Best Execution Policy
Best Execution Policy
Best Execution Policy
Effective Date: November 25, 2025
This Best Execution Policy describes the procedures and commitment of [DELTA CAPITAL PRO'S LEGAL ENTITY NAME] (hereafter "Delta Capital Pro" or the "Advisor") to obtain the most favorable execution for client orders, as required by applicable securities regulations in the United States (U.S.).
1. Objective of the Policy
The primary objective of Delta Capital Pro is to seek Best Execution for all financial asset transaction orders on behalf of our clients. Best Execution is not limited solely to the most advantageous price, but rather to obtaining the most favorable overall terms available under the circumstances at the time of execution, considering the total value of the transaction to the client.
2. Scope and Applicability
This Policy applies to all executed transactions involving managed assets, including, but not limited to, Stock Options, Treasury Bonds, Futures, and Cryptocurrencies, executed by Delta Capital Pro in discretionary management accounts.
3. Definition of Best Execution Factors
In seeking Best Execution, Delta Capital Pro evaluates the total quality of execution through a variety of factors, and not just the transaction price. The main factors considered include:
FactorDescriptionPriceThe most favorable price possible for the security or instrument.SpeedThe speed with which the order is executed.LikelihoodThe probability of execution of the order and settlement of the transaction.CostThe total cost of the transaction, including commissions, fees, and taxes.Size/NatureThe size and nature of the order (e.g., large orders may require special considerations).Settlement QualityThe quality and efficiency of the clearing and settlement practices of the intermediary.
Delta Capital Pro bears the responsibility to consistently execute orders on behalf of all clients in a manner that results in the most advantageous outcome.
4. Selection and Monitoring of Intermediaries (Brokers)
4.1. Selection Criteria
Delta Capital Pro evaluates and selects broker-dealers/custodians (currently [CUSTODIAN/BROKER-DEALER NAME, e.g., Tastytrade]) based on factors that ensure the best execution for the Delta Trading Pro strategy. These criteria include:
Regulatory compliance (requires SEC/FINRA regulation).
Technology and order routing capability.
Competitiveness in terms of costs and commissions.
Capability to handle the types of assets and complex strategies (Options, Futures) utilized by the Advisor.
4.2. Continuous Monitoring
Delta Capital Pro regularly monitors (at least annually) the quality of execution provided by selected intermediaries to ensure they continue to meet the Best Execution standard.
5. Order Aggregation Practice
Delta Capital Pro may aggregate orders for multiple clients into a single block trade when it believes that such aggregation will provide more efficient execution and a better average price for all participating clients.
Fair Allocation: When an aggregated order is only partially filled, the shares will be allocated fairly and equitably (pro-rata) among the participating client accounts.
6. Review and Disclosure
6.1. Policy Review
This Best Execution Policy is reviewed by Delta Capital Pro at least once every 12 months, or whenever there is a material change in trading practices, technology, or the regulatory environment that may affect our ability to obtain Best Execution.
6.2. Client Acknowledgment
By entering into a Client Service Agreement (CSA) with Delta Capital Pro, the client acknowledges and agrees to the terms of this Best Execution Policy and authorizes the Advisor to select and use intermediaries as determined by the Advisor.
Effective Date: November 25, 2025
This Best Execution Policy describes the procedures and commitment of [DELTA CAPITAL PRO'S LEGAL ENTITY NAME] (hereafter "Delta Capital Pro" or the "Advisor") to obtain the most favorable execution for client orders, as required by applicable securities regulations in the United States (U.S.).
1. Objective of the Policy
The primary objective of Delta Capital Pro is to seek Best Execution for all financial asset transaction orders on behalf of our clients. Best Execution is not limited solely to the most advantageous price, but rather to obtaining the most favorable overall terms available under the circumstances at the time of execution, considering the total value of the transaction to the client.
2. Scope and Applicability
This Policy applies to all executed transactions involving managed assets, including, but not limited to, Stock Options, Treasury Bonds, Futures, and Cryptocurrencies, executed by Delta Capital Pro in discretionary management accounts.
3. Definition of Best Execution Factors
In seeking Best Execution, Delta Capital Pro evaluates the total quality of execution through a variety of factors, and not just the transaction price. The main factors considered include:
FactorDescriptionPriceThe most favorable price possible for the security or instrument.SpeedThe speed with which the order is executed.LikelihoodThe probability of execution of the order and settlement of the transaction.CostThe total cost of the transaction, including commissions, fees, and taxes.Size/NatureThe size and nature of the order (e.g., large orders may require special considerations).Settlement QualityThe quality and efficiency of the clearing and settlement practices of the intermediary.
Delta Capital Pro bears the responsibility to consistently execute orders on behalf of all clients in a manner that results in the most advantageous outcome.
4. Selection and Monitoring of Intermediaries (Brokers)
4.1. Selection Criteria
Delta Capital Pro evaluates and selects broker-dealers/custodians (currently [CUSTODIAN/BROKER-DEALER NAME, e.g., Tastytrade]) based on factors that ensure the best execution for the Delta Trading Pro strategy. These criteria include:
Regulatory compliance (requires SEC/FINRA regulation).
Technology and order routing capability.
Competitiveness in terms of costs and commissions.
Capability to handle the types of assets and complex strategies (Options, Futures) utilized by the Advisor.
4.2. Continuous Monitoring
Delta Capital Pro regularly monitors (at least annually) the quality of execution provided by selected intermediaries to ensure they continue to meet the Best Execution standard.
5. Order Aggregation Practice
Delta Capital Pro may aggregate orders for multiple clients into a single block trade when it believes that such aggregation will provide more efficient execution and a better average price for all participating clients.
Fair Allocation: When an aggregated order is only partially filled, the shares will be allocated fairly and equitably (pro-rata) among the participating client accounts.
6. Review and Disclosure
6.1. Policy Review
This Best Execution Policy is reviewed by Delta Capital Pro at least once every 12 months, or whenever there is a material change in trading practices, technology, or the regulatory environment that may affect our ability to obtain Best Execution.
6.2. Client Acknowledgment
By entering into a Client Service Agreement (CSA) with Delta Capital Pro, the client acknowledges and agrees to the terms of this Best Execution Policy and authorizes the Advisor to select and use intermediaries as determined by the Advisor.
Effective Date: November 25, 2025
This Best Execution Policy describes the procedures and commitment of [DELTA CAPITAL PRO'S LEGAL ENTITY NAME] (hereafter "Delta Capital Pro" or the "Advisor") to obtain the most favorable execution for client orders, as required by applicable securities regulations in the United States (U.S.).
1. Objective of the Policy
The primary objective of Delta Capital Pro is to seek Best Execution for all financial asset transaction orders on behalf of our clients. Best Execution is not limited solely to the most advantageous price, but rather to obtaining the most favorable overall terms available under the circumstances at the time of execution, considering the total value of the transaction to the client.
2. Scope and Applicability
This Policy applies to all executed transactions involving managed assets, including, but not limited to, Stock Options, Treasury Bonds, Futures, and Cryptocurrencies, executed by Delta Capital Pro in discretionary management accounts.
3. Definition of Best Execution Factors
In seeking Best Execution, Delta Capital Pro evaluates the total quality of execution through a variety of factors, and not just the transaction price. The main factors considered include:
FactorDescriptionPriceThe most favorable price possible for the security or instrument.SpeedThe speed with which the order is executed.LikelihoodThe probability of execution of the order and settlement of the transaction.CostThe total cost of the transaction, including commissions, fees, and taxes.Size/NatureThe size and nature of the order (e.g., large orders may require special considerations).Settlement QualityThe quality and efficiency of the clearing and settlement practices of the intermediary.
Delta Capital Pro bears the responsibility to consistently execute orders on behalf of all clients in a manner that results in the most advantageous outcome.
4. Selection and Monitoring of Intermediaries (Brokers)
4.1. Selection Criteria
Delta Capital Pro evaluates and selects broker-dealers/custodians (currently [CUSTODIAN/BROKER-DEALER NAME, e.g., Tastytrade]) based on factors that ensure the best execution for the Delta Trading Pro strategy. These criteria include:
Regulatory compliance (requires SEC/FINRA regulation).
Technology and order routing capability.
Competitiveness in terms of costs and commissions.
Capability to handle the types of assets and complex strategies (Options, Futures) utilized by the Advisor.
4.2. Continuous Monitoring
Delta Capital Pro regularly monitors (at least annually) the quality of execution provided by selected intermediaries to ensure they continue to meet the Best Execution standard.
5. Order Aggregation Practice
Delta Capital Pro may aggregate orders for multiple clients into a single block trade when it believes that such aggregation will provide more efficient execution and a better average price for all participating clients.
Fair Allocation: When an aggregated order is only partially filled, the shares will be allocated fairly and equitably (pro-rata) among the participating client accounts.
6. Review and Disclosure
6.1. Policy Review
This Best Execution Policy is reviewed by Delta Capital Pro at least once every 12 months, or whenever there is a material change in trading practices, technology, or the regulatory environment that may affect our ability to obtain Best Execution.
6.2. Client Acknowledgment
By entering into a Client Service Agreement (CSA) with Delta Capital Pro, the client acknowledges and agrees to the terms of this Best Execution Policy and authorizes the Advisor to select and use intermediaries as determined by the Advisor.


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