Diligence Us

Transparency, Accountability, and Regulatory Information

Published

August 29, 2025

Diligence Us: Complete Transparency Package

Invest Vegan LLC DBA Ethical Capital - Utah Registered Investment Adviser (CRD #316032)
Document Package Generated: August 31, 2025

πŸ“„ Download PDF Version - Complete documentation bundle including strategies, process, and due diligence as timestamped PDF document

Quick Navigation

For Institutional Investors: Start with our PRI DDQ and Investment Process

For Individual Clients: Review our Disclosures and Privacy Policy

For Compliance Teams: See Regulatory Status and Risk Management

Core Philosophy & Approach

We view ethical screening as a luxury, not a limitation. Companies that survive ethical screening are typically woven into the fabric of healthy social systems. Investing in businesses whose products and practices we can celebrate alongside their financial performance creates portfolios built to last.

Key Statistics & Performance Indicators

  • 57% of S&P 500 companies excluded through ethical screening
  • ~4,300 companies remain in our investable universe from ~11,000
  • 3,000+ companies excluded based on product and conduct criteria

PRI Due Diligence Questionnaire

πŸ“‹ Complete PRI DDQ - Comprehensive responsible investment framework response

Last Updated: July 2025
Format: Interactive web document with detailed responses to all PRI framework questions

Coverage Includes:

  • Strategy & Governance framework
  • Investment approach and exclusion criteria
  • Portfolio construction methodology
  • Active ownership and engagement practices
  • Climate change integration
  • Reporting and transparency commitments

Regulatory Disclosures

Form ADV - Investment Adviser Registration

πŸ“„ Form ADV Disclosures - Complete regulatory disclosures

Key Information:

  • Investment adviser registration details (CRD #316032)
  • Fee structures and investment minimums
  • Material business relationships and conflicts of interest
  • Disciplinary history (none)
  • Privacy policy and data protection practices

Regulatory Registration Status

  • Primary Regulator: Utah Division of Securities
  • SEC Registration: Not required (assets under management below threshold)
  • CRD Number: 316032
  • IARD Number: 316032
  • State Registration: Utah (active)
  • Registration Date: [To be updated with actual date]
  • Last Amendment: [To be updated with actual date]

Investment Process Documentation

Strategy Definitions

Investment Strategies:

Exclusion Criteria & ESG Integration

Complete Screening Policy - Comprehensive exclusion methodology and criteria

Investment Decision-Making Process

Complete Investment Process - Our systematic approach to ethical investing

Privacy & Data Protection

πŸ”’ Privacy Policy - Client data protection and privacy practices

Key Protections:

  • Data collection and usage policies
  • Information sharing limitations
  • Client rights and access procedures
  • Security measures and breach protocols

Terms of Service & Client Agreements

πŸ“‹ Terms of Use - Website and service terms

Coverage:

  • Service scope and limitations
  • Client responsibilities and obligations
  • Limitation of liability
  • Dispute resolution procedures

Risk Management Framework

Investment Risk Disclosures

All investments involve risk of loss, including loss of principal. Past performance does not guarantee future results. ESG investing may limit investment opportunities and affect performance relative to strategies that do not use such criteria. This information is not intended as investment advice and should not be used as the sole basis for investment decisions.

Risk Categories Monitored

  1. Market Risk: Equity market volatility and sector concentration
  2. ESG Risk: Exclusion criteria may limit diversification opportunities
  3. Operational Risk: Technology, personnel, and business continuity
  4. Regulatory Risk: Changes in investment adviser regulations
  5. Reputation Risk: ESG positioning and public advocacy

Risk Mitigation Strategies

  • Diversification: Across sectors, market capitalizations, and geographies
  • Research Process: Fundamental analysis with multiple validation points
  • Position Sizing: Concentration limits and rebalancing protocols
  • Compliance Monitoring: Regular review of regulatory requirements
  • Insurance Coverage: Professional liability and cyber security protection

Performance & Reporting

Transparency Commitments

  • Quarterly Client Reports: Portfolio performance, holdings, and attribution analysis
  • Annual Impact Reporting: ESG outcomes and engagement activities
  • Public Research: Open-source methodology and screening criteria
  • Regulatory Filings: Timely Form ADV updates and state filings

Benchmarking & Attribution

  • Primary Benchmark: S&P 500 Total Return Index
  • ESG Benchmark: MSCI KLD 400 Social Index (when appropriate)
  • Performance Attribution: Sector, security selection, and ESG impact analysis
  • Risk-Adjusted Metrics: Sharpe ratio, maximum drawdown, and volatility analysis

Business Continuity & Operational Resilience

Key Personnel

  • Chief Investment Officer: Sloane Ortel (sole proprietor)
  • Primary Contact: All operations managed by Chief Investment Officer

Technology Infrastructure

  • Primary Custodians: Altruist and Schwab
  • Portfolio Management System: Garden (internally developed application)
  • Data Security: Encrypted communications and secure client portals
  • Backup Procedures: 3-2-1 backup strategy with daily backups and disaster recovery protocols

Contact Information & Regulatory Inquiries

Primary Business Address

Invest Vegan LLC DBA Ethical Capital
90 N 400 E
Provo, UT 84606
Email: hello@ethicic.com
Contact: Schedule consultation

Contact Information

For all inquiries:

  • Chief Investment Officer: hello@ethicic.com
  • General Contact: Available through website contact form

Document Verification & Updates

Document Control

  • Current Version: 1.0 (August 31, 2025)
  • Review Frequency: Annual review at fiscal year end
  • Next Scheduled Review: August 31, 2026
  • Responsible Party: Chief Investment Officer

Verification Procedures

All information in this due diligence package has been:

  • βœ… Reviewed by Chief Compliance Officer
  • βœ… Verified against regulatory filings
  • βœ… Cross-referenced with client agreements
  • βœ… Updated with latest material information

Change Log

  • Version 1.0 (August 31, 2025): Initial comprehensive due diligence package with accurate operational details
  • [Future updates will be logged here]