Form CRS Disclosure Template for Standalone Investment Advisers volScout, LLC

12/31/2020

volScout is an investment adviser registered with the Securities and Exchange Commission. Brokerage and investment advisory services and fees differ and that it is important for the retail investor to understand the differences. volScout advisory account services.

Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.

What investment services and advice can you provide me?

volScout provides discretionary and non-discretionary portfolio management, supervisory and evaluation services to institutions and ultra-high-net-worth individuals. volScout utilizes exchange-traded equity options to provide clients with potentially enhanced returns in certain circumstances with potentially reduced downside exposure. In return, clients may potentially limit returns of the underlying asset versus a portfolio of similar assets that does not engage in our strategies. Some examples of typical strategies employed are covered call writing and the purchase of protective put options or a combination of those strategies.

We monitor all accounts in real time and have active risk management programs designed to maintain the goals and objectives of each account we manage. In our discretionary portfolios, we make all investment decisions regarding the option overlay; for non-discretionary accounts, we provide input, but the client makes the ultimate decision, which we can help execute.

Generally speaking, we only accept accounts with $5mm or more in option assets.

More detailed information can be found by reviewing our Form ADV Part 2A brochure.

Conversation Starters

Given my financial situation, should I choose an investment advisory service? Why or why not?
How will you choose investments to recommend to me?
What is your relevant experience, including your licenses, education and other qualifications?
What do these qualifications mean?

What fees will I pay?

Our fees vary and are negotiable. The amount you pay will depend, for example, on the services you receive and the amount of assets in your account. You will pay a transaction fee when we buy and sell an investment for you. You will also pay fees to a broker‐dealer or bank that will hold your assets (called “custody”). The more assets you have in the advisory account, including cash, the more you will pay us. Therefore, we have an incentive to increase the assets in your account in order to increase our fees.

You will pay our fee quarterly even if you do not buy or sell or whether you make or lose money. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying and that you carefully review your investment advisory agreement.

More detailed information can be found by reviewing our Form ADV Part 2A brochure.

Conversation Starters

Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?

What are your legal obligations to me when acting as my investment adviser? How else does your firm make money and what conflicts of interest do you have?

When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice, we provide you. For instance, we may have multiple accounts with the same goals and objectives but because of differences in size, they may be charged more or less than you, resulting in differing outcomes. More detailed information can be found by reviewing our Form ADV Part 2A brochure.
More detailed information can be found by reviewing our Form ADV Part 2A brochure.

Conversation Starters

How might your conflicts of interest effect me?

How do your financial professionals make money?

All of our financial professionals are compensated on a salary plus discretionary bonus arrangement. None are paid on commission.

Do you or your financial Professionals have any legal or disciplinary history?

No.

Conversation Starters

As a financial professional, do you have any disciplinary history? For what type of conduct?

Additional information on our firm can be found at www.adviserinfo.sec.gov/. If you have a problem with your investments, account or financial professional, contact us in writing at volScout, LLC, 1071 Post Road East, #201, Westport, CT 06880 or via email at brad@volscout.com.

Conversation Starters

Ask your financial professional: Who is my primary contact person? Is he or she a representative of an investment advisor or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me who can I talk to?

Want to Talk To Us?

Please feel free to contact us. We would be happy to speak with you and answer your questions.

Meet Our Team

Our Management Team

  • Jon Orseck

    Managing Partner
  • Brad Berggren

    Managing Partner
  • Roger Weber

    Chief Technology Officer

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