Business Continuity Plan Disclosure

Waveland Capital Group, LLC (“Waveland” or the “Firm”) has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – To receive up-to-date information during a significant business disruption, clients may call the Firm’s emergency telephone numbers at 949/500-4042, Vickie Greer, or 714/272-8797, Michael Stefani, or go to our website at

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, conducting a financial and operational assessment, protecting our books and records, and allowing our clients to transact business. In short, we have designed our Business Continuity Plan to allow us to resume operations as quickly as possible.

Our Business Continuity Plan addresses the following: data backup and recovery; all mission-critical systems; financial and operational  assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical suppliers, contractors, bank and counterparty impact; regulatory reporting; and assuring our clients prompt access to their holdings if we are unable to continue our business. Consistent with our business continuity plan, we maintain backups of all systems and data. Using these backups, we intend to continue our business in the event of a significant business disruption. Nevertheless, some disruptions may render the Firm unable to continue business. Under such circumstances, we will ensure that clients can access their holdings within a reasonable time.

Varying Disruptions – Significant business disruptions can vary in their scope, including only our business, a single building housing our Firm, our business district or city, or the entire region. The severity of the disruption can also vary from minimal to severe within each area.

The following describes specific disruption events and our intended response to these related general business continuation events. However, clients should note that these responses are subject to modification. Depending on the severity of a specific event, we cannot guarantee that we will follow the stated course of action. We will post the updated disclosure statement on our website if these responses are modified, Waveland will post the updated disclosure statement on its website. Read more…

In the alternative, clients may request that we send them by mail a copy of the revised disclosure statement by contacting us as follows:

Waveland Capital Group LLC
Attn: Business Continuity Planning
19800 MacArthur Blvd., Suite 650
Irvine, CA 92612