Legal & Regulatory

Effective 3/1/2018  Signal Hill Capital Group LLC (CRD 122782) has merged into Sagent Advisors, LLC (CRD 129919) and combined company was renamed DCS Advisory.

Important Information about opening a new account and DCS Advisory’s Business Continuity Plan

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. Accordingly, in order to verify the identity of its customers, DCS Advisory will ask for the account owner’s name, address, and relevant other information when opening accounts.

Summary of DCS Advisory Business Continuity Planning – Disclosure to Clients

DCS Advisory has developed a Business Continuity Plan setting forth 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. With that in mind, we are providing you with this information about our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do, you should call our alternative number (443-478-2400) or go to our web site at

Our Business Continuity Plan 

We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; and regulatory reporting.

The DCS Advisory Business Continuity Plan is reviewed periodically and subject to change without notice. A written copy of the summary of the plan is provided to customers upon request.

DCS Advisory LLC is a wholly owned subsidiary of Daiwa Capital Markets America Holdings Inc., which is wholly owned and operated by Daiwa International Holdings Inc., a Daiwa Securities Group Inc. company.

DCS Advisory LLC, Member FINRA/SIPC