SEC Rule 606 Disclosure

05.2025

 

 

 Oakpoint Solutions, LLC., member FINRA/SIPC [doing business as Oakpoint Advisors, LLC.] does not custody client funds or transact on behalf of any customer.

 

BTIG LLC, member FINRA/SIPC, has provided the data concerning the routing of order flow [the “Data”] on the order routing disclosure website. Although BTIG has used commercially reasonable efforts to provide accurate data, the data is provided to you on an “as is” basis.

 

BTIG is committed to seeking to obtain best execution when handling your orders. You have asked, unless you designate otherwise, that we handle orders you place with BTIG on a “not held” basis. When an order is designating an order as “not held”, this gives BTIG the flexibility and discretion to act in your best interest by working your orders to obtain the best possible price. “Not held” orders are not subject to the SEC Order Handling Rules.

 

Unless you indicate otherwise, this understanding applies regardless of the method you use to communicate your order including, but not limited to telephone, instant messenger [“IM”]or FIX transmission.

 

If you no longer wish to have your orders handled on a “not held” basis, please inform us.

 

In addition, BTIG recognizes that orders for institutional accounts generally involve best-effort commitments. Firms handling such orders can negotiate specific terms and conditions which permit the firm to trade along side or ahead of an institutional order. Again, BTIG and OPA’s first priority is to act in the best interests of our customers at all times, and BTIG will seek best execution.

 

To review this information, please visit the order routing disclosure site.

 

If you have any questions, please contact us at compliance@oakpointadvisors.com