RKCA, Inc. (“RKCA”) is registered with the United States Securities and Exchange Commission (“SEC”) as a broker-dealer and is a member of the Financial Industry Regulatory Authority (“FINRA”) and Securities Investor Protection Corporation (SIPC). There are free and simple tools are available to research broker-dealers and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
The only securities business activity that RKCA may potentially provide to retail investors is the private placement of securities. All other business activities are related to investment banking services for institutions and corporations.
RKCA does not provide investment advice or ordinarily provide investment recommendations subject to Regulation Best Interest. Further, RKCA does not: (i) monitor investments, (ii) have discretionary authority over accounts, (iii) offer advice related to proprietary products, or (iv) set account minimums.
You may find an overview of our company and additional information regarding our services at www.rkca.com. You may contact a RKCA Registered Representative with any questions regarding your relationship with us by calling 513-371-5533 or via U.S. mail at 1077 Celestial St. Cincinnati, Ohio 45202.
RKCA does not directly charge fees to retail investors for brokerage services (e.g., transaction fees, account opening fees or the like). Investors are indirectly assessed fees through the structure of the private securities offering for with the investor purchases, which is disclosed in the respective offering documentation (e.g., Private Placement Memorandum (PPM)). In connection with the placement of private securities, RKCA typically receives certain fees, which may include closing fees, management fees and/or carried interest payments. RKCA receives these fees from the Issuing Company and/or any Investment Company or Operating Company associated with the offering.
If and when we provide you with a recommendation, we must act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendation(s) we provide you. Here are some examples to help you understand what this means.
You should refer to the respective offering’s private placement memorandum (PPM) for a discussion of any additional conflicts of interest as well as a disclosure of fees respective to the private investment offering. This documentation is available to all potential investors in the respective offering.
Our financial professionals are compensated through corporate benefits, salary and potentially through discretionary bonuses. Our financial professionals do not receive (i) transactional-based compensation (e.g., commissions), (ii) compensation based upon assets under management, (iii) compensation based upon time spend with a retail investor, (iv) non-cash compensation tied to retail investors (i.e., gifts), or (v) compensation based upon the complexity of the product purchased by a retail investor.
Yes. Please visit www.Investor.gov/CRS for a free and simple search tool to research us and our financial professionals.
Please feel free to contact us for a copy of the current Form CRS Relationship Summary and other up-to-date information. You can also find additional information about our services by visiting SEC’s Investor.gov/CRS page or the FINRA search page www.brokercheck.org.
Company: RKCA, Inc. (CRD#: 17655 / SEC#: 8-35572)
Primary Contact: Mono Bhattacharya, Chief Compliance Officer
U.S. Mail: 1077 Celestial St. Cincinnati, Ohio 45202.
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