provide specific financial, accounting or legal advice. Freestone Capital Management was one of 29 companies included in the study.
Freestone Capital Management Business Continuity Planning
Freestone Capital Management (‘Freestone’) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us - If after a significant business disruption you cannot contact us as you usually do at 206.398.1100/800.990.3001 or with one of our staff through their email, you should be able to access your account information, including execution of transactions, disbursements of cash etc. through our primary custodian Charles Schwab, Inc. at the number below. You should also check our website - www.freestonecapital.com for timely notices regarding any business disruption.
Schwab Alliance - 800.515.2157
Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank, and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Our primary custodian, Charles Schwab, Inc. backs up our important records in a geographically separate area. In addition, given their size, Schwab has call center and data backup locations throughout the country. All data back up and calls can be re-routed based on the service disruption. We have been advised by Schwab that while every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, it is their objective to restore its operations and be able to complete existing transactions and accept new transactions, payments and disbursements very quickly. However, during this time of interruption, your orders and requests for funds could be delayed.
Varying Disruptions - Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area. In either situation, we plan to continue in business and notify you through our web site www.freestonecapital.com. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers' prompt access to their funds and securities.
For more information - If you have questions about our business continuity planning, you can contact us at 206.398.1100/800.990.3001 or 1918 Eighth Avenue, Suite 3400, Seattle, WA 98101.