FORM CRS RELATIONSHIP SUMMARY – JUNE 30, 2020

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. 

WHAT INVESTMENT SERVICES AND ADVICE CAN YOU PROVIDE ME?

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. 

WHAT FEES WILL I PAY?

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.   

WHAT ARE YOUR LEGAL OBLIGATIONS TO ME WHEN PROVIDING RECOMMENDATIONS? HOW ELSE DOES YOUR FIRM MAKE MONEY AND WHAT CONFLICTS OF INTEREST DO YOU HAVE?

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.   

  • Affiliated Companies: We do not have affiliate broker-dealers or investment advisors that provide investment recommendations or advice.
  • Third-Party Payments: We do not receive payments, credit or other reductions in our costs from third-party product managers, product sponsors, intermediaries or platform providers.
  • Proprietary Products: We are not financial product issuers or manufactures that create or distribute proprietary products.
  • Revenue Sharing: We do not engage in revenue sharing with any manager or sponsor of any investment products;
  • Principal Trading: We do not engage in principal trading whereby we would buy/sell from a retail investment and then sell/buy from another retail investor from our own proprietary account.

 

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.

HOW DO YOUR FINANCIAL PROFESSIONALS MAKE MONEY?

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.

DO YOU OR YOUR FINANCIAL PROFESSIONALS HAVE LEGAL OR DISCIPLINARY HISTORY?

Yes. Please visit www.Investor.gov/CRS for a free and simple search tool to research us and our financial professionals.

ADDITIONAL INFORMATION

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

Website: www.rkca.com

Phone: 513-371-5533

U.S. Mail: 1077 Celestial St. Cincinnati, Ohio 45202.  

CONVERSATION STATERS

Ask your financial professional:

  • Given my financial situation, should I choose a brokerage service? Why or why not?
  • How will you choose investments to recommend to me?
  • What is your relevant experience, including your licenses, education and other qualifications? What do these qualifications mean?
  • Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
  • How might your conflicts of interest affect me, and how will you address them?
  • Who is my primary contact person?
  • Is he or she a representative of an investment adviser or a broker-dealer?
  • Who can I talk to if I have concerns about how this person is treating me?

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