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Business Continuity Plan

for the unexpected

Planning

In the rare event, something happens to your Advisor, Leadership, or otherwise, Rigden Capital Strategies (RCS) has an established plan.

Our Response

Crafting a plan that we never plan to use.

Your Advisor

In the event something happens to your Advisor, RCS support and leadership will contact you and discuss your options; work with another RCS Advisor or delink your accounts from RCS, which means you maintain your current account at your current broker dealer (aka custodian).

Support Staff & Systems

In the event your Lead Advisor loses access to their support staff, or key system, we will utilize redundant systems we've created to ensure we can continue serving you. We've established a backup for our backups. 

Leadership

In the event, something happens to key positions of Leadership, we've provided a business continuity plan, along with key steps each Advisor will take to inform clients and provide clients their options.

Compliance Officer

RCS has established a 3rd party compliance support team, that can assist in the event of a major event, providing council as to appropriate next steps to ensure RCS remains compliant and clients' best interest are preserved.

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