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The Third Pig

Quick Guide:
 

Ready to start your investment program today?

With as little as $100 per month, you can work with us! It's easy to open an Account with Brick Financial Management!

Once you have reviewed our website and our ADV Form Part II on the Forms page, just click on the QuickStart button, pick the type of account you want to open, provide a little personal information, and complete an application. You can apply right now online!

FORMS

Form NameDescription
Confidential Investment Management Questionnaire (IMQ)Confidential questionnaire to begin a relationship with Brick Financial Management, LLC. This form can also be completed by using our QuickStart form. Please refer to our Privacy Policy. One of our preferred custodians, Foliofn, conducts all of its business online. The IMQ serves as the application to open an account and authorize trading for Foliofn.
Investment Management Agreement and Trading Authorization (IMA)Form details the contractual agreement between the client and Brick Financial Management, LLC. Also includes a general trading authorization agreement. The IMA can also be completed by using our QuickStart form.
ADV Form IISEC form ADV Part II. Details the operations, investment approach and fee arrangements of Brick Financial Management, LLC.
Client Education BrochureThis document introduces some investment concepts we find important. It is meant to be a broad overview.
Foliofn Investment Advisor (Individual New Account) FormOpen a new taxable or IRA (Traditional or Roth) account with Foliofn. For use with information in IMQ.  
Foliofn Investment Advisor (Company New Account) FormOpen a new taxable or IRA (Traditional or Roth) account with Foliofn for Corporate clients. For use with information in IMQ.
Ameritrade New Account FormOpen a new account with Ameritrade.
Ameritrade New IRA Account FormOpen a new Traditional or Roth IRA account with Ameritrade.
Ameritrade Trading Authorization and Fee Payment FormGrants discretionary trading authority to Brick Financial Management for investment clients for Ameritrade Accounts.
Ameritrade Transfer FormUse this form when transferring funds from another institution. Also, use this form with your IRA Application to rollover all or part of your retirement plan from your former employer, if you are retiring or changing jobs.
Foliofn Transfer FormUse this form when transferring funds from another institution. Also, use this form with your IRA Application to rollover all or part of your retirement plan from your former employer, if you are retiring or changing jobs.
Ameritrade Deposit Form and Ameritrade IRA Deposit FormUse these forms to make the occasional deposit to your Ameritrade account.
Solicitor's AgreementBrick Financial Management will enter into a referral agreement with individuals and professionals alike. Under the terms of the "Solicitor's Agreement", Brick Financial Management will pay a percentage of the investment management fees received by Brick Financial from any "Solicited Client" to the approved "Solicitor". This is an example of the Solicitor's Agreement.
Solicitor's Disclosure DocumentThis form is used to disclose the relationship between Brick Financial Management and the approved "Solicitor" to the "Solicited Client" or perspective client.
Code of EthicsBrick Financial Management's Code of Ethics
CFA Code of EthicsCFA Institute Code of Ethics and Standards of Practice

 
  
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