Belle Haven’s Form CRS – Relationship Summary

PDF icon Belle Haven Investments LP - CRS Relationship Summary August 2020.pdf


Belle Haven’s Form ADV Part 2A and Privacy Notice

PDF icon Belle Haven Investments, LP – Privacy Notice 2020

PDF icon Belle Haven Investments, LP - Form ADV Part 2A - August 24, 2020

This brochure provides information about the qualifications and business practices of Belle Haven Investments, LP.  If you have any questions about the contents of this brochure, please contact us at (914) 816-4633. The information in this brochure has not been approved or verified by the United States Securities and Exchange Commission or by any state securities authority. Additional information about Belle Haven Investments is also available on the SEC’s website at www.adviserinfo.sec.gov Business Continuity Plan

 

Business Continuity Plan

PDF icon Belle Haven Investments, LP - Business Continuity Disclosure Statement 2020

PDF icon Business Continuity Plan - Pandemic Statement of Preparation August 2020


 

Firm and Website Disclosures

Belle Haven Investments, LP (“Belle Haven” or the “Firm”) is defined as a fixed income manager of separately managed and sub-advised portfolios.  Belle Haven manages taxable and tax-sensitive accounts which invest in U.S. municipal, corporate, government, and treasury securities. Not included in the “Firm” is the broker-dealer group of Belle Haven Investments, LP.  The Firm’s investment philosophy seeks to capitalize on structural inefficiencies in the fixed income markets through a bottom-up approach; identifying undervalued securities due to transaction size, optionality, and/or credit, among other characteristics.

Belle Haven claims compliance with the Global Investment Performance Standards (“GIPS®”) and has been independently verified for the periods January 1, 2004 through December 31, 2018. The verification report is available upon request.  Verification assesses whether (1) the Firm has complied with all the composite construction requirements of the GIPS® standards on a Firm-wide basis and (2) the Firm’s policies and procedures are designed to calculate and present performance in compliance with the GIPS® standards.  Verification does not ensure the accuracy of any specific composite presentation. 

These contents are intended for educational purposes only and are not intended to be relied upon as a forecast, research, or investment advice, nor should it be considered as a recommendation, offer, or solicitation, for the purchase or sale of any security, or to adopt a specific investment strategy. 

The information is obtained from sources believed to be reliable, but its accuracy or completeness is not guaranteed. All opinions expressed within such contents are subject to change without notice. Nothing within such contents should be considered tax or legal advice, and investors should contact their tax professional for information regarding their tax situation. 

There may be less public information available on municipal fixed income securities than found on public corporations. Municipal bonds may be less liquid than corporate bonds. A portion of the income may be taxable by state or local taxing authorities. Municipal bond holders may also be subject to capital gains taxes and interest income may be subject to alternative minimum tax. Bonds are subject to credit, interest rate and inflation risks. In addition, the management of bond portfolios incur ongoing fees and expenses. 

Such material is not directed to, or intended for, distribution to or use by, any person or entity if Belle Haven Investments, LP is prohibited or restricted by any legislation or regulation in any jurisdiction from making it available to such person or entity. No such material may not be reproduced, re-distributed or passed to any other person or published in whole or in part for any purpose without the prior consent of Belle Haven Investments LP. © Copyright Belle Haven Investments 2020. All rights reserved. 


Social Media Disclosures

All content published or otherwise disseminated by Belle Haven Investments, L.P. (“Belle Haven”, or the “Firm”) on any social media platform, including, but not limited to, Twitter and LinkedIn (“Belle Haven Social Media Platforms”), is obtained from sources believed to be reliable, but its accuracy or completeness is not guaranteed. All opinions expressed on Belle Haven Social Media Platforms are subject to change without notice. Nothing published or otherwise disseminated on Belle Haven Social Media Platform should be considered tax or legal advice, or a recommendation of any investment strategy and investors should contact their tax professional for information regarding their tax situation. There may be less public information available on municipal fixed income securities than found on public corporations. Municipal bonds may be less liquid than corporate bonds. A portion of the income may be taxable by state or local taxing authorities. Municipal bond holders may also be subject to capital gains taxes and interest income may be subject to alternative minimum tax. Bonds are subject to credit, interest rate inflation risks. In addition, bonds incur ongoing fees and expenses.  There is a risk of loss inherent in any investment, past performances do not guarantee future results. Investors should seek such professional advice for their particular circumstances.         

Any securities identified and/or described on any Belle Haven Social Media Platform, do not represent all of the securities purchased, sold or recommended for client accounts, by Belle Haven. There should be no assumption that an investment in the securities identified on any Belle Haven Social Media Platform, was, or will be profitable in the future.  Belle Haven may or may not currently hold, or plan to hold securities discussed on Belle Haven Social Media Platforms.                                                   

Belle Haven is a registered investment adviser with the U.S. Securities and Exchange Commission (the “SEC”).  Prospective clients will be required to execute an Investment Management Agreement and/or related account opening documents (collectively, “Agreements”), with Belle Haven and/or a Registered Investment Advisor, operating under their own agreement with Belle Haven, before any investment management services are provided.  Should any information or opinion expressed on any Belle Haven Social Media Platform be inconsistent with the terms warranted in the Agreements, such Agreements shall take precedence.                                                                                    

Third-party content published, contributed, or posted on Belle Haven Social Media Platforms is solely the view of the contributing third-party, and not that of Belle Haven. Belle Haven cannot guarantee the appropriateness, accuracy or usefulness of any third-party content, or of any third-party hyper-link, nor is responsible for any unauthorized or copyrighted materials contributed by a third-party on any Belle Haven Social Media Platform. In using any of the links embedded within a Belle Haven Social Media Platform, you acknowledge that they are solely for your convenience, and do not imply any affiliations, sponsorships, endorsements, or representations by Belle Haven regarding the third-party website(s). Belle Haven is not responsible for the content, accuracy or privacy of these sites, and shall not be responsible or liable for any information, opinions, advice, products or services available on or through them. Belle Haven reserves the right to remove, alter or edit, any third-party content published, contributed, or posted on Belle Haven Social Media Platforms. 

The analysis contained in any publication published or otherwise disseminated by Belle Haven, on Belle Haven Social Media Platforms, is based on the data available at the time of publication which may become outdated or otherwise be superseded at any time without notice, and are the opinions of Belle Haven. Certain information contained on Belle Haven Social Media Platforms is based upon third-party sources, which Belle Haven believes to be reliable, but is not guaranteed for accuracy or completeness. Neither the SEC nor any other federal or state agency or non-U.S. commission has confirmed the accuracy or determined the adequacy of information published or disseminated by Belle Haven, on any Belle Haven Social Media Platform. Any publication or dissemination of information to the contrary is unlawful. Each reader acknowledges the contents published or otherwise disseminated by Belle Haven, on Belle Haven Social Media Platforms, is not directed to, or intended for distribution to or use by, any person or entity if Belle Haven is prohibited or restricted by any legislation or regulation in any jurisdiction from making it available to such person or entity. These contents may not be reproduced, re-distributed or passed to any other person or published in whole or in part for any purpose without the prior consent of Belle Haven Investments, LP.                                                                                                                                                                  

Awards and recognition referenced on Belle Haven Social Media Platforms are produced by firms other than Belle Haven. Criteria used to determine these awards may vary depending on the organization presenting the award. Criteria used by firms may be mentioned and outlined for reference purposes only. Belle Haven cannot guarantee the accuracy of any other firm’s ranking or ranking methodology. For further information on our strategies or awards, please contact service@bellehaven.com . 


Order Routing

Disclosure Pursuant to SEC Rule 606 - Order Routing

Pursuant to the Securities and Exchange Commission (“SEC”) Rule 606, Belle Haven Investments, LP (“Belle Haven”) is obligated to disclose, on a quarterly basis, certain statistical information regarding its order routing practices.  Belle Haven Investments, LP routes customer orders in equity and option securities to its clearing firm, Pershing, LLC, for execution.  

Belle Haven Investments, LP strives to achieve the best possible execution price for its clients at all times. For further details regarding how your order was routed, please contact us, in writing, with the details of your trade inquiry.   We will be happy to provide that information.  

Also, specific information regarding our order routing is available at the website of our clearing broker, Pershing, LLC, http://www.orderroutingdisclosure.com.