Last Updated: January 16, 2026
IMPORTANT RISK DISCLOSURE: All investments involve the risk of loss, including the loss of principal. Past performance is not indicative of future results. There is no guarantee that any investment strategy will achieve its objectives or avoid losses.
1. Regulatory Information
SEC Registration: Sceptyr, LLC is a registered investment advisor with the U.S. Securities and Exchange Commission (SEC). Registration does not imply a certain level of skill or training or endorsement by the SEC.
Sceptyr, LLC (CRD# [To be assigned]) is registered as an investment advisor under the Investment Advisers Act of 1940. Our Form ADV Parts 1 and 2 are filed with the SEC and contain important information about our business practices, fees, conflicts of interest, and disciplinary history.
How to Access Our Form ADV
- Visit the SEC's Investment Adviser Public Disclosure (IAPD) website at www.adviserinfo.sec.gov
- Request a copy directly from us at compliance@sceptyr.com
- Review our Form ADV Part 2A (our "Brochure") before entering into any advisory relationship
2. Investment Advisory Services
Services We Provide
- Discretionary and non-discretionary portfolio management
- Financial planning and wealth management
- Alternative investment strategies and private placements
- Estate and tax planning coordination
- Risk management and insurance analysis
- Retirement and education planning
Client Eligibility
Our services are generally available to:
- Accredited investors as defined by SEC regulations
- Qualified clients with investable assets typically exceeding $1,000,000
- Institutional clients including pension plans, endowments, and corporations
- High-net-worth families and individuals
3. Fee Structure and Compensation
Fee Disclosure: Detailed information about our fees is contained in our Form ADV Part 2A. Fees are negotiable based on the complexity of services and assets under management.
Advisory Fees
- Asset-Based Fees: Typically range from 0.50% to 1.50% annually based on assets under management
- Financial Planning Fees: Fixed fees ranging from $5,000 to $50,000 depending on complexity
- Performance Fees: May apply to certain qualified clients and strategies
- Minimum Fees: Annual minimum fee of $25,000 may apply
Other Costs and Expenses
- Custodial fees charged by third-party custodians
- Transaction costs and brokerage commissions
- Fund expenses for mutual funds and ETFs
- Alternative investment fees and expenses
- Third-party platform and technology fees
4. Investment Risks
GENERAL RISKS: You should carefully consider the risks associated with any investment before making a decision. We cannot guarantee investment performance or protect against losses.
Market and Investment Risks
- Market Risk: Securities markets can be volatile and unpredictable
- Interest Rate Risk: Changes in interest rates can affect bond and stock values
- Credit Risk: Issuers may default on their obligations
- Inflation Risk: Purchasing power may decrease over time
- Currency Risk: Foreign exchange fluctuations in international investments
- Concentration Risk: Lack of diversification may increase losses
Alternative Investment Risks
- Liquidity Risk: Limited ability to sell investments quickly
- Leverage Risk: Use of borrowed money can amplify losses
- Complexity Risk: Sophisticated strategies may be difficult to understand
- Regulatory Risk: Changes in laws may affect investment values
- Manager Risk: Performance depends on skill of investment managers
5. Conflicts of Interest
Conflict Disclosure: We have policies and procedures designed to identify, disclose, and manage conflicts of interest. Material conflicts are disclosed in our Form ADV Part 2A.
Potential Conflicts
- Fee Arrangements: Higher fees for certain investment products
- Third-Party Relationships: Compensation from product sponsors or platforms
- Personal Trading: Our employees may invest in the same securities as clients
- Custody Arrangements: Relationships with recommended custodians
- Outside Business Activities: Other business interests of our personnel
6. Custodial Arrangements
We recommend qualified custodians for safekeeping of client assets. We do not serve as custodian and do not have physical possession of client funds or securities. Recommended custodians include:
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC
- TD Ameritrade Institutional
- Interactive Brokers LLC
7. Business Continuity
We maintain business continuity plans to address potential disruptions to our operations, including:
- Natural disasters and emergencies
- Technology failures and cyber incidents
- Key person risk and succession planning
- Pandemic and health emergencies
- Regulatory changes and compliance issues
8. Privacy and Data Security
We maintain physical, electronic, and procedural safeguards to protect client information in accordance with Regulation S-P and other applicable privacy laws. Our privacy practices are detailed in our Privacy Policy.
9. Disciplinary History
Neither Sceptyr, LLC nor its management persons have any material disciplinary history to disclose. Any disciplinary events would be disclosed in our Form ADV Part 1 and Part 2B.
10. Client References and Testimonials
Testimonial Disclosure: Client testimonials and references may not be representative of all client experiences. Past client satisfaction does not guarantee future performance or client experience.
11. Social Media and Communications
Our communications through social media, email, and other electronic means are subject to securities laws and our compliance policies. We maintain archives of electronic communications as required by regulation.
12. Regulatory Examinations
As a registered investment advisor, we are subject to periodic examinations by the SEC or state regulators. We cooperate fully with regulatory examinations and implement any required corrective actions.
13. Proxy Voting
We may vote proxies for client securities when authorized to do so. Our proxy voting policies and procedures are designed to vote in the best interests of our clients and are available upon request.
14. Electronic Delivery
We may deliver account statements, confirmations, and other required disclosures electronically with client consent. Electronic delivery is subject to the same regulatory requirements as paper delivery.
15. Complaints and Dispute Resolution
We encourage clients to contact us directly with any concerns or complaints. Our complaint resolution process includes:
- Initial review by your advisory team
- Escalation to our Chief Compliance Officer if needed
- Documentation and tracking of all complaints
- Implementation of corrective measures when appropriate
- Regulatory reporting of complaints as required
Regulatory Resources
For additional information about investment advisors and investing, visit these regulatory websites: