Disclosures
Regulatory disclosures and firm documents.
Registration status
GateKeeper Investment Advisers, LLC is an advisory practice / DBA of investment adviser representatives of Royal Fund Management, LLC, an SEC-registered investment adviser. Advisory services are offered only through Royal Fund Management, LLC. GateKeeper Investment Advisers, LLC is not separately registered with the SEC as an investment adviser.
Fiduciary standard
When providing investment advisory services through Royal Fund Management, LLC, our investment adviser representatives are subject to a fiduciary duty under the Investment Advisers Act of 1940, including duties of care and loyalty. This does not mean that all services, third-party tools, or outside professionals referenced on this website are provided by Royal Fund Management or are covered by an advisory agreement.
ERISA 3(21) and 3(38) plan roles
Where engaged on a retirement plan, GateKeeper serves as an ERISA Section 3(21) adviser, providing non-discretionary investment advice to the plan sponsor as described in the applicable service agreement. GateKeeper does not serve as the ERISA Section 3(38) investment manager for plan assets.
Certain arrangements may involve appointment of an ERISA Section 3(38) investment manager for plan investment selection and monitoring, as described in the applicable service agreement. Plan sponsors retain responsibility for prudently selecting and monitoring service providers.
Compensation
GateKeeper is fee-only. Compensation comes solely from stated advisory fees disclosed in Form ADV Part 2A and in the client advisory agreement. We do not receive commissions, referral fees, insurance commissions, solicitor fees, or other third-party compensation in connection with advisory services.
Regulatory statement
Registration with the SEC does not imply a particular level of skill or training and does not constitute an endorsement by the SEC. Royal Fund Management only transacts business in the U.S. in states where it is properly notice filed or is excluded or exempted from registration requirements. This website is for informational purposes only and does not constitute personalized investment, legal, tax, or accounting advice. Investing involves risk, including the possible loss of principal. Past performance is not a guarantee of future results. Third-party links are provided for convenience only, and Royal Fund Management and GateKeeper do not guarantee the accuracy or completeness of third-party information.
For information pertaining to the registration status of Royal Fund Management, LLC, please contact the state securities regulators for those states in which it maintains a registration filing, or visit www.adviserinfo.sec.gov.
Form ADV Part 2A
Form ADV Part 2A is the firm brochure filed with the SEC. It contains information about the advisory services offered, compensation, and material conflicts of interest. A copy is available below, or by calling 1-214-288-5018.
View Form ADV Part 2A (PDF)Privacy
Our privacy notice describes how nonpublic personal information is collected, used, shared, and safeguarded. Our cookie policy explains the tracking technologies used on this website.
Investment risk
All investing involves risk, including the possible loss of principal. There is no assurance that any investment strategy will be successful or that objectives will be achieved. Past performance is not a guarantee of future results.
Website content
The content on this website is provided for informational and educational purposes only. It does not constitute an offer to sell or a solicitation to buy any security, and it is not investment, legal, or tax advice. Please consult qualified professionals regarding your specific circumstances.
Figures cited on this website are documented on our sources and references page.