We set up Cache with specific protections to ensure investors' peace of mind if our company encounters financial difficulties.

First, Cache Securities LLC is an SEC-registered broker-dealer and a member of FINRA. Cache Advisors LLC is an SEC-registered Investment Advisor that advises our exchange funds. Both of these are fully owned sub-entities of Cache Financials Inc. All brokerage assets receive SIPC coverage for up to $500K in stocks, and up to $250K in cash. Further, there are strict regulatory guidelines to follow in case of a dissolution.

Next, none of the Cache entities hold any of your assets. Each of our exchange funds is custodied at a global bank (BNY Mellon), and administered by a leading independent fund administrator. Brokerage assets are custodied at Apex, a leading brokerage infrastructure provider used by hundreds of leading fintech firms.

Structurally, each of our funds is an independent entity owned by its investors, with Cache maintaining little to no ownership in these funds.

In the event Cache is no longer viable, our corporate structure allows for a smooth transition for investors:

1. Cache Advisors LLC could continue as a thin entity that fulfills its responsibilities, with fund revenues generating enough revenue to sustain operations.

2. Investors have the right to appoint another manager to carry out investment advisory duties. Since each fund generates revenue, another capable advisor can step in to assume advisory duties.

3. The independent fund administrator would handle the transition while ensuring that the fund operations progress as usual.

Our legal documents provide higher investor protections than customary, and contemplate the necessary steps for a transition.

Learn a little more about our approach to protecting our clients' investments.