Important Disclosure Information

By accessing this website and the information herein, you acknowledge and agree to the following:

16Rock Asset Management LLC (“Company”) is an SEC registered investment adviser located in New York, New York. A copy of the Company’s current written disclosure Brochure discussing our advisory services and fees continues to remain available upon request.

The Company may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. The Company’s website is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of the Company’s website on the Internet should not be construed by any consumer and/or prospective client as Company’s solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation, over the Internet.  Any subsequent, direct communication by the Company with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.  A copy of the Company’s current written disclosure Brochure and Form CRS discussing the Company’s business operations, services, and fees is available on this website and/or from Company upon written request. The Company does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to the Company’s website or incorporated herein, and takes no responsibility therefore. Further, the Company and its affiliates, will not assume any liability for any loss or damage of any kind as a result of one’s use of this website or any of the information it contains. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

The content of this website may not be used or considered as an offer to sell or a solicitation of an offer to buy securities, including any interest in any investment fund. Such offers will be made only by distribution of a private placement memorandum, only in compliance with applicable law, only in jurisdictions in which such an offer would be lawful and only to individuals who meet the investor suitability and sophistication requirements set forth in such materials. No information in this website constitutes investment, legal, tax or other advice nor is it to be relied upon in making an investment decision.

Please remember that different types of investments involve varying degrees of risk, and there can be no assurance that the future performance of any specific investment or investment strategy (including those undertaken or recommended by the Company), will be profitable or equal any historical performance level(s). No amount of prior experience or success should be construed that a certain level of results or satisfaction will be achieved if the Company is engaged, or continues to be engaged, to provide investment advisory services.

Our investment strategies are available only to qualified investors who have reviewed detailed information concerning investment terms and risks. Some of the risks may include the following:

  1. Performance can be volatile, and an investor could lose all or a substantial amount of his or her investment.
  2. The strategy may use economic leverage and/or interest rate hedging which may have an adverse impact.
  3. The investor does not retain any trading authority over assets placed with us.
  4. None of our strategies is intended, by itself, to provide an investor with an investment program that is diversified or otherwise tailored to suit any investor’s overall investment needs.
  5. An investor’s account may not be liquid or transferable.
  6. Fees and expenses may offset trading profits, if any.
  7. We may be subject to certain conflicts of interest.

Certain portions of the Company’s website (i.e., newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to, the Company (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date.  Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s).  Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Company, or from any other investment professional. The Company is neither an attorney nor an accountant, and no portion of the website content should be interpreted as legal, accounting or tax advice.

Please Note: Limitations. Neither rankings nor recognitions by unaffiliated rating services, publications, media, or other organizations,  nor the achievement of any professional designation, certification, degree, or license, membership in any professional organization, or any amount of prior experience or success, should be construed by a client or prospective client as a guarantee that the client will experience a certain level of results if the investment professional or the  investment professional’s firm is engaged, or continues to be engaged, to provide investment advisory services. A fee was not paid by either the investment professional or the investment professional’s firm to receive the ranking. The ranking is based upon specific criteria and methodology (see ranking criteria/methodology). No ranking or recognition should be construed as an endorsement by any past or current client of the investment professional or the investment professional’s firm. 

To the extent that any client or prospective client utilizes any economic calculator or similar interactive device contained within or linked to Company’s website, the client and/or prospective client acknowledges and understands that the information resulting from the use of any such calculator/device, is not, and should not be construed, in any manner whatsoever, as the receipt of, or a substitute for, personalized individual advice from the Company, or from any other investment professional.

Each client and prospective client agrees, as a condition precedent to his/her/its access to Company’s website, to release and hold harmless the Company, its officers, directors, owners, employees and agents from any and all adverse consequences resulting from any of his/her/its actions and/or omissions which are independent of his/her/its receipt of personalized individual advice from the Company.