Adviser Information | Greyfield Capital Management

Firm CRD #291698

Form ADV

The registration filing we submit to regulators through the Investment Adviser Public Disclosure (IAPD) system. Part 1 details our firm structure, ownership, assets under management, and regulatory history. Parts 2A & 2B are the client brochure we deliver to every client, covering fees, investment strategies, conflicts of interest, disciplinary history, and business practices.

Download Part 1 Download Parts 2A & 2B

Individual CRD #6912687

Charles A. Bettendorf

The public record for our Investment Adviser Representative on the SEC’s Investment Adviser Public Disclosure (IAPD) system. It includes registration history, examinations passed, and employment history.

View on IAPD

Fiduciary Standard

Since 1963, the Supreme Court has held that investment advisers owe a fiduciary duty to their clients by operation of law. This is not a marketing claim. It is a legal obligation rooted in Section 206 of the Investment Advisers Act of 1940 and the Court’s decision in SEC v. Capital Gains Research Bureau.

The fiduciary duty has two components: a duty of care — to provide advice in the client’s best interest, seek best execution of trades, and monitor accounts on an ongoing basis — and a duty of loyalty — to either eliminate conflicts of interest or disclose them fully enough for the client to make an informed decision. These obligations apply at all times, not just at the point of a recommendation.

Brokers are held to a different, narrower standard. Greyfield Capital is not a broker. We are a registered investment adviser, and the fiduciary standard governs everything we do.

Questions About Our Registration?

We’re happy to discuss our regulatory standing, provide copies of our Form ADV, or answer any questions about our compliance practices.

2350 Sherwood Rd
San Marino, CA 91108
Tel: +1 310-938-5490

Compliance@GreyfieldCapital.com