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Ph: 07 834 6075 | Email: ahart@hartcapitalpartners.co.nz

Important Information | Privacy Policy

Important Information

Hart Capital Partners Limited Stage 1 Disclosure

Hart Capital Partners Limited (FSP 16981) is a Financial Advice Provider (FAP) licensed and regulated by the Financial Markets Authority to provide financial advice.

Nature and scope of the advice

Hart Capital Partners provides financial advice relating to investments. We also provide an investment and retirement planning service.

We provide financial advice on a wide variety of investment products including but not limited to direct shares, direct bonds (listed and unlisted), exchange traded funds (ETFs), managed funds, and a Discretionary Investment Management Service (DIMS) facility.

We provide advice on the products of the following providers:

  • The financial products found in the NZX Wealth wrap service platform
  • ASB Group Investments Limited
  • DIMS provided by Hart Capital Partners Limited

We recommend the use of the wrap platform service provided by NZX Wealth for holding client investments.

Fees or expenses

Hart Capital Partners Ltd will charge a fee for the financial advice that is provided to you. The fee charged will depend on the nature of the financial advice and service that we provide.

  • Ongoing advice/monitoring fee: We will charge you an annual fee to cover expenses involved in the provision of a DIMS service. The exact fee we charge will depend on the asset allocation and size of the investment portfolio.
  • Custodian fees: Investments held in the NZX Wealth wrap platform are subject to custodian fees.

You will need to pay brokerage on share transactions when made. These fees are payable to the custodian and not Hart Capital Partners Limited.

We may charge you a fee for other costs incurred in the process of providing our advice and services to you. We will discuss and agree any additional costs with you prior to incurring them.

The exact fees we will charge and when these are payable will be confirmed at the time the advice is provided.

Conflicts of interest and commissions

Our advisers receive a fixed annual salary as an employee of Hart Capital Partners Limited. They are also eligible to receive dividends based on the overall profitability of the business.

All commissions we receive in relation to your investments held in the NZX Wealth wrap platform will be rebated to your account.

To ensure our advisers prioritise our clients' interests:

  • We follow an advice process that ensures our recommendations are made appropriately, based on clients' goals and circumstances.
  • All our advisers undergo annual training about how to manage conflicts of interest.
  • We maintain registers of conflicts of interests and the gifts and incentives we receive. These registers are monitored regularly, and additional training is provided as required.
  • We undertake an annual independent Compliance Assurance Review by Strategi.
Complaints handling and dispute resolution

If you are not satisfied with our service or financial advice, please tell us as soon as possible.

Call: 07 834 6075
Email: ahart@hartcapitalpartners.co.nz
Write to: PO Box 9578, WMC, Hamilton 3240

When we receive a complaint: We will consider your complaint and let you know how we intend to resolve it. Where possible, we try to resolve your complaint immediately.

  • If we are unable to resolve your complaint immediately, we will acknowledge your complaint within 2 business days. We may contact you to get further information about your complaint.
  • We aim to resolve complaints within 10 working days of receiving them. If we need more time to investigate your complaint, we will let you know when you can expect to receive a response to your complaint.
  • We will contact you by phone, email or letter to let you know whether we can resolve your complaint and how we propose to do so.

If we cannot agree on how to fix the issue, or if you decide not to use our internal complaints process, you can contact our external disputes resolution scheme, Insurance and Financial Services Ombudsman Scheme (IFSO). IFSO provides a free and independent dispute resolution service that may help to resolve your complaint if we haven't been able to do so to your satisfaction. To contact IFSO:

Call: 0800 808 222
Email: info@ifso.nz
Write to: Insurance and Financial Services Ombudsman Scheme
PO Box 10-845
Wellington 6143
NEW ZEALAND

Duties information

Hart Capital Partners Limited and our advisers have duties under the Financial Markets Conduct Act 2013 relating to the way that we give advice.

We are required to:

  • give priority to your interests;
  • exercise care, diligence, and skill;
  • meet standards of competence, knowledge and skill set by the Code of Professional Conduct for Financial Advice Services
  • meet standards of ethical behaviour, conduct and client care set by the Code of Professional Conduct for Financial Advice Services.

Contact details

Hart Capital Partners Ltd, FSP 31486, trading as Hart Capital Partners Ltd is the Financial Advice Provider.

Call: 07 834 6075
Email: ahart@hartcapitalpartners.co.nz
Write to: PO Box 9578, WMC, Hamilton 3240