Form ADV Part 2A - Firm Brochure
SEC-filed brochure covering services, fees, conflicts, and business practices.
Effective July 6, 2026 - SEC filed copy - Current as of July 8, 2026
Public disclosure repository
Disclosures
Current legal, regulatory, service, technology, and risk disclosures for clients and prospective clients of Protocol Wealth.
Last updated July 8, 2026Machine-readable manifest
Registration and Incorporation
Protocol Wealth, LLC is an SEC-registered investment adviser (CRD #335298). Registration does not imply a certain level of skill or training. Investing involves risk, including possible loss of principal; past performance does not guarantee future results. These documents are provided for informational purposes and are incorporated by reference into your Client Advisory Agreement where that agreement says so. Where a document is also filed with the SEC, the version on the SEC's Investment Adviser Public Disclosure site controls.
Adviser brochure supplements for individual supervised persons are delivered privately where required; they are not SEC-filed public PDFs.
Form CRS
Client Relationship Summary
A short summary of our services, fees, conflicts, and standard of conduct.
Firm Disclosures Summary
Advisory Relationship
Protocol Wealth acts as a fiduciary and is required to act in clients' best interests. A client relationship is established only through a signed written advisory agreement. Website content, diagnostics, calculators, and educational materials are general information, not personalized investment advice.
Risk Disclosure
All investments involve risk, including possible loss of principal. Digital assets, derivatives, private or illiquid assets, DeFi strategies, and concentrated positions involve additional risks. No strategy can guarantee profit or avoid loss.
Broker-Dealer Affiliation
Certain associated persons of Protocol Wealth, including Jason Leupold and Nick Rygiel, are registered representatives of Finalis Securities LLC, member FINRA/SIPC, a separate unaffiliated broker-dealer, and may receive commission-based compensation. This is a conflict of interest; full detail is in our Legal & Regulatory Disclosures and Form ADV Part 2A.
AI and Technology
We use technology, analytics, automation, and AI-assisted tools to support research, drafting, operations, and educational communications. Client-facing recommendations and regulated publications remain the responsibility of Protocol Wealth personnel. AI tools do not make final investment decisions or transfer client assets.
Jurisdiction and Professional Advice
Protocol Wealth provides advisory services only where properly registered or exempt. We do not provide legal or tax advice. Clients should consult qualified legal, tax, accounting, and other professionals for their specific circumstances.
Disclosure Documents
Showing 16 of 16 public disclosure entries.
Regulatory
Form CRS - Client Relationship Summary
A short SEC-filed summary of our relationship, services, fees, and conflicts.
Effective July 6, 2026 - SEC filed copy - Current as of July 8, 2026
Services & Fees
Fee & Billing Disclosure
How advisory, planning, retainer, digital-asset, and project fees are calculated and collected.
Effective July 8, 2026 - v1.1 - Current as of July 8, 2026
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Financial Planning Services
Scope, process, fees, and limitations of non-discretionary financial planning.
Effective July 8, 2026 - v1.1 - Current as of July 8, 2026
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Retainer, Project & Institutional Services
Additional terms for retainers, project work, treasury, and institutional engagements.
Effective July 8, 2026 - v1.0 - Current as of July 8, 2026
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Digital Assets & Derivatives
Digital Assets & Onchain Activity Risk Disclosure
Risks of crypto assets, DeFi, staking, lending, smart contracts, custody, and onchain activity.
Effective July 8, 2026 - v1.0 - Current as of July 8, 2026
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Options, Futures & Derivatives Risk Disclosure
Risks of options, futures, margin, leverage, and derivatives strategies.
Effective July 8, 2026 - v1.0 - Current as of July 8, 2026
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OTC Digital Asset Derivatives, ECP & Counterparty Risk
Elective OTC crypto-linked options, swaps, borrow/lend, ECP, counterparty, and tri-party custody risks.
Effective July 8, 2026 - v1.0 - Current as of July 8, 2026
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Custody, Account Control & Digital-Asset Safekeeping
How qualified custodians, wallets, client control, and digital-asset safekeeping are framed.
Effective July 8, 2026 - v1.0 - Current as of July 8, 2026
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Privacy & Security
Privacy Policy
How we collect, use, share, and protect information.
Effective July 8, 2026 - site policy - Current as of July 8, 2026
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Cybersecurity Best Practices
Security practices maintained by Protocol Wealth and expected client safeguards.
Effective July 8, 2026 - v1.1 - Current as of July 8, 2026
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Business Continuity, Trusted Contact & Financial-Exploitation
Continuity of service, trusted-contact use, and protective financial-exploitation measures.
Effective July 8, 2026 - v1.1 - Current as of July 8, 2026
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AI & Technology
AI & Technology Use Disclosure
Use of software, analytics, automation, and AI-assisted workflows.
Effective July 8, 2026 - v1.0 - Current as of July 8, 2026
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Legal & Conflicts
Terms of Service
Terms governing use of the website and related public digital services.
Effective July 8, 2026 - site terms - Current as of July 8, 2026
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Legal & Regulatory Disclosures
Registration status, Finalis affiliation, dispute resolution, and additional legal terms.
Effective July 8, 2026 - v1.1 - Current as of July 8, 2026
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Affiliate Referral & Third-Party Provider Conflicts
Client choice, compensation, and conflicts when affiliated or third-party providers are recommended.
Effective July 8, 2026 - v1.0 - Current as of July 8, 2026
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Questions
Contact [email protected] for disclosure or regulatory document requests.