Compliance & Regulatory Information

Claro Advisors LLC ("Claro") is a Registered Investment Advisor with the U.S. Securities and Exchange Commission ("SEC") based in the Commonwealth of Massachusetts. Registration of an Investment Advisor does not imply any specific level of skill or training.

Claro provides investment advisory and related services for clients nationally. Claro will file and maintain all applicable licenses as required by the state securities boards and/or the Securities and Exchange Commission ("SEC"), as applicable. Claro renders individualized responses to persons in a particular state only after complying with the state's regulatory requirements, or pursuant to an applicable state exemption or exclusion.

This website is intended to provide general information about Claro. It is not intended to offer investment advice. Information regarding investment products and services are provided solely to read about our investment philosophy and to be able to contact us for further information.

Market data, articles and other content on this website are based on generally-available information and are believed to be reliable. Claro does not guarantee the accuracy of the information contained on this website. The information is of a general nature and should not be construed as investment advice.

Claro will provide all prospective clients with a copy of our current Form ADV, Part 2 ("Brochure") prior to commencing an Advisory relationship. Existing clients will receive a copy on an annual basis. However, at any time, you can view our current Form ADV, Part 2 ("Brochure") on our website. In addition, you can Contact Us to request a hard copy.

Additional information about Claro and its advisory persons are available on the SEC’s website at www.adviserinfo.sec.gov.

 If you have any questions regarding Compliance and Regulatory information, please Contact Us.

Summary of our Business Continuity Plan

Claro Advisors has a plan in place to quickly recover and resume business operations after any significant business disruption. Claro’s Business Continuity Plan addresses such important considerations as to how we safeguard our employees, protect the firm's books and records, and allow our customers to continue to access and transact business in their accounts.

 In developing our Business Continuity Plan, Claro has considered the impact of a significant business disruption on critical suppliers, contractors, banks, and counter-parties as well of the potential impact on our regulatory reporting obligations. Specific elements of Claro’s Business Continuity Plan include electronic data back- up and recovery; alternative access to all mission-critical technology systems; financial and operational assessments; alternative means of communicating with customers, employees, critical suppliers, and regulators; alternative physical location of employees; and assuring our customers prompt access to their funds and securities.

Claro's Business Continuity Plan provides for the protection of critical client information and will permit us to resume operations as quickly as possible, given the scope and severity of the disruption. Our Custodian Bank, Fidelity Investments, backs up our important client records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our Fund Administrator and Custodian Bank that its objective is to restore its own operations, complete existing transactions, and accept new transactions and payments within a reasonable period of time. Depending on the severity of the disruption, it is possible that client orders and requests for funds and securities could be delayed during this time. Your product sponsor also maintains records related to your investments and account holdings and backs up important records in accordance with its business continuity plan. For more information on your product sponsor's contingency plan, please contact them directly at the telephone number provided on your statements.

Claro’s plan takes into account both internal and external business disruptions. Internal business disruptions affect only the firm's ability to communicate and do business, such as a fire or loss electrical power in the office or building. In the event of an internal business disruption, the firm will use all efforts to continue to conduct business as usual by utilizing alternative communication methods (such as remote terminal access, cell phones, etc...). If business operations cannot reasonably be conducted at Claro’s current location, Claro has made arrangements for operations to continue at an alternate location. Regular operations will resume as soon as personnel can access the alternate site. External business disruptions are events that cause a wide-scale, regional disruption in essential services; prevent the operation of the securities markets or a number of firms, such as a terrorist attack or a natural disaster. In the event of such a disruption, Claro will make its best attempts to continue to conduct business as usual by moving operations to an alternative location outside the affected area and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.

In all cases, Claro will resume normal business operations as soon as it is able to do so, based on the type and the extent of the disrupting event. If the business disruption is so severe as to prevent us from remaining in business, our customers will have prompt access to their funds and securities.

Communication:

In the event that you are unable to reach Claro Advisors at our main number, you may reach us or obtain more information as follows:

  • You may call Claro at the following alternate telephone number: (617) 455-1902.
  • You may send an e-mail to Claro via the firm's contact page at www.claroadvisors.com/contact
  • You may contact your custodian/product sponsor directly at the number listed on your most recent statement. If you do not have a copy of your statement, Fidelity may be reached at 800-544-6666.

Any questions regarding Claro’s Business Continuity Plan should be addressed to:

Jennifer Street, Chief Operating and Compliance Officer

Claro Advisors, LLC.
185 Dartmouth St, 6th Floor
Boston, MA 02116

Phone: (617) 379-3270

Mobile: (617) 455-1902

Fax: (617) 379-3270

Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

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Claro Advisors, LLC
185 Dartmouth St., 6th Floor
Boston, MA 02116

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  • Phone:
    (617) 379-3270
  • Toll Free:
    (800) 604-2838
  • Fax:

    (866) 920-4359

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Disclosure: Claro Advisors LLC ("Claro") is a Registered Investment Advisor with the U.S. Securities and Exchange Commission ("SEC") based in the Commonwealth of Massachusetts. Registration of an Investment Advisor does not imply any specific level of skill or training. Information contained herein is for educational purposes only and is not to be considered investment advice. Claro provides individualized advice only after obtaining all necessary background information from a client. This report is not a financial plan and is not intended as a solicitation or advice to purchase specific investments, but the information provided can assist you in evaluating your current financial situation and your ability to achieve your investment goals. Any projection of investment outcomes is hypothetical in nature, does not reflect actual investment results, and is not a guarantee of future results. Similarly, other information regarding various investment outcomes are hypothetical in nature, do not reflect actual results and are not guarantees of future results. The projections may not include all taxes applicable to your situation. Past performance is no assurance of future results. Investments may fluctuate and lose value, and unexpected market movements may result in changes in rates of return and anticipated performance. Claro does not provide legal or tax advice. The information herein is general in nature and should not be considered legal or tax advice. Consult an attorney or tax professional regarding your specific situation. Claro will provide all prospective clients with a copy of our current Form ADV, Part 2 ("Brochure") prior to commencing an Advisory relationship. Please contact This email address is being protected from spambots. You need JavaScript enabled to view it. or toll free at 800-604-2838 with any questions.

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