Legal documents

We regularly file documents with the SEC concerning the size of our business, the processes we have in place to provide secure and compliant services, our fee structures and members of the team. These are updated regularly and you can ensure you view the latest versions, by clicking the links above.

If you’d like to review any of the contents with either your planner or a member of our compliance team, we are here to help you make that happen.

Client agreements

The terms you agree to as a Facet client.

The terms you agree to as a user of Finicity’s services. Facet partners with Finicity to securely aggregate your financial data.


The terms you agree to when accessing Facet’s website as well as your electronic delivery acknowledgement.

Facet’s commitment to digital accessibility

The terms of use for electronic communications between you and Facet.

How we engage through our social media platforms.

Material changes to Facet’s planning agreement and regulatory filings.

The value of working with Facet.


Below are specific details & terms of various Facet promotions.


Facet Wealth services

A description of Facet’s service and product offerings.

Provides information about our planners, who act on behalf of Facet.

Customer Relationship Summary (CRS) provides disclosure of your relationship with Facet.

Statement of Facet’s regulatory reporting and filing requirements as an SEC Registered Investment Advisor.

Investment management

Below are specific agreements you make when Facet manages your money.

What will I learn on this call?

It’s hard for anyone to look at a website and say “yes, this is for me, please help me with my money”.  Finances are deeply personal, and talking to someone who can listen and determine what will help you the most is just one simple and confidential call away.  In 15 minutes or less you will have a better understanding of what’s available to you and if you are a good fit for Facet.
If it’s clear we can help, and you want to learn more about working with Facet, then we will share what the service will cost based on the complexity of your finances.