Sidepocket

Legal Directory

Access all regulatory disclosures, agreements, and compliance documents for Sidepocket and our custodial partner, Apex Clearing Corporation.

Sidepocket Documents

Form CRS

SEC-required customer relationship summary

Investment Advisory Agreement

Terms governing advisory services

Terms of Service

Primary user agreement governing platform use

Wrap Program Fee Brochure

Fee structure for managed account programs

E-Sign Agreement

Electronic signature consent terms

Website & Social Media Disclosures

General platform-related regulatory notices

Hypothetical Performance Disclosures

Risk warnings about model performance illustrations

Apex Clearing Corporation Documents

Customer Account Agreement

Custodial account terms with Apex

Traditional IRA Custodial Agreement

Agreement for traditional retirement account custody

Roth IRA Custodial Agreement

Specialized agreement for Roth retirement accounts

Annual Disclosure Statement

Annual regulatory disclosure from Apex

Safety of Customer Assets

Documentation on asset protection measures

Statement of Financial Condition

Financial status statement from Apex

Securities Lending Agreement

Terms for securities lending program participation

Questions About Our Disclosures?

For regulatory inquiries or compliance-related questions, please contact our compliance team.

[email protected]