Compliance

Led by our dedicated chief compliance officer, Laurie Hayek, Argent Capital^® operates under a culture of compliance that encompasses conservative, transparent business processes and a written code of ethics that governs client interactions. Argent employees participate in ongoing compliance training and certify to adhere to any obligations under our compliance policies.

Argent meets the compliance standards for the CFA Institute’s Global Investment Performance Standards (GIPS) for performance measurement and reporting. A third party has completed the verification of the firm and performance examinations of the Argent Large Cap Growth Equity Composite for periods beginning January 1, 2003, and the Small Cap Core Equity Composite since its inception on January 1, 2008.

For more information about Argent’s compliance disclosure, click on the links below:

Argent ADV I
ADV II Disclosure Brochure
Firm Verification Report
Argent Large Cap Growth Equity Composite Verification Report
Argent Small Cap Core Equity Composite Verification Report

*Argent Capital Management, LLC (“Argent”) is an independent investment management firm comprised of two distinct business entities: the Non-Wrap Fee/SMA Business (“Principal Business”), which does not include wrap fee/SMA clients; and the Wrap Fee/SMA Business (“Wrap Business”), which includes only wrap fee/SMA clients.  The Principal Business claims compliance with the Global Investment Performance Standards (GIPS). Verification and performance examination reports are available upon request along with a complete list and description of composites by contacting our Chief Compliance Officer, Laurie Hayek, at lhayek@argentcapital.com or 314-561-3549.