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Atreyu Group (“Atreyu” or the “Firm”) is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer and is a member of both the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation. Investment advisory and brokerage services and fees differ and it is important for you to understand these differences. Free and simple tools are available to research firms and financial professionals at investor.gov/CRS or brokercheck.finra.org/. Investor.gov/CRS also provides educational materials about broker-dealers, investment advisers and investing.

 

What investment services and investment advice can you provide me?

 

Atreyu provides solely US equity execution-only services to primarily institutional investors/customers. The Firm is an introducing broker to a third-party clearing firm and does not hold any customer funds or securities.

Atreyu does not make any recommendations or provide any investment advice to investors. The Firm does not monitor accounts. In all cases the investor makes all buy/sell decisions. All customers must have at least $50 million in assets. The Firm has been registered with the SEC and a FINRA member since 2002 as an execution-only brokerage firm. Your primary contact person is a registered representative of the Firm. These qualifications mean that the Firm and your contact are experienced in executing equity transactions.

 

What fees will I pay? Are there any conflicts of interest?

 

Atreyu charges fees or commissions based on the number or market value of shares executed on any day that you give orders to trade equities. Commissions are typically based on cent(s) per share. The Firm and your primary contact person have a conflict of interest due to how the commissions are charged. Specifically, the Firm has an incentive to encourage the investor to trade in order to obtain higher trading commissions. Commissions will be charged whether you make or lose money on your investments, and will reduce the amount of money you make on your investments over time.

 

Help me understand how these fees and costs might affect my investments. Please provide an example.

 

If you give us a 1000 share purchase order for an equity that is $10 per share and the commission is $0.01 per share, then the Firm will charge you a commission of $10.00. So effectively the trade will cost you $10,010.00, including the cost of the shares plus the commission.

 

What are your legal obligations to me when providing recommendations? How else does your firm make money and what conflicts of interest do you have?

 

As discuss above, Atreyu does not provide any investment recommendations. Instead the Firm makes money by charging fees or commissions based on the number or market value of shares executed on any day. This way of making money creates some conflicts with your interests. Specifically, the Firm has an incentive to encourage investors to trade more in order to obtain higher trading commissions. You should understand and ask us about these conflicts because they can affect the services we provide you.

 

How do your financial professionals make money?

 

As discussed previously, the Firm and your primary contact person make money based on the number or market value of shares traded, and this arrangement creates the conflict of interest also described above.

 

Do you or your financial professionals have legal or disciplinary history?

 

Neither the Firm or your primary contact person have legal or disciplinary histories. Visit investor.gov/CRS or brokercheck.finra.org/ for a free and simple search tool to research our firm and our financial professionals.

 

Who is my primary contact person?

Your primary contact person can be reached at 310.907.6370. The person is always a registered representative of Atreyu. If you have concerns about how this person is treating you, then contact Larry Martel who is also a registered representative of Atreyu (Mr. Martel can be reached at 310.907.6370).