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Disclosures Info & Resources

Taylor Frigon Capital Management LLC (“TFCM”) is an SEC registered investment adviser located in Scottsdale, Arizona.  A copy of TFCM’s current written disclosure Brochure discussing our advisory services and fees continues to remain available upon request.

TFCM may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. TFCM’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of TFCM’s web site on the Internet should not be construed by any consumer and/or prospective client as TFCM’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.  Any subsequent, direct communication by TFCM with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.  A copy of TFCM’s current written disclosure Brochure and Form CRS discussing TFCM’s business operations, services, and fees is available on this web site and/or from TFCM upon written request. TFCM does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to TFCM’s web site or incorporated herein, and takes no responsibility therefor.  All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by TFCM), will be profitable or equal any historical performance level(s). No amount of prior experience or success should be construed that a certain level of results or satisfaction will be achieved if  TFCM is engaged, or continues to be engaged, to provide investment advisory services.

Certain portions of TFCM’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, TFCM (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date.  Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s).  Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from TFCM, or from any other investment professional. TFCM is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.

 

Please Note: Limitations. Neither rankings nor recognitions by unaffiliated rating services, publications, media, or other organizations,  nor the achievement of any professional designation, certification, degree, or license, membership in any professional organization, or any amount of prior experience or success, should be construed by a client or prospective client as a guarantee that the client will experience a certain level of results if the investment professional or the  investment professional’s firm is engaged, or continues to be engaged, to provide investment advisory services. A fee was not paid by either the investment professional or the investment professional’s firm to receive the ranking. The ranking is based upon specific criteria and methodology (see ranking criteria/methodology). No ranking or recognition should be construed as an endorsement by any past or current client of the investment professional or the  investment professional’s firm. 

To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to TFCM’s web site, the client and/or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from TFCM, or from any other investment professional.

Each client and prospective client agrees, as a condition precedent to his/her/its access to TFCM’s web site, to release and hold harmless TFCM, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from TFCM.

Privacy Notice

Taylor Frigon Capital Management LLC (referred to as “TFCM”) maintains physical, electronic, and procedural safeguards that comply with federal standards to protect its clients’ nonpublic personal information (“information”). Through this policy and its underlying procedures, TFCM attempts to secure the confidentiality of customer records and information and protect against anticipated threats or hazards to the security or integrity of customer records and information.

It is the policy of TFCM to restrict access to all current and former clients’ information (i.e. information and records pertaining to personal background, investment objectives, financial situation, tax information/returns, investment holdings, account numbers, account balances, etc.) to those employees and affiliated/nonaffiliated entities who need to know that information in order to provide products or services to the client. TFCM may disclose the client’s information if TFCM is: (1) previously authorized to disclose the information to individuals and/or entities not affiliated with TFCM, including, but not limited to the client’s other professional advisors and/or service providers (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, etc.); (2)required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of applicable federal and/or state privacy regulations. The disclosure of information contained in any document completed by the client for processing and/or transmittal by TFCM in order to facilitate the commencement/continuation/termination of a business relationship between the client and a nonaffiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, insurance company, etc.), including information contained in any document completed and/or executed by the client for TFCM (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider.

TFCM permits only authorized employees and affiliates who have signed a copy of TFCM’s Privacy Policy to have access to client information. Employees violating TFCM’s Privacy Policy will be subject to TFCM’s disciplinary process. Additionally, whenever TFCM hires other organizations to provide services to TFCM ‘s clients, TFCM will require them to sign confidentiality agreements and/or the Privacy Policy.

Should you have any questions regarding the above, please contact Doug Connolly, Chief Compliance Officer.

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