Disclosures

Doxa Capital, LLC is a Registered Investment Advisor (RIA). Registration with the SEC or State Securities Divisions (including, but not limited to Virginia, North Carolina, Maryland, and Florida) does not imply a certain level of skill or expertise. This website is only intended for clients and interested investors residing in states in which the Advisor is qualified to provide investment advisory services. Please contact Doxa Capital at 703-638-8838 to find out if the investment advisor is qualified to provide investment advisory services in the state where you reside. The Advisor does not attempt to furnish personalized investment advice or services through this website.

Information contained in Doxa’s marketing material should neither be construed as the provision of personalized investment advice nor as a guarantee that a certain level of results will be achieved. To the extent such marketing material contains references to performance or other objective criteria rankings with similarly situated investment advisers, such as assets under management, percentage of asset growth, or percentage growth in number of clients, please be advised that such information is provided in response to a questionnaire sent by the publisher of such rankings. Completion of the questionnaire is not mandatory and therefore rankings may exclude firms that may have ranked higher than Doxa Capital had they completed the questionnaire. Please visit www.adviserinfo.sec.gov or contact us at 703-638-8838 or by email or at 3100 Clarendon Blvd., Ste. 200, Arlington, VA 22201 to obtain a copy of Doxa’s disclosure document forms, the ADV Part 1, ADV Part 2a, and ADV Part2b, which contain important information on services, fees, investment methodology, conflicts of interest and related information.

Electronic Communications
The following is generally applicable to all electronic messages you receive from Doxa Capital, LLC (“Doxa”) and its representatives and investment and/or non-investment related material found on our, Doxa, website or any social media vehicle. Messages sent from a domain owned by Doxa Capital, LLC are confidential communications between sender and its intended recipient. We retain copies of messages and monitor them. Doxa reserves the right, to the extent permitted by applicable law, to monitor electronic communications and store such messages in a manner and at a location within Doxa's discretion. Unless otherwise agreed, an electronic message is not intended as an official document or confirmation, and we do not accept responsibility for, or guarantee it to be, accurate, timely, secure, error or virus-free. The information in this communication is provided purely as an informational courtesy. In the event of a conflict between this communication and official communications (i.e. statements, confirmations, etc.), the official communication controls Doxa makes no representation or warranty that electronic messages will be confidential. Electronic messages may be intercepted or accessed by unauthorized or unintended parties, may not arrive at the intended destination, or may not arrive in the form transmitted.

Third Party Data
The data contained in a communication may be obtained from a variety of sources and may be subject to change.  Doxa disclaims any and all liability for the information, including without limitation, any express or implied representations or warranties for information or errors contained in, or omissions from, the information. Doxa and its employees and officers shall not be liable for any loss or liability suffered by you resulting from the provision to you of the information or your use or reliance in any way on the information. U.S. Treasury Circular 230 Tax Notice: Doxa does not render advice on tax and tax accounting matters to clients.  This communication was not intended or written to be used, and it cannot be used by any taxpayer, for the purpose of avoiding penalties that may be imposed on the taxpayer under U.S. federal income tax laws.  Investors should consult their own legal, tax investment or other advisors, at both the onset of any transaction and on an ongoing basis to determine the laws and analyses applicable to their specific circumstances.

Conflict of Interest
Doxa Capital, LLC does not receive any commissions and/or compensation by any entity for using a specific financial instrument. Furthermore, no employee at Doxa receives commissions in any form in exchange for a product bias.

Analysts and/or strategists of Doxa Capital, LLC hereby certify that their views about the financial markets are accurately expressed and that they have not received and will not receive direct or indirect compensation in exchange for expressing specific recommendations or views in this report. Analysts and/or strategists of Doxa Capital, LLC receive compensation based upon various factors, including quality of research, client feedback, competitive factors, and overall firm revenue. Doxa Capital, LLC does not directly render its investment services to companies covered or recommended by Doxa Research. If such business was engaged, Doxa Research would cease coverage of the company involved.

Investment Risk
Please remember that all investments carry some level of risk, including the potential loss of principal invested. They do not typically grow at an even rate of return and may experience negative growth. As with any type of portfolio structuring, attempting to reduce risk and increase return could, at certain times, unintentionally reduce returns. Keep in mind, like all investing, that multi-asset investing does not assure a profit or protect against loss.

Doxa Capital, LLC (herein ‘Doxa’) makes no representation, and it should not be assumed, that past investment performance is an indication of future results. Moreover, wherever there is the potential for profit there is also the possibility of loss. Certain of Doxa’s strategies involve advanced investments that can be illiquid and are subject to a substantial risk of loss and are not suitable for many investors. Options are not for everyone. Before engaging in the purchasing or writing of options, investors should understand the nature and extent of their rights and obligations and be aware of the risks involved, including the risks pertaining to the business and financial condition of the issuer and the underlying stock. A secondary market may not exist for these securities. Where an investment is denominated in a currency other than the investor’s currency, changes in rates of exchange may have an adverse effect on the value, price of, or income derived from the investment.

No model or group of models can offer a precise estimate of future returns available from capital markets. We remain cautious that rational analytical techniques cannot predict extremes in financial behavior, such as periods of financial euphoria or investor panic. Our models rest on the assumptions of normal and rational financial behavior. Forecasting models are inherently uncertain, subject to change at any time based on a variety of factors and can be inaccurate. Doxa Capital, LLC believes that the utility of this information is highest in evaluating the relative relationships of various components of a globally diversified portfolio. As such, the models may offer insights into the prudence of over or under weighting those components from time to time or under periods of extreme dislocation. The models are explicitly not intended as market timing signals. Forecasting represents predictions of market prices and/or volume patterns utilizing varying analytical data. It is not representative of a projection of the stock market, or of any specific investment.

Investment in Global, International or Emerging markets, directly or indirectly, may be significantly affected by political or economic conditions and regulatory requirements in a particular country. Investments in non-U.S. markets, directly or indirectly, can involve risks of currency fluctuation, political and economic instability, different accounting standards and foreign taxation. Such securities may be less liquid and more volatile.

Bond investors should carefully consider risks such as interest rate, credit, default and duration risks. Greater risk, such as increased volatility, limited liquidity, prepayment, non-payment and increased default risk, is inherent in portfolios that invest in high yield (“junk”) bonds or mortgage-backed securities, especially mortgage-backed securities with exposure to subprime mortgages. Generally, when interest rates rise, prices of fixed income securities fall. Interest rates in the United States are at, or near, historic lows, which may increase a Fund’s exposure to risks associated with rising rates. Investment in non-U.S. and emerging market securities, directly or indirectly, is subject to the risk of currency fluctuations and to economic and political risks associated with such foreign countries.

Research Reports
The information and data contained in reports generated from Doxa Capital, LLC and its representatives are from sources considered reliable, but their accuracy and completeness is not guaranteed. Reports have been prepared for illustrative purposes only and is not intended to be used as a substitute for monthly transaction statements you receive on a regular basis from Doxa Captial, LLC or TD Ameritrade Institutional.

TD Ameritrade Institutional
TD Ameritrade Institutional is a division of TD Ameritrade, Inc., member FINRA/SIPC & TD Ameritrade Clearing, Inc., member FINRA/SIPC. TD Ameritrade Trust Company is a non-depository trust company, acts as a custodian and/or directed trustee and is not a member of FINRA or SIPC. Brokerage services provided exclusively by TD Ameritrade, Inc. TD Ameritrade, Inc., TD Ameritrade Clearing, Inc., and TD Ameritrade Trust Company are subsidiaries of TD Ameritrade Holding Corporation.

All incoming correspondence should respect Doxa Capital and the values it was founded upon.

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