Carret Asset Management LLC (“Carret”) is an SEC registered investment adviser located in New York, New York.  Carret and its representatives are in compliance with the current filing requirements imposed upon SEC registered investment advisers by those states in which Carret maintains clients. Carret may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. For information pertaining to the registration status of Carret, please contact the SEC or the state securities law administrators for those states in which Carret maintains a notice filing.

 


Carret’s web site is limited to the dissemination of general information pertaining to its advisory services, together with access to additional investment-related information, publications, and links. Accordingly, the publication of Carret’s web site should not be construed by any consumer and/or prospective client as a solicitation to effect, or attempt to effect transactions in securities, or the rendering of personalized investment advice for compensation. Any subsequent, direct communication with a prospective client shall be conducted by a representative. 

 


A copy of Carret’s current written disclosure statement discussing business operations, services, and fees is available from Carret upon written request. Carret does not make any representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party, whether linked to Carret’s web site or incorporated herein, and takes no responsibility therefore. All such information is provided solely for convenience purposes only and all users thereof should be guided accordingly.

 


Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended or undertaken by Carret) or product made reference to directly or indirectly by Carret in its web site, or indirectly via a link to an unaffiliated third party web site, will be profitable or equal the corresponding indicated performance level(s). Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client or prospective client’s investment portfolio. Historical performance results for investment indices and/or categories generally do not reflect the deduction of transaction and/or custodial charges, the deduction of an investment management fee, nor the impact of taxes, the incurrence of which would have the effect of decreasing historical performance results.

 


Certain portions of Carret’s web site (i.e. newsletters, articles, commentaries, etc.) may contain a discussion of, and/or provide access to Carret’s (and those of other investment and non-investment professionals) positions and/or recommendations as of a specific prior date. Due to various factors, including changing market conditions, such discussion may no longer be reflective of current position(s) and/or recommendation(s). Moreover, no client or prospective client should assume that any such discussion serves as the receipt of, or a substitute for, personalized advice from Carret or from any other investment professional. Carret is neither an attorney nor an accountant, and no portion of the web site content should be interpreted as legal, accounting or tax advice.