Compliance (US)

Important Disclosure on Gavin Management Group, Inc. (for clients within the United States)

Gavin Management Group, Inc. (“GMG”) is an SEC registered investment adviser.  GMG is in compliance with the current notice filing requirements imposed upon SEC registered investment advisers by those states in which GMG maintains clients.  GMG may only transact business in those states in which it is notice filed or qualifies for an exemption or exclusion from notice filing requirements.

This website is limited to the dissemination of general information pertaining to GMG’s investment advisory/management services.  Accordingly, the publication of GMG’s web site on the Internet should not be construed by any prospective client as GMG’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.  Any subsequent, direct communication by GMG with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.  GMG does not provide tax or legal advice.  You should contact your tax advisor and/or attorney before making any decisions with tax or legal implications.

GMG does not make any representations as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to GMG’s web site or incorporated herein, and takes no responsibility therefore.  All such information is provided solely for convenience purposes and all users thereof should be guided accordingly.  For additional information about GMG, including fees and services, send for our disclosure brochure using the contact information herein. Please read the disclosure brochure carefully before you invest.

GMG also engages the services of MarketCounsel, LLC to complement its own rigorous compliance practices.  MarketCounsel is the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial investment advisors.  Founded in August 2000, MarketCounsel clients are now serviced by a team of more than thirty-one dedicated men and women.  GMG is a member in MarketCounsel’s RIA Institute for Compliance Management.