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Disclosures

Disclosures


We are a Registered Investment Advisor:
Conley Investment Counsel is a Registered Investment Advisor (RIA). As an RIA we are registered with the SEC so that we may offer investment advisory services to our clients. As an RIA we have a fiduciary duty to put our client’s best interests first. This is a very important tenant for our practice.
 
We provide investment supervisory services for a fee based on a percent of assets under management and provide advice to clients regarding investment matters for an hourly fee. In addition, we furnish advice to clients on matters not relating to investments.  Clients may direct securities transactions to the brokerage firm of their choice.  When a firm is not specified by the client, we may use discretion in selecting a brokerage firm.
 
Our Broker Dealer:
We can offer securities to clients through our registered broker dealer, SMITH HAYES Financial Services Corp.  SMITH HAYES is a member of FINRA (Financial Industry Regulatory Authority) and the SIPC (Securities Investor Protection Corporation).  SMITH HAYES Financial Services Corp and Conley Investment Counsel are not affiliated.
 
Securities transactions for clients may be placed through SMITH HAYES Financial Services Corporation. John H. Conley and John E. Philo, CFA may affect transactions through SMITH HAYES Financial Services for advisory clients and non-advisory clients of Conley Investment Counsel and receive compensation. These orders are incidental to the management and consulting services and are not expected to conflict with portfolio management practices. Securities purchased through SMITH HAYES Financial Services Corporation may be purchased at other brokerage firms.
 
Our management fees are exclusive of brokerage commissions, custody fees, and other costs and expenses charged by your custodian. We may hold open and closed end mutual funds in your account. You should be aware that certain fees are separately charged by these funds in accordance with their prospectuses. These charges may also include distribution (12b-1) fees paid to us by mutual funds. 
 
Form ADV:
Advisors use Form ADV to register as an investment advisor with the SEC. We are required by law to provide Part 2A and 2B to our new clients and to make it available to all of our clients annually.
 
You can find a copy of the Conley Investment Counsel Form ADV (Part 1) on the SEC’s Investment Advisor Public Disclosure (IAPD) website. Please contact us if you would like our Form ADV Part 2A and 2B.

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