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State Filings

  1. Firm Brochure:   The Firm Brochure is filed with State regulators.  The details provide a narrative summary of my company.  This includes the services provided, the fee structure, methods of analysis, and details available in the appendix related to the WRAP fee programs.

  2. Customer Relationship Summary:  This highlights some common questions related to the services provided by BFP.  

  3. CIP Notice to Clients: We will review this notice prior to me collecting personal information from you.

  4. The Bulldog Financial Planning Engagement Letter: This will describe your customer relationship with me including the specific services provided, the payment options, and set the expectations.  This will be sent to you.

  5. The Discretionary Advisory Agreement for Managing Assets Letter and the Financial Planning Agreement:  These forms describe the customer agreement terms for financial planning, investment account management, and wealth management.  These have to be signed prior to providing the services.  

  6. Code of Ethics: My company is dedicated to maintaining its integrity and professionalism while providing you with dependability, loyalty and expertise.  You can request a copy of my company's code of ethics as referenced in the Firm Brochure.

  7. The Privacy Policy: This policy described below outlines how your personal information is used, stored, and how you may authorize your contact information to be shared.  Click the menu item below to view the Privacy Policy. 

  8. Business Continuity Plan:   There is a plan in place to ensure that services will continue during business disruptions.  This is available upon request.  

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Privacy Policy

Bulldog Financial Planning is a sole proprietorship that is committed to protecting the privacy of every client. Your privacy is a top priority of my company. My firm is required by law to provide you with this privacy notice to explain the Privacy Policy and how I collect, use and safeguard your personal financial information.  Click Read More for the full policy.

If you have any questions after reading this notice, please contact me at (401) 227-3957 or email at


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