Securities & Contracts
Individuals investing in financial contracts on own account, securities speculation for own account, and investment-club structures.
Contracts · Speculation · Clubs
Vault / Divisions
The Vault Register.
Five sealed chambers, forty instruments and mandates. Every division keeps its own ledger; every ledger reconciles nightly. The complete register follows.
Vault A · Own Account
Principal Investing.
Positions taken with the firm's own capital, on the firm's own risk — dealing as principal, not as broker.
Royalties & Leases
Mineral royalties and leases dealing, and oil royalty dealing — acting as principal in dealing royalties and leases to investors.
Mineral · Oil · Lease Interests
Instruments & Liens
Mortgage dealing (buying and selling), tax-lien dealing as principal, and viatical settlement positions.
Mortgages · Tax Liens · Viaticals
Venture Capital
Venture capital participation — early and growth positions held on the firm's own book.
Venture · Own Book
Vault B · Counsel
Advisory & Planning.
Customized, fee-paid-by-client advice — no commissions, no placement, no third hand in the drawer.
Financial Planning
Certified financial planners delivering customized planning — cash flow, retirement, estate coordination — with fees paid by the client.
CFP · Planning · Customized
Investment Advice
Investment advice consulting, counseling, and advisory services — customized to the mandate, fee-paid by the client.
Advice · Counseling · Advisory
Investment Management
Discretionary and non-discretionary investment management under a written mandate and stated risk budget.
Management · Mandate · Risk Budget
Vault C · Management
Fund & Trust Management.
Fund Management
Managing investment funds, mutual funds, portfolio funds, private equity funds, and pension funds.
Mutual · Pension · PE · Portfolio
Trust Management
Managing personal investment trusts and trusts generally — investment policy, distribution discipline, and beneficiary reporting.
Personal Trusts · Policy · Reporting
Vault D · Fiduciary
Fiduciary & Custody.
Trust & Estate Administration
Administration of private estates, personal investment trust administration, bank trust-office functions, and nondepository trust-company operations.
Estates · Trust Admin · Nondepository
Escrow & Fiduciary Agency
Escrow agency and fiduciary agency services (except real estate) — neutral holding, documented release, accountable disbursement.
Escrow · Fiduciary · Neutral
Securities Custody
Securities custodian services — safekeeping, settlement, corporate-action processing, and position reporting.
Custody · Settlement · Reporting
Vault E · Infrastructure
Market Infrastructure.
Clearinghouses
Commodity and securities exchange clearinghouse functions, and virtual-currency trading exchange clearing.
Exchange Clearing · Virtual Currency
Brokerage Offices
Deposit brokerage, and gas and oil lease brokers' offices — intermediation under written mandate.
Deposits · Gas · Oil Leases
Quotation & Transfer
Securities and stock quotation services, securities transfer agencies, stock transfer agencies, and security holders' protective committees.
Quotation · Transfer · Protection
Crowdfunding Facilitation
Business start-up fundraising through crowdfunding platforms — compliant structure, documented terms.
Crowdfunding · Start-Up Capital
Assignment
Which Vault Holds Yours?
Describe the mandate. A senior officer responds within one business day.
Request Access