Become a Client

Please contact us to schedule an initial meeting or call to discuss our services and your financial situation.

Once we jointly determine that a relationship makes sense you or your organization will need to complete some initial paperwork.

Custodian Documents

If you choose to engage Rock Point Advisors, we will jointly execute a contract that grants us authorization to place trades in your account. Your assets remain in your name with your broker. If you are not currently working with a broker, we will offer suggestions. When recommending a broker, we consider transaction costs, execution ability, and demonstrated administrative efficiency. Different custodians often require different sets of paperwork. Your choice of custodian will determine the paperwork necessary to establish your account(s) and add Rock Point Advisors as an investment manager. Our service team will guide you through the process.

Rock Point Advisors’ Documents

We strive to keep our documentation both reasonable and adequate. Currently we require the following internal documentation to initiate a relationship.

  • Investment Advisory Agreement (IAA) – This sets the terms of our relationship and grants us discretion to manage your account(s).
  • Client Questionnaire – This provides us with important information about you and your investment objectives.

Additionally we will provide you two informative documents:

  • ADV Part 2 – Disclosure Brochure  The “Disclosure Brochure” is required by our regulator, the SEC.  It details the services we provide, our fees, and how our business is organized. We are required to provide you with this document at the outset of our relationship and to inform you when material changes occur. The entire ADV is available to the public on the SEC’s website at www.adviserinfo.sec.gov.
  • Privacy Notice  This discloses how we protect the confidentiality and security of our clients’ personal information.

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