Summary of Business Continuity Planning
At AlphaMax, our goal is to put our clients first in every aspect of our business. We do this by planning how we will meet your needs during an unexpected business disruption, such as natural disasters, power outages and other extraordinary events. We have created a business continuity plan that outlines the steps we will take if a significant disruption to our business arises, so that you can continue to receive essential services from us or one of our third party service providers.
Securities and futures regulations require AlphaMax and certain of its affiliates, to provide you with basic information about our business continuity plan. Since the timing and impact of any such disruptions are unpredictable, our plan has been designed to be flexible in its response to events as they may occur. We continue to operate under the BCP implementation in place related to the COVID-19 global pandemic.
The following highlights and summarizes our plan.
Communicating With Us
Under normal conditions, you can contact us by:
- Telephone: 800-828-5225 or 858-459-7040
Mon-Fri, 7:30am-4:30pm Pacific Time
- Email: firstname.lastname@example.org
- Fax: 858-456-9209
- US mail and in person at our La Jolla, California offices:
1200 Prospect Street, Suite 400, La Jolla, CA 92037
- Telephone: 800-828-5225 or 858-459-7040
If, after a significant business disruption, you cannot contact us by any of these standard methods, you can check our website(s) at www.alphamaxcap.com, or our affiliated website at www.altegris.com, to find alternate or temporary contact information and updated information on what we are doing to quickly recover and resume business.
Our plan provides for immediate contact of service providers deemed critical to ongoing operations, and therefore the service providers will be apprised on our current situation and immediate continuity plans.
If you are unable to contact AlphaMax by any of the above means, you may contact other service providers in respect of your investments as follows:
- With respect to commodity pool investments in funds sponsored by Altegris Advisors (an affiliate of AlphaMax), you may contact NAV Consulting, Inc. the funds’ administrator for any immediate needs or information. NAV Consulting may be contacted at 630-954-1919.
- For mutual fund investments, the Fund’s Transfer Agent, Ultimus Fund Solutions, LLC maintains your account records. The Ultimus customer support team with respect to the Mutual Funds offered by AlphaMax can be reached at (877) 772-5838 for shareholder inquiries.
Our Business Continuity Plan
We intend to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and taking the necessary steps to allow our customers to continue transacting business as normal. In short, our plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Types of Significant Business Disruptions
Significant business disruptions can vary in their scope, such as those affecting (i) only our offices in La Jolla, California, (ii) the city of La Jolla, or (iii) San Diego, California. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In the event of a significant disruption, whether local or regional, we may transfer operations to an off-site location as necessary to recover and resume business operations as quickly as possible, in most
instances within 24 hours.
It is important to note that none of AlphaMax or its affiliates maintains custody of your funds or securities. All funds are maintained with specific critical business constituents, a list of which is maintained by AlphaMax and its affiliates. If the significant business disruption is so severe that it prevents us from remaining in business, your prompt access to, and information about, your funds and securities will continue to be available to you directly from the clearing firms, service
providers, custodians, and/or third party funds that maintain your assets.
The preceding description is a general overview of AlphaMax and its affiliates’ plan. If you would like more information, we would be happy to help you. Please contact us by phone at (800) 828-5225 (Mon-Fri from 7:30am to 4:30pm Pacific Time) or by e-mail to our affiliated operations team at email@example.com.
Effective: January 2022