Detailed information about a fund’s investment objectives, risks, fees and expenses is available in each fund’s prospectus and, if available, summary prospectus. The fund’s policies regarding selection of securities firms are described in the fund’s statement of additional information. An investor may request these materials from his or her financial professional or directly from the mutual fund company and should be read carefully before investing.


Cadaret, Grant Advisors receive the same payout ratio of commissions and “trail” 12b-1 servicing fees for all the funds they sell. In addition to the commissions and fees disclosed in the fund’s prospectus fee table, Cadaret, Grant receives additional cash compensation from Strategic Partners for ongoing marketing and education programs – advisors do not share in that compensation. Cadaret, Grant’s Strategic Partners* follow, in descending order based on the total amount of additional cash compensation received:

Cadaret, Grant Advisors are not paid a higher percentage share of commissions or “trail” 12b-1 servicing fees for selling these funds over other products.


*January 1–December 31, 2017

Business Continuity Plan

Cadaret, Grant maintains a business continuity plan, including alternate processing facilities, to address disruptions in our normal course of business. These plans are reviewed annually and updated as necessary.   The plans outline the actions Cadaret, Grant will take in the event of a building, city-wide, or regional incident, including relocating technology and operational personnel […]

Client ID Program Notice

The following is important information for investors about procedures for opening a new account:   To assist the government in its effort to fight the funding of terrorism and money laundering activities, federal laws require Cadaret, Grant to obtain, verify, and record information that identifies each individual or entity that opens an account. These procedures […]

Order Routing

The U.S. Securities and Exchange Commission (SEC) adopted new rules in an effort to improve public disclosure of order execution and routing practices. As a result, broker/dealers must, on a quarterly basis, disclose the identity of the market centers to which they route a significant percentage of their orders and the nature of their relationships […]

Privacy Policy

WHAT DOES CADARET, GRANT & CO., INC. DO WITH YOUR PERSONAL INFORMATION?  Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this […]

ADV II (A) Brochure

The following are important disclosures for clients/investors. Please read them carefully and contact your financial advisor with questions.   Cadaret Grant ADV II (A) Brochure  


Click here to view the Options Clearing Corporation’s Characteristics and Risks of Standardized Options disclosure documentation.   The following is a list of supplements (organized by year and month of publication), to the Options Clearing Corporation’s options disclosure documentation.   1997        December   2000        May   2004        January   2007        April   2007        May   2007        […]

Checks and Securities Certificates

Checks and securities certificates remitted to us in conjunction with proposed transactions are routinely forwarded to our Syracuse office so that we may perform certain supervisory reviews, including (among other things) confirming that all required documents and information have been submitted and confirming that each transaction appears suitable. We may hold checks and/or securities certificates […]

DOL Disclosures

The Department of Labor, along with other regulatory agencies, require broker/dealers to have procedures in place to monitor whether advisors are making material misleading statements to investors. Cadaret, Grant & Co., Inc. uses several methods to monitor statements of this nature, because they are not permitted. The methods include reviewing advisors’ e-mail communications, written communications, […]