Compliance disclosures.
This page consolidates the disclosures that apply to this website and to Riggs Financial LLC's current pre-registration status. Please read it in full.
Registration status
Riggs Financial LLC is a Kentucky limited liability company. The firm has not yet been registered as an investment adviser with the Kentucky Department of Financial Institutions (KY DFI), and is not currently registered with the U.S. Securities and Exchange Commission or any other state securities regulator. Riggs Financial LLC does not currently offer investment advisory services, does not manage client assets, and is not soliciting advisory clients.
Nothing here is advice or a solicitation
Nothing on this website constitutes investment advice, a recommendation, or an offer or solicitation to buy or sell any security or to engage the firm for advisory services. Any general information, commentary, or planned model portfolio discussed on this site (including on the Newsletter page) is provided for general informational and educational purposes only and does not take into account any individual's specific financial situation, objectives, or needs.
No guarantee of returns
Investing involves risk, including the possible loss of principal. No statement on this website, including descriptions of planned services, fee philosophy, or any future model portfolio, should be interpreted as a guarantee of investment returns or outcomes.
Model portfolio performance
Past performance is not indicative of future results. Any model portfolio that may be published in the future (for example, through the Newsletter & Model Portfolios page) is intended to be funded with real firm capital, but its performance does not represent the performance of any individual client account and is not a guarantee of future performance. Actual client results, if any, will vary and may differ materially based on individual circumstances, timing, and fees.
Fee information
Any fee structures described on the Services page (graduated asset-based fees, hourly rates, flat/retainer options, and planned subscription pricing for the Newsletter & Model Portfolios or on-demand advice services) are directional and illustrative of the firm's intended approach. Because Riggs Financial LLC is not yet registered as an investment adviser, final, locked-in fee schedules have not been published and are subject to change. Final pricing will be published upon registration with the Kentucky Department of Financial Institutions.
Information subject to change
The information on this website, including the founder's biography, planned services, planned fee philosophy, and launch timeline, is subject to change without notice as the firm continues preparing for registration and launch.
No client relationship from browsing or the waitlist
Submitting an email address through the waitlist form, submitting the contact form, or emailing the firm directly does not create an advisory or client relationship of any kind, and does not obligate Riggs Financial LLC to provide any service. Once available, paid subscriptions (including the Newsletter & Model Portfolios subscription and any on-demand advice subscription) will establish a registered client relationship with Riggs Financial LLC, governed by a separate advisory agreement and disclosure documents provided at the time of signup.
Website accuracy
While we aim for accuracy, Riggs Financial LLC makes no representation or warranty as to the completeness or accuracy of the information on this website and undertakes no obligation to update it, except as required by applicable law.
Full pre-registration disclosure
Riggs Financial LLC is a Kentucky limited liability company. The firm has not yet been registered as an investment adviser with the Kentucky Department of Financial Institutions. Nothing on this website is investment advice or a solicitation of advisory services. Information is for general informational purposes only and is subject to change.