Business Continuity

UPDATED: January 2021

Doxa Capital, LLC has developed a business continuity plan outlining how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.

Contacting Us – If after a significant business disruption you cannot contact us through normal channels, you should contact Chase Lee, our Chief Compliance Officer, at 704.562.0473. If you cannot access us by this method, call the TD Ameritrade Institutional (TDAI) at 800.934.6124.

Our Business Continuity Plan – Our Firm’s policy is to respond to a Significant Business Disruption (“SBD”) by safeguarding employee’s lives and Firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the Firm’s books and records, and allowing our clients to invest through all vehicles that we have access to. In the event that we determine we are unable to continue our business, we will ensure that customers have the appropriate information to contact Doxa Capital in order to obtain information regarding their funds and securities. Our business continuity plan addresses: data backup and recovery for all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; regulatory reporting; and assuring our customers prompt communication regarding our alternate operations and that of Doxa Capital.

Varying Disruptions – Significant business disruptions can vary in their scope. The severity of the disruption can also vary from minimal to severe. If a disruption impacts our ability to access our office facilities, though all systems may be functioning, remote access to these facilities will be provided over the internet. If a disruption also renders the systems unusable, we will follow TDAI’s continuity plan to regain access to alternate systems. In the former scenario, we expect recovery and resumption of operations within hours; in the latter scenario recovery and resumption is expected within 48 hours. We plan to continue operations and to communicate to you the method by which to contact us. In the event that we determine we are unable to continue our business, we will ensure that customers have the appropriate information to contact Doxa Capital in order to obtain information regarding their funds and securities.

For more information – If you have questions about our business continuity plan, you can contact us at 703.638.8838 or Chase Lee, our Chief Compliance Officer, at chase.lee@doxacap.com. Please find TDAI’s continuity plan for more information about a continuance of systems here.

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