Ridgeline Municipal Strategies, LLC (“Ridgeline”) and its advisors are registered as Municipal Advisors with the U.S. Securities and Exchange Commission (“SEC”) and the Municipal Securities Rulemaking Board (“MSRB”). Our MSRB ID Number is K1294; our SEC ID Number is 867-02573. None of Ridgeline’ Associated Individuals have worked for a broker dealer within the past two years.
The MSRB is the primary rulemaking body for the municipal securities industry in general and municipal advisors in particular. Their website can be accessed at www.msrb.org. The website includes, among other things, the municipal advisory client brochure, which describes protections that are provided by the MSRB’s rules and the process for filing complaints with appropriate regulatory authorities. The client brochure can be accessed here.
Ridgeline serves a wide variety of clients that may have interests that could have a direct or indirect impact on interests of other Ridgeline’ clients. For example, Ridgeline owes a fiduciary duty and duty of care a to each of its municipal clients. These clients may, from time to time and depending on specific circumstances, have competing interests. In acting in the interests of multiple clients, Ridgeline could potentially face a conflict of interest arising from such competing client interests. Ridgeline fulfills its regulatory duty and mitigates such conflicts through dealing honestly and with the utmost good faith with all of its clients.
This website provides general information about the business practices and professionals of Ridgeline, is for informational purposes only, and does not constitute an offer to provide services by Ridgeline Municipal Strategies, LLC (“Ridgeline”) in any jurisdiction in which such offer would be unlawful under the securities laws of such jurisdiction. The information is not intended, and should not be construed, as municipal, legal, tax, financial, or investment advice. The statements contained herein are the opinions of Ridgeline and are not to be construed as guarantees, warranties or predictions of future events, or other outcomes. Ridgeline expressly disclaims all liability in respect to actions taken based on any or all of the information on this website. We do not provide and we do not offer to provide personalized consulting over the internet. The information provided has not been approved or verified by any state or federal securities authority.
No information regarded as confidential should be forwarded to Ridgeline prior to communicating directly with a professional associated with the firm. Additionally, no assurances can be made that electronic messages will only be viewed by the intended recipient.
The entire content included in this site, including but not limited to text, graphics or code is copyrighted as a collective work under the United States and other copyright laws, and is the property of Ridgeline. ALL RIGHTS RESERVED. Permission is granted to electronically copy and print hard copy portions of this site. Any other use, including but not limited to the reproduction, distribution, display or transmission of the content of this site is strictly prohibited, unless authorized by Ridgeline.
All trademarks, service marks and trade names of Ridgeline used on the site are trademarks or registered trademarks of Ridgeline.
There are links to third-party websites on the internet contained on this website. We provide these links because we believe these websites contain information that might be useful, interesting and or helpful to your professional activities. Ridgeline has no affiliation or agreement with any linked websites. The fact that we provide links to these websites does not mean that we endorse the owner or operator of the respective website or any products or services offered through these sites. We cannot and do not review or endorse or approve the information in these websites, nor does Ridgeline warrant that a linked site will be free of computer viruses or other harmful code that can impact your computer or other web-access device. The linked sites are not under the control of Ridgeline, and we are not responsible for the contents of any linked site or any link contained in a linked site. By using this website to search for or link to another site, you agree and understand that such use is at your own risk.
Ridgeline represents that in connection with the issuance of municipal securities, we may receive compensation for our services from an Issuer or Obligated Person, which compensation is contingent upon the successful closing of a transaction and/or is based on the size of a transaction. Consistent with the requirements of the MSRB Rule G-42, Ridgeline hereby discloses that such contingent and/or transactional compensation may present a potential conflict of interest regarding our ability to provide unbiased advice to enter into such transaction. Ridgeline represents that this conflict of interest will not impair Ridgeline’s ability to render unbiased and competent advice or to fulfill its fiduciary duty to the Issuer.
If Ridgeline becomes aware of any additional potential or actual conflict of interest after this disclosure, we will disclose the detailed information in writing to the Issuer in a timely manner.
Ridgeline has never been subject to any legal, disciplinary or regulatory actions.
Ridgeline’s most recent Form MA and each Affiliated Person’s most recent Form MA-I filed with the SEC may be accessed electronically at the following link.