JB Capital, LLC ADV

Form ADV is used by investment advisers to register with the Securities and Exchange Commission (SEC) and with state securities authorities. Thereafter, the Form ADV must be updated at least annually and made available as public record. You can find a copy of JB Capital’s most recent ADV Form 1A, ADV Form 2A and ADV Form 3 on the SEC’s Investment Adviser Public Disclosure (IAPD) website at www.adviserinfo.sec.gov.

JB Capital, LLC’s Form ADV consists of the following:

  • Form ADV Part IA provides specific information about an investment adviser’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the firm or its employees. The SEC uses this information to process registrations and to manage its regulatory and examination programs. Form ADV 1A is updated each year within 90 days of JB Capital’s December 31 fiscal year-end. JB Capital’s ADV Form 1A filing is available to the public on the IAPD website.

  • Form ADV Part 2A is commonly referred to as the “Firm Brochure”. It is a disclosure document for clients and prospective clients. It includes information such as the types of advisory services offered, the adviser’s fee schedule, disciplinary information, and conflicts of interest. Investment advisers are required to deliver annually to clients a summary of material changes to the Firm Brochure, if any, and either deliver a complete updated Firm Brochure or offer to provide the client with the updated Firm Brochure. Additionally, JB Capital provides the Firm Brochure to prospective clients at or before the time that JB Capital begins to provide investment advice to a client. JB Capital’s ADV Form 2A filing is available to the public on the IAPD website.

  • Form ADV Part 2B is commonly referred to as the “Brochure Supplement”. The Brochure Supplement provides information about the specific employees, acting on behalf of the investment adviser, who actually provide the investment advice to the client. The Brochure Supplement also includes contact information for the person’s supervisor in case the client has a concern about the person. The Brochure Supplement must be delivered either before or at the time that the employee begins to provide investment advice to a client. An updated Brochure Supplement must be delivered to clients when there is new disclosure of a disciplinary event, or a material change to disciplinary information that has already been disclosed. The Brochure Supplement is not uploaded to the IAPD website.

  • Form ADV Part 3 is the “Client Relationship Summary” also known as Form CRS. The relationship summary contains important information about the adviser such as: the types of services the firm offers; the fees, costs, conflicts of interest, and required standard of conduct associated with those services; whether the firm and its financial professionals have reportable legal or disciplinary history; and, how to receive more information about the firm. For existing clients, Form CRS is required to be delivered: i. on an initial one-time basis within 30 days after the date the Advisor is first required to file, ii. with the opening of an account which is different than the retail investor’s existing account, iii. upon the recommendation of a rollover of assets from a retirement account into a new or existing account or investment and iv. upon the recommendation of a new brokerage or investment advisory service that does not necessarily involve the opening of a new account and would not be held in an existing account. Form CRS will be delivered to clients upon request without charge. Form CRS will be updated within 30 days after any information becomes materially inaccurate. The firm will communicate these changes to existing retail investors within 60 days after the updates are required to be made. Any material changes will be included in an exhibit summarizing the material changes. JB Capital’s Client Relationship Summary is available to the public on the IAPD website.

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Investment Advisory Services offered through JB Capital, LLC.
Insurance Products offered through JN Financial, LLC.
Atlanta • Boston • Hartford | Tel: 800-208-7233

JB Capital LLC is a federally registered investment adviser under the Investment Advisers Act of 1940. Registration as an investment adviser does not imply any level of skill or training. Information presented is for educational purposes only and is not intended as an offer or solicitation for the sale or purchase of any specific securities, investments, or investment strategies.

JB Capital's Form ADV | Disclaimer | Privacy Notice | Client Relationship Summary

*Information about our Affiliation with the UConn Huskies

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