Optimizing your experience...
Optimizing your experience...
Clear disclosure on how we operate. Registration status, custody arrangements, compliance policies, and how to verify our credentials.
Verify My Credentials (IAPD)State-registered investment adviser
Firm Name
Aurea Investments, LLC
CRD Number
#336580
Registration
States of Wisconsin and Illinois
Regulators
Wisconsin Department of Financial Institutions
Illinois Secretary of State, Securities Department
Registration as an investment adviser does not imply a certain level of skill or training. You can verify our registration and review any disclosures on the SEC's Investment Adviser Public Disclosure (IAPD) website.
Your assets are held at an independent qualified custodian
Aurea Investments does not hold client funds or securities, but it is deemed to have custody because it is authorized to deduct advisory fees directly from client accounts. Client assets are held at the qualified custodian identified in the applicable account documents, which sends statements directly to you at least quarterly. Review those statements carefully (Form ADV Part 2A, Item 15).
Security controls, custody basics, and independent verification links.
Standards of conduct for our firm and personnel
Aurea Investments maintains a written Code of Ethics that establishes standards of conduct for all supervised persons. Our Code of Ethics is designed to:
The Code of Ethics is also available upon request, as stated in Item 11 of our Form ADV Part 2A.
Planning for unexpected disruptions
Aurea Investments maintains a Business Continuity Plan (BCP) designed to minimize service disruptions in the event of emergencies, natural disasters, or other significant business interruptions.
Our plan addresses data backup and recovery, alternative communication methods, and procedures for continuing operations during disruptions. Because client assets are held at a qualified custodian (Interactive Brokers LLC, which is not affiliated with Aurea), you can continue to access your accounts directly through the custodian even if Aurea Investments experiences a disruption.
A summary of our Business Continuity Plan is available to clients upon request.
How to raise concerns or file a complaint
If you have a complaint about our services, we encourage you to contact us directly first so we can address your concerns:
Aurea Investments, LLC
342 N Water St Suite 600, Milwaukee, WI 53202, United States
You may also file a complaint with our state securities regulators:
Wisconsin Department of Financial Institutions
Division of Securities
4822 Madison Yards Way, North Tower
Madison, WI 53705
Phone: (608) 266-2139
File a complaint online
Illinois Secretary of State
Securities Department
421 E. Capitol Avenue, 2nd Floor
Springfield, IL 62701
Phone: (217) 782-2256
File a complaint online
Access our complete regulatory filings and disclosure documents.