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ENTER THE ARENA

ENTER THE ARENA

Quantara
Quantara

Investment Disclaimer and Non-Advisory Disclosure

IMPORTANT REGULATORY DISCLOSURE

PLEASE READ THIS DISCLOSURE CAREFULLY. IT EXPLAINS THE NATURE OF OUR SERVICES AND OUR REGULATORY STATUS.

1. WE ARE NOT A REGISTERED INVESTMENT ADVISER

Quantara Capital ("Quantara Capital," "Company," "we," "us," or "our") IS NOT REGISTERED AS AN INVESTMENT ADVISER with the U.S. Securities and Exchange Commission ("SEC") or any state securities regulatory authority.

We do not hold ourselves out as an investment adviser and do not provide investment advisory services. No personnel of Quantara Capital hold Series 65, Series 66, Series 7, or any other securities licenses or registrations.

2. WE ARE NOT A BROKER-DEALER

Quantara Capital IS NOT REGISTERED AS A BROKER-DEALER with the SEC, the Financial Industry Regulatory Authority ("FINRA"), or any state securities regulatory authority.

We do not execute securities transactions, hold customer funds or securities, or act as an intermediary in securities transactions. Your brokerage account is held at your chosen brokerage (such as Interactive Brokers or other supported brokerages), a registered broker-dealer and member of FINRA and SIPC.

3. WE ARE NOT A COMMODITY TRADING ADVISOR

Quantara Capital IS NOT REGISTERED AS A COMMODITY TRADING ADVISOR ("CTA") with the Commodity Futures Trading Commission ("CFTC") or as a member of the National Futures Association ("NFA").

If we offer strategies involving futures or forex products in the future, this disclosure will be updated accordingly, and appropriate registrations will be obtained if required.

4. NATURE OF OUR SERVICES

4.1 Technology Platform and Marketplace Provider

Quantara Capital is a technology company that provides:

  • A software platform enabling users to connect their brokerage accounts (such as Interactive Brokers or other supported brokerages) to automated trading strategies

  • A marketplace connecting users with independent Strategy Managers

  • Tools for Strategy Managers to create, publish, and manage trading strategies

  • An AI-powered chatbot for informational and educational purposes

4.2 What We Provide

  • Access to a technology platform for automated trade execution

  • A marketplace where independent Strategy Managers offer trading strategies

  • The ability to connect your brokerage account to strategies via API

  • Tools to set position sizing parameters

  • User interface to monitor strategy activity

  • AI chatbot for informational assistance

4.3 What We Do NOT Provide

  • Investment advice or recommendations

  • Personalized financial guidance

  • Suitability assessments or determinations

  • Vetting, approval, or endorsement of Strategy Managers or strategies

  • Creation, control, or management of trading strategies (except those we explicitly create)

  • Tax advice

  • Legal advice

  • Portfolio management services

  • Custody of funds or securities

  • Trade execution services

5. NO INVESTMENT ADVICE

5.1 General Disclaimer

NOTHING ON OUR WEBSITE, PLATFORM, OR IN ANY OF OUR COMMUNICATIONS CONSTITUTES INVESTMENT ADVICE, A RECOMMENDATION, OR A SOLICITATION TO BUY OR SELL ANY SECURITY.

All information provided through our Services is for informational and educational purposes only. Any trading strategies, performance data, or other information available through our platform should not be construed as personalized investment advice.

5.2 Strategy Information Is Not a Recommendation

The availability of trading strategies on our platform does not constitute a recommendation that any particular strategy is suitable for you. We do not endorse, recommend, or guarantee any strategy or Strategy Manager.

STRATEGY MANAGERS ARE INDEPENDENT CONTRACTORS. They are not employees or agents of Quantara Capital. We do not vet, approve, or pre-screen Strategy Managers or their strategies before publication. Anyone may become a Strategy Manager and publish strategies immediately.

5.3 AI Chatbot Is Not Investment Advice

Our AI-powered chatbot provides informational and educational content only. NOTHING PROVIDED BY THE AI CHATBOT CONSTITUTES INVESTMENT ADVICE OR RECOMMENDATIONS. The chatbot may discuss strategies or analyze portfolios, but this is descriptive information only, not personalized guidance. See our AI Chatbot Disclaimer for complete terms.

5.4 No Suitability Determination

WE DO NOT ASSESS WHETHER ANY STRATEGY IS SUITABLE FOR YOUR INDIVIDUAL CIRCUMSTANCES. You are solely responsible for evaluating whether any strategy aligns with your:

  • Investment objectives

  • Risk tolerance

  • Financial situation

  • Time horizon

  • Tax situation

  • Overall investment portfolio

5.5 No Fiduciary Relationship

WE DO NOT OWE YOU A FIDUCIARY DUTY. Unlike registered investment advisers, we are not required to act in your best interest. Our relationship with you is governed solely by our Terms of Use and related agreements.

6. USER RESPONSIBILITIES

6.1 Independent Decision-Making

YOU ARE SOLELY RESPONSIBLE FOR ALL INVESTMENT DECISIONS MADE THROUGH OUR PLATFORM. By using our Services, you acknowledge that:

  • You are making your own independent investment decisions

  • You have not relied on any advice or recommendations from Quantara Capital

  • You have conducted your own research and due diligence

  • You understand the risks involved in the strategies you select

6.2 Seek Professional Advice

We strongly encourage you to consult with qualified professionals before making investment decisions:

  • Financial Advisor: A registered investment adviser or financial planner can provide personalized advice based on your specific situation

  • Tax Professional: A CPA or tax attorney can advise on the tax implications of your trading activities

  • Attorney: Legal counsel can help you understand the legal implications of your investment decisions

6.3 Account Monitoring

You are responsible for monitoring your brokerage account, reviewing trade activity, and ensuring that automated trading aligns with your expectations and risk tolerance.

7. SUBSCRIPTION-BASED PRICING

7.1 Fee Structure

Quantara Capital charges subscription fees only. We do not charge:

  • Assets under management (AUM) fees

  • Performance fees or profit sharing

  • Commissions on trades

  • Advisory fees

7.2 No Compensation from Third Parties

We do not receive compensation from strategy managers, Interactive Brokers, or any third party based on your trading activity or investment decisions. [UPDATE IF THIS CHANGES]

7.3 Third-Party Fees

You are responsible for all fees charged by your brokerage (such as Interactive Brokers or other supported brokerages), including commissions, margin interest, and other brokerage fees. These fees are separate from and in addition to our subscription fees.

8. THIRD-PARTY RELATIONSHIPS

8.1 Your Brokerage

Your brokerage account is held at your chosen brokerage (such as Interactive Brokers or other supported brokerages), a registered broker-dealer. Your relationship with your brokerage is governed by their customer agreements, not by Quantara Capital. We are not affiliated with any brokerage.

8.2 Technology Partners

Our platform utilizes licensed technology from third-party partners who provide the underlying infrastructure for strategy signals and trade automation. These technology partners are not employees or agents of Quantara Capital, and we do not control their systems or operations.

8.3 Strategy Managers

IMPORTANT: Trading strategies available through our platform are created and managed by independent Strategy Managers who are:

  • Independent contractors, not employees or agents of Quantara Capital

  • Not vetted, approved, or supervised by Quantara Capital

  • Solely responsible for their trading signals and strategy performance

  • Not required to hold any licenses or registrations (though some may)

  • Paid through a revenue-sharing arrangement based on user subscriptions

Quantara Capital does NOT:

  • Vet or approve Strategy Managers before they publish strategies

  • Endorse or recommend any Strategy Manager or strategy

  • Supervise or control Strategy Manager trading decisions

  • Guarantee Strategy Manager qualifications, competence, or honesty

  • Accept liability for Strategy Manager conduct or strategy performance

You are solely responsible for evaluating and selecting Strategy Managers and strategies. Strategy Managers, not Quantara Capital, are responsible for losses arising from their strategies.

9. PERFORMANCE INFORMATION

9.1 Hypothetical and Backtested Results

Any hypothetical or backtested performance results displayed on our platform have significant limitations:

  • Hypothetical results do not represent actual trading

  • Backtested strategies are designed with the benefit of hindsight

  • Actual results may differ materially from hypothetical results

  • No representation is made that any account will achieve similar results

9.2 Actual Performance

Even where actual performance is displayed:

  • Past performance is not indicative of future results

  • Your results may differ due to slippage, timing, position sizing, and fees

  • Performance can change significantly over time

  • Drawdowns may exceed historical levels

9.3 No Performance Guarantees

WE MAKE NO GUARANTEES REGARDING THE PERFORMANCE OF ANY STRATEGY. Any performance information is provided for informational purposes only and should not be relied upon as a prediction of future results.

10. LIMITATIONS OF LIABILITY

10.1 No Liability for Investment Decisions

Quantara Capital shall not be liable for any losses, damages, or costs arising from your investment decisions, strategy selections, or use of our platform.

10.2 No Liability for Third-Party Actions

We shall not be liable for any acts or omissions of your brokerage, our technology partners, Strategy Managers, or any other third party.

Strategy Manager Liability: Strategy Managers, not Quantara Capital, are liable for:

  • Trading losses from their strategies

  • Fraud, negligence, or misconduct

  • Misrepresentation of strategy performance or characteristics

  • Violation of securities laws or regulations

Your remedies for Strategy Manager conduct are against the Strategy Manager individually, not Quantara Capital.

10.3 Reference to Terms of Use

This Disclaimer is subject to the limitations of liability, indemnification, and other provisions set forth in our Terms of Use, which are incorporated herein by reference.

11. REGULATORY INQUIRIES

If you have questions about whether a particular service constitutes investment advice or requires registration, we encourage you to contact:

U.S. Securities and Exchange Commission (SEC)
Website: www.sec.gov
Phone: 1-800-SEC-0330

Financial Industry Regulatory Authority (FINRA)
Website: www.finra.org
BrokerCheck: www.brokercheck.finra.org

Your State Securities Regulator
Website: www.nasaa.org (to find your state regulator)

12. ACKNOWLEDGMENT

BY USING QUANTARA CAPITAL'S SERVICES, YOU ACKNOWLEDGE THAT:

  1. You understand that Quantara Capital is not a registered investment adviser, broker-dealer, or commodity trading advisor.

  2. You understand that no personnel of Quantara Capital hold securities licenses.

  3. You understand that nothing provided by Quantara Capital constitutes investment advice or a recommendation.

  4. You are making your own independent investment decisions.

  5. You have not relied on any advice or recommendations from Quantara Capital in selecting strategies or making trades.

  6. You have had the opportunity to seek advice from qualified professionals.

  7. No fiduciary relationship exists between you and Quantara Capital.

CONTACT INFORMATION

If you have questions about this Disclosure, please contact us:

Quantara Capital
30 Wall Street, 8th Floor
New York NY, 10005
inquiries@quantaracapital.ai

This Disclosure is subject to change. Please review it periodically for updates.

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