Compensation Disclosure Information
 Investacorp, Inc. offers many different investment products including mutual funds, variable annuities, variable life insurance and real estate investment trusts. We are committed to providing clients with the information they need to make informed investment decisions.
On this page you will find important information that you may wish to consider when selecting investments with the help of your Investacorp financial advisor. The information on this page will be updated from time to time.
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Mutual funds have different ways of charging fees and expenses to investors. Investors who buy Class A shares of a mutual fund usually pay a front-end sales charge or load. Frequently Class A mutual funds offer discounts that reduce and sometimes even eliminate this front-end sales charge for larger investments. Breakpoints are the investment amounts at which a fund offers investors these sales charge discounts. The more you invest, the greater the discount to which you may be entitled. Breakpoint discounts usually start at investment levels of $50,000, but may begin at $25,000. Here’s a sample breakpoint schedule.
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Customer Identification Program
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To help the government fight the funding of terrorism and money laundering activities, Federal law (Section 326 of the USA/PATRIOT Act of 2001) requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
When you open an account, Investacorp will ask you for your name, address, date of birth and other information that will allow Investacorp to identify you. Investacorp may also ask to see your driver’s license or other identifying documents.
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Business Continuity Practices
 Business continuity planning is the process, which defines the procedures employed during and after a significant business disruption, to ensure the timely and orderly resumption of a company’s business. Investacorp, Inc. (“Investacorp”) has therefore developed this Business Continuity Plan (“BCP”) to comply with the requirements of the FINRA/NASD Rule 3500 Series, and NASD Notice to Members 04-37. Although it is impossible to anticipate every type of disaster scenario, we believe that our plan will enable us to continue business upon the occurrence of those events that are most likely to affect our business operations.
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A Message from the Investacorp Corporate Family concerning your account:
The Investacorp Corporate Family (Investacorp Inc., IAS, Ladenburg Thalmann & Co. Inc., LTAM, and Triad Advisors Inc.) is pleased to service your account. Our records indicate that you have at least one account established at the address to which this notice was sent. Please share this information with all account holders or if you are a trustee or fiduciary, please share this notice with all other pertinent parties.
We recognize the importance of safeguarding the nonpublic personal information of our customers. Our policies and practices are designed to achieve this goal.
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