Business Continuity Plan Disclosure

Etico Partners, LLC (“EP”) has developed a Business Continuity Plan (“BCP”) outlining the processes that will be implemented in response to an event that significantly disrupts our business. The timing and impact of disasters and disruptions are unpredictable, so we will be flexible in responding to events as they occur.

If, after a significant business disruption, you are not able to contact EP via telephone as you normally would, please visit EP’s website at for contact information. If you cannot access EP via either of those means, please contact our clearing firm, RBC Correspondent Services at

EP plans to resume business operations as quickly as possible after a significant business disruption. EP’s BCP includes, among other procedures, instructions regarding the following: safeguarding EP employees and EP property, protecting EP’s books and records, and allowing EP customers to transact business.

EP’s BCP addresses data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

EP’s clearing firm, RBC Correspondent Services (“RBC CS”), backs up their important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by RBC CS that their objective is to restore operations and be able to complete existing customer transactions and accept new transactions and payments as soon as possible. Customer orders and requests for funds and securities may be delayed during this period.

Significant business disruptions can vary in scope (i.e. only EP, a single building housing EP, the business district where EP is located, etc.) The severity of disruptions can also vary from minimal to severe. The plan developed by EP addresses all potential disruptions and we are confident that it will help us to resume business as soon as possible following a significant business disruption. If a disruption is so severe that it prevents EP from remaining in business, we will assure our customer’s prompt access to their funds and securities.

For more information – If you have questions about or would like a copy of our BCP, you can contact EP at (518) 348-0060.