Doxa Capital, LLC has a business continuity plan for responding to events that significantly disrupt our business. Because the timing and impact of disruptions are unpredictable, we’ll stay flexible and respond to events as they unfold.
Contacting us
If a significant business disruption keeps you from reaching us through the usual channels, call Chase Lee, our Chief Compliance Officer, at 704-562-0473. If you can’t reach us that way, call Charles Schwab, the custodian of your accounts, at 800-647-5645.
Our plan
Our policy is to respond to a significant business disruption by safeguarding our employees and the firm’s property, assessing our financial and operational position, recovering and resuming operations quickly, protecting the firm’s books and records, and making sure you can still reach your accounts at Charles Schwab. The plan covers data backup and recovery for all mission-critical systems; financial and operational assessments; alternate ways to communicate with clients, employees, and regulators; alternate locations for our team; and regulatory reporting.
Varying disruptions
Disruptions vary in scope and severity. If one affects only our offices, our systems stay available remotely, and we expect to resume operations within hours. If it also affects our systems, we’ll follow Schwab’s continuity plan to regain access through alternate systems, and we expect to resume operations within 48 hours. Either way, we’ll let you know how to reach us. If we determine that we can’t continue our business, we’ll make sure you have the information you need about your funds and securities.
More information
If you have questions about our business continuity plan, call us at 703-638-8838 or email Chase Lee at chase.lee@doxacap.com. For how Schwab keeps its systems running, see Schwab’s business continuity plan.