S&S Equity Corp.

S & S Equity Corp operates solely as a solicitor, referring prospective clients to registered third‑party investment advisers rather than managing client assets or exercising investment discretion. The firm provides referral services to individuals, high‑net‑worth individuals, and non‑investment businesses and corporations and receives compensation from the third‑party advisers when clients open accounts.

Before referring a client, the firm conducts due diligence on prospective third‑party advisers and considers the client’s stated financial goals and needs, but limits its role to the initial introduction and does not participate in ongoing account management, custody, or proxy voting. It does not provide its own investment analysis, strategies, or performance‑based fee structures and reminds clients that investing involves risk of loss.

The firm is atypical for its category in that its principals are licensed certified public accountants and co‑owners of an affiliated accounting firm, and one principal also holds an insurance license; those outside accounting and insurance activities occupy the majority of their professional time. Because the firm is compensated by fee‑sharing arrangements with recommended advisers rather than charging fees directly to clients, it discloses the potential conflict of interest that can arise from differing referral compensation.