business continuity planning disclosure

Instream Partners, LLC has developed business continuity policies and procedures that address how we will respond to events that may significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we have created procedures that are designed to respond to events as they actually occur. With that in mind, we are providing you with this information on our business continuity plan. 

Contacting Us

If after a significant business disruption you cannot contact us as you usually do at (415)335-6467, you should call our emergency number (415) 218-6775. In addition, you may go to our web site at 

Our Business Continuity Plan

We plan to quickly recover and resume business operations after a significant business disruption and to respond to such an event by safeguarding our employees and property, making a financial and operational assessment, protecting the Firm's books and records and resumption of our client services. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. 

Our business continuity plan addresses: data back up and recovery; all primary firm functions; 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.

We have systems in place to back up our important records in a geographically separate area. Every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption. 

Varying Disruptions

Significant business disruptions can vary in their scope, such as only our Firm, our building location, the business district where our Firm is located, the city where we are located, or the whole region. Within each of these areas the severity of the disruption can also vary from minimal to severe. In a disruption to only our Firm or building, we will transfer our operations to a site outside of the affected area, and recover and resume business within a few days. In either situation, we plan to continue in business, transfer operations to another location, and notify you through our website or our client emergency number how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer's prompt access to their records.

For more information

If you have questions about our business continuity planning, you can contact John Schlesinger, Chief Compliance Officer, at (415)335-6467.