Haverkamp Investments

Form CRS – Client Relationship Summary

August 2024

Introduction:  Haverkamp Investments, Inc. (“HI”, “we”, “us”, or “our”) is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer, is a member of the Financial Industry Regulatory Authority (“FINRA”).  Brokerage and investment advisory services and fees differ, and it is important for you to understand the differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides education materials about broker-dealers, investment advisors and investing.

What investment services and advice can you provide me?  We offer brokerage service to sophisticated retail investors through offerings of private placements.  HI does not offer traditional retail brokerage services.  You will not be asked to “open” an account with Haverkamp whereby we custody your funds and securities, nor do we offer account monitoring services.

There may be minimum requirements for investment size in the private placements we offer, which are set by the issuer and can be found in the applicable offering documents.

We will not provide you with personalized advice based on your overall portfolio as to whether you should make or continue to hold a particular investment or as to which types of investments may be better suited for you. You are responsible for the ultimate decisions regarding the purchase or sale of any securities. We do not render advice regarding financial, legal, accounting, regulatory, tax or other matters. You should consult your own financial, legal, accounting, tax and other appropriate advisors regarding how any investments fit within your overall investment portfolio and financial plan.

For additional information, please see our Regulation Best Interest Disclosures.  You may also visit our website at www.haverkampinvestments.com

Conversation Starters.  Ask your financial professional:

  • Given my financial situation, should I choose a brokerage service? Why or why not?
  • How will you choose investments to recommend to me?
  • What is your relevant experience, including your licenses, education, and other qualifications? What do these qualifications mean?


What fees will I pay?  We do not charge you fees in you invest in a private placement we offer on behalf of an issuer.  You should expect to pay fees to the issuer of the private placement, which may include custodian fees, maintenance fees, transfer fees, etc.  You should consult any applicable private placement memorandum and/or other offering and marketing materials, or related agreements provided to you in connection with your investments.  We will typically be paid a fee by the issuer that has engaged us to help them raise money, where the fee is typically an agreed-upon percentage of the total amount of money that the issuer raises.  This fee structure gives us an incentive to sell you more of the issuer’s securities.

You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.

Conversation Starters.  Ask your financial professional:

  • Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?


What are your legal obligations to me when providing recommendations? How else does your firm make money, and what conflicts of interest do you have?  When we provide you with a recommendation, we must act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interest. You should understand and ask us about these conflicts because they affect the recommendations, we provide you with.  Here are some examples to help you understand what this means:

  • Third Party Payments: We are paid a fee by the issuer of a private placement based on your investment, which is generally calculated on a percentage of what you invest.
  • Limited Investment Opportunities:  At times, we will only have one opportunity available to you.  As a result, at those times, we will not have an alternative investment opportunity for you to consider and may have an incentive to offer an investment opportunity in that single investment.  Not all investment opportunities are suitable for all investors.
  • Affiliated Offerings:  The majority of the private placements we offer you are from affiliated issuers.

How do your financial professionals make money?  Our financial professionals receive a combination of a salary and commissions.  Commissions are a flat 1.75% of dollars subscribed to a private placement.  A financial professional may also receive a set annual bonus, as outlined in their employment agreement.  Any such bonus is a set negotiated amount and does not fluctuate.

Do you or your financial professionals have legal or disciplinary history?  No, for our firm and our financial professionals.  Visit www.investor.gov/CRS or FINRA’s BrokerCheck website at www.brokercheck.finra.org for a free and simple search tool to research our firm and our financial professionals.

Conversation Starters.  Ask your financial professional:

  • As a financial professional, do you have any disciplinary history? For what type of conduct?


Additional Information

If you would like additional information about our services, or an up-to-date copy of this disclosure, please visit www.HaverkampInvestments.com or call (515) 309-6414.

Conversation Starters.  Ask your financial professional:

  • Who is my primary contact person? Is he or she a representative of an investment adviser or a broker-dealer? Who can I talk to if I have concerns about how this person is treating me?
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