SYMETRIQ

SYMETRIQ — Regulatory Status & Important Disclosures

Document version: v1.1-DRAFT · Effective launch · Version 1.1 Status: DRAFT FOR LEGAL REVIEW — NOT FINAL. Must be reviewed by qualified fintech / securities / CFTC counsel before publication. Companion to: Terms of Service v4.1, Risk Disclosure v2, Privacy Policy v2, Cookie Policy v1.

Section map

A. Who we are and what we are not B. Why we are not registered — and what that means for you C. Standing disclosures (hypothetical performance, AI, no advice, no guarantees) D. Marketing standards we hold ourselves to E. Brokers, exchanges, and trademarks F. Testimonials and reviews G. Beta and pre-release status H. Contact and complaints

A. Who we are and what we are not

SYMETRIQ is trading-automation software. It is operated by SYMETRIQ LLC, a Wyoming limited liability company based in St. George, Utah. Users build or approve their own trading Strategies, connect their own Broker accounts with their own API keys, and the software transmits the orders those Strategies generate, within the risk limits the user sets.

SYMETRIQ LLC is not:

SYMETRIQ never: holds, receives, transmits, or has access to user funds, securities, or digital assets; executes, clears, or settles trades; exercises discretion over any user's account; gives personalized advice; charges per trade or takes a share of results; or receives compensation from any Broker.

Fees: flat subscription only. Current prices are published at symetriq.ai/pricing.

In plain terms: we make the tool. You make the decisions. Your Broker holds the money.

B. Why we are not registered — and what that means for you

B.1 Our position

SYMETRIQ LLC is not registered with, and holds no license from, the U.S. Securities and Exchange Commission, the Commodity Futures Trading Commission, the Financial Industry Regulatory Authority, the National Futures Association, the Financial Crimes Enforcement Network, or any state securities, banking, or money-transmission regulator.

We take that position because of what the software is and is not:

  1. Non-custodial. We never touch money. Registration regimes for brokers, custodians, and money transmitters attach to firms that hold or move customer assets. We do neither.
  2. Non-discretionary. We never direct, manage, or trade any account. Every order is the output of rules the user authored or approved, transmitted under the user's own credentials to the user's own Broker.
  3. Non-personalized. The software applies the same logic to every user. It does not tailor Strategies, analysis, or outputs to any user's financial situation, objectives, or positions. Analysis agents produce generalized commentary, not recommendations. Advisory and CTA registration attach to personalized advice; standardized, non-customized software is treated differently under both the Investment Advisers Act and CFTC Rule 4.14(a)(9).
  4. No transaction-based compensation. We charge a flat subscription. We do not charge per trade, take a percentage of profits, receive payment for order flow, or accept referral or revenue-sharing payments from Brokers.

B.2 What that means for you

Because we are not a registered firm, you do not receive the protections that come with one: no fiduciary duty, no suitability review, no regulatory capital requirements, no SIPC or FDIC coverage, no investor-protection fund, no regulatory examination of our conduct. Any such protection you have comes from your Broker, not from us. If those protections matter to you, use a registered adviser or managed-account service instead of self-directed software.

B.3 Where we are available

The Platform is offered to residents of the United States. We do not currently offer the Platform to residents of the European Economic Area, the United Kingdom, Australia, or other jurisdictions; when we do, jurisdiction-specific terms and disclosures will be published here first. Using the Platform from a jurisdiction where it is not offered is prohibited by the Terms.

C. Standing disclosures

C.1 No advice, no recommendations

Nothing on symetriq.ai, in the App, in our documentation, in our communications, or in any agent output is investment, trading, tax, or legal advice, a recommendation to buy or sell any instrument, or an offer or solicitation of any kind. Analysis agents — including the bull, bear, swarm, regime, sentiment, news, macro, and fundamental agents — produce generalized software output that is the same for every user and is not tailored to you.

C.2 Hypothetical performance

All backtests, walk-forward tests, optimizations, simulations, Paper Mode results, and AutoResearch outputs shown anywhere on the Platform or in our materials are hypothetical. The following statement accompanies every such display:

THESE RESULTS ARE BASED ON SIMULATED OR HYPOTHETICAL PERFORMANCE RESULTS THAT HAVE CERTAIN INHERENT LIMITATIONS. UNLIKE THE RESULTS SHOWN IN AN ACTUAL PERFORMANCE RECORD, THESE RESULTS DO NOT REPRESENT ACTUAL TRADING. ALSO, BECAUSE THESE TRADES HAVE NOT ACTUALLY BEEN EXECUTED, THESE RESULTS MAY HAVE UNDER- OR OVER-COMPENSATED FOR THE IMPACT, IF ANY, OF CERTAIN MARKET FACTORS, SUCH AS LACK OF LIQUIDITY. SIMULATED OR HYPOTHETICAL TRADING PROGRAMS IN GENERAL ARE ALSO SUBJECT TO THE FACT THAT THEY ARE DESIGNED WITH THE BENEFIT OF HINDSIGHT. NO REPRESENTATION IS BEING MADE THAT ANY ACCOUNT WILL OR IS LIKELY TO ACHIEVE PROFITS OR LOSSES SIMILAR TO THESE BEING SHOWN.

The full NFA Rule 2-29 statement and SYMETRIQ-specific limitations are in the Risk Disclosure, Section 9. We do not publish backtest or paper results in marketing. Any performance figure that ever appears on symetriq.ai will be actual, will name the account type, will carry this statement, and will not be selected for being favorable.

C.3 Artificial intelligence

Parts of the Platform use large language models, accessed through the user's own LLM provider account. AI outputs can be wrong, fabricated, out of date, or manipulated by the content they read. They are informational only. When you interact with an agent, you are interacting with generative artificial intelligence, not a person, and the Platform will confirm that whenever you ask. We do not use your Strategies, trading data, or conversations to train models. We make no claim that our use of AI produces better trading results than any other method. At launch, AI outputs are display-only: they are shown to you for information and never enter the decision path. They do not set direction, size, entry, exit, or whether an order is sent; your compiled Strategy and the risk gate decide that.

C.4 No guarantees; software is not perfect

We do not guarantee that any Strategy will be profitable, that any order will be transmitted or filled, that any risk control will prevent loss, that any stop-loss will execute at its price, that any backtest or AI output will be accurate, or that the Platform will be available when you need it. The Platform contains and will always contain software defects. Full detail is in the Risk Disclosure, Sections 4–8.

C.5 The Halt Switch is halt-only

The Platform's Halt Switch stops the transmission of new orders. It never closes, reduces, or modifies existing positions, and it never cancels or changes pending orders or Broker-side stop-loss and take-profit orders. Users are responsible for managing open positions at their Broker during and after any halt, outage, suspension, or account closure.

C.6 Conflicts of interest

SYMETRIQ LLC's principals and personnel trade their own accounts, may use the Platform to do so on the same engine as users, and may hold instruments the agents discuss. We do not trade against users, do not use users' Strategies or orders for our own trading, do not give any account priority, and receive no compensation from any Broker or from users' trading.

C.7 Verification status of integrations

We list the Brokers the Platform can connect to. Listing means the integration exists in software. It does not mean every feature is verified for every account type. At beta, new orders can be sent only through OANDA (forex) and Alpaca. Live stock trading through Alpaca is planned during the beta and is not available until it has been verified. Every Strategy starts in Paper Mode; live-money execution opens venue by venue, only after Broker-side stop-loss and take-profit placement is verified on that venue. Other integrations exist in software but do not accept new orders at beta. As of launch, no integration is verified for live-money execution for Users.

D. Marketing standards we hold ourselves to

We publish these standards so that anyone can hold us to them.

  1. We describe capabilities, never outcomes. We say what the software can do. We do not say, imply, or illustrate what money you will make. No return figures, no "up to X%," no screenshots of gains.
  2. We do not use the words "recommend," "advice," "advisor," "managed," "signals," or "quant desk" to describe the Platform or its agents.
  3. We do not publish hypothetical performance in marketing. Backtests and paper results are tools inside the Platform, always accompanied by the C.2 statement; they are not advertisements.
  4. Every AI claim is literally true and substantiated. We describe what the agents do; we do not claim they predict markets, outperform humans, or are proprietary intelligence when they call third-party models. Overstating AI capability is a deceptive-practice risk under FTC Act §5 and, for registered firms, has drawn SEC enforcement ("AI washing"). We hold ourselves to the registered-firm standard voluntarily.
  5. Broker names identify compatibility only (Section E).
  6. Testimonials follow Section F.
  7. "Coming soon" means not built. Features described as planned are labeled as planned. Features described as available exist in the current release.
  8. Prices are real. Sticker prices are prices we genuinely charge; promotions state their end date and the price that follows.
  9. The site is re-audited against the software before each release and at least quarterly, and every claim is traceable to a feature on disk.

E. Brokers, exchanges, and trademarks

Broker, exchange, trading-platform, data-provider, and AI-provider names, logos, and marks appearing on symetriq.ai or in the Platform — including OANDA and Alpaca — are the property of their respective owners and are used solely to identify supported connections and technical compatibility.

SYMETRIQ LLC is an independent third-party software provider and is not affiliated with, endorsed by, sponsored by, or authorized by any of these organizations unless we expressly state so in writing. Technical compatibility does not imply a commercial partnership, sponsorship, endorsement, or authorization. "NinjaTrader compatible" and similar phrases describe technical compatibility only. Each user's relationship with a Broker is governed solely by that Broker's own agreements.

Users are responsible for complying with their Broker's terms, API policies, and automation rules, and — for proprietary-trading-firm, funded, or evaluation accounts — with that firm's program rules. We do not assess whether the Platform is permitted under any Broker's or firm's rules.

F. Testimonials and reviews

Any testimonial, review, or user statement we publish reflects that user's individual experience, is not representative of other users, and is not a guarantee of any result. We do not publish testimonials that state or imply trading profits or returns. We disclose any material connection between us and the person giving the testimonial (for example, a beta tester who received free access, or an affiliate). We do not pay for reviews, and we do not edit reviews except to remove personal data.

G. Beta and pre-release status

The Platform is currently in beta. Beta is Paper Mode only: no live-money order transmission is enabled for beta users. Features may change or be removed, data may be reset, and availability is not assured. Beta users have accepted the Terms and the Risk Disclosure and have been told, in writing, that they are using pre-release software from a very small company.

H. Contact and complaints

SYMETRIQ LLC · General: hello@symetriq.ai · Legal: hello@symetriq.ai · Security: hello@symetriq.ai · Privacy: hello@symetriq.ai

If you believe any statement on symetriq.ai or in the Platform is inaccurate, misleading, or out of date, tell us at hello@symetriq.ai. We will investigate and correct it. If you have a complaint about the Platform, the Terms describe an informal-resolution process (Section 21) that we take seriously.

California residents may contact the Complaint Assistance Unit of the Division of Consumer Services of the California Department of Consumer Affairs at 1625 North Market Blvd., Suite N 112, Sacramento, CA 95834, or (800) 952-5210.

Draft for legal review. Not legal advice. All bracketed items must be resolved before publication.