The Plan

Ally Wealth Management plans to quickly recover and resume business operations after a significant business disruption (SBD) and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our company’s Business Continuity Plan (BCP) is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD. The BCP addresses data back-up and recovery;

  • all mission-critical systems;
  • financial and operational assessments;
  • alternative communications with customers, employees, and regulators;
  • alternate physical location of employees;
  • critical supplier, contractor, bank and counter-party impact; regulatory reporting;
  • and assuring customers prompt access to their funds and securities if the firm’s recovery/transfer to a new location is delayed, or if it is unable to continue doing business.

In addition, the product sponsor maintains all records related to your investments and account holdings and backs up important records in accordance with its business continuity plan. For more information on its contingency plan, please contact the sponsor directly at the telephone number provided on your statements.

Significant Business Disruptions:

Ally Wealth Management’s plan takes into account two kinds of significant business disruptions, internal and external.

External SBDs:, includes scenarios such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services, or which prevents the operation of the securities markets or a number of firms. In the event of a disruption in the Ally Wealth Management’s business operations, due to an external SBD, the firm will attempt to conduct business as usual by moving its operations to an alternative location outside the affected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business or to access their funds and securities.

Internal SBDs: Internal SBDs affects only the firm’s ability to communicate and do business, such as a fire or loss of electrical power in the office or building. In the event of a disruption in Ally Wealth Management’s business operations due to an internal SBD, the firm will attempt to continue the conduct of business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to the alternative location stated in its plan. If personnel or operations must be moved to an alternate location, the firm anticipates that it will resume regular operations as soon as personnel can access the alternate site. In all cases, Ally Wealth Management 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. In the unlikely event the significant business disruption is so severe, that it prevents us from remaining in business, we will ensure our customers’ prompt access to their funds and securities.

Communications: In the event that you are unable to reach Ally Wealth Management, at our main number, please proceed as follows:

  • Contact via email: steve@allywealth.com
  • Access the firm’s website: Allywealth.com
  • Contact MoneyBlock directly at: 1-800-591-8243, or use the number listed on your most recent statement.

Any questions regarding Ally Wealth Management’s Interruption Plans should be addressed to:

Steve Kiefer: 15300 Kanis Road, Little Rock, AR 72223, call or TEXT: (501) 223-8000, or email: steve@allywealth.com