Disclosures

FORM ADV Part 2 Brochure
Privacy
Business Continuity Plan
Code of Ethics


CHIEF CAPITAL MANAGEMENT, INC.
1581 CAMINO MONDE
SUITE 100
SAN JOSE, CALIFORNIA 95125
408 978-1773
www.chiefcapital.com
brooks@chiefcapital.com

Date of Form ADV Part 2 Brochure: March 25, 2015

This brochure provides information about the qualifications and business practices of Chief Capital Management, Inc. If you have any questions about the contents of this brochure, please contact Brooks C. Sackett, CFP, CIMA, AIFA directly at Chief Capital Management, Inc. by calling 408 978-1773. The information in this brochure has not been approved or verified by the United Stated Securities and Exchange Commission or by any state securities authority.

Additional information about Chief Capital Management, Inc. is also available on the Internet at http://www.adviserinfo.sec.gov/IAPD/Content/Search/iapd_Search.aspx

Keep in mind that being “registered” means only that Chief Capital Management, Inc. has been through a registration process. It doesn’t mean that anyone in the firm has a certain level of skill or has completed any specialized training approved by any regulatory authority.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

Table of Contents
1 Cover Page
2 Material Changes
3 Table of Contents
4 Advisory Business
5 Fees and Compensation
6 Performance-Based Fees and Side-by-Side Management
7 Types of Clients
8 Methods of Analysis, Investment Strategies, and Risk of Loss
9 Disciplinary Information
10 Other Financial Industry Activities and Affiliations
11 Codes of Ethics, Participation of Interest in Client Transactions and Personal Trading
12 Brokerage Practices
13 Review of Accounts
14 Client Referrals and Other Compensation
15 Custody
16 Investment Discretion
17 Voting Client Securities
18 Financial Information
19 Requirements for State-Registered Advisors

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

2 – Material Changes
This brochure contains no material changes.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

3- Table of Contents Please see above.

4 – Advisory Business
Chief Capital Management, Inc. (later referred to as “CCM”) is an advisory firm operating as a closely-held corporation (it is not publicly traded) and its sole principal, owner and employee is Brooks C. Sackett, CFP, CIMA, AIFA.

CCM doesn’t have any subsidiaries nor parent companies.

Chief Capital Management, Inc. (“CCM”) earns about 90% of its income from providing investment supervisory services. It earns about 10% of its income from giving investment advice through financial planning consultations not included in the supervisory services described above.
Most client portfolios are primarily made up of mutual funds but some hold individuals stocks and bonds and other investments like variable annuities.

CCM tailors its services to each client as much as possible to the extent of its competence. Each client’s situation is reviewed regarding the basic financial planning issues like personal money management, risk management, retirement planning, estate planning, tax planning, and any other special considerations. Once those issues have been covered, the issue of investment management is addressed. If a client has specific preferences, for example for investing solely in socially-responsible mutual funds, that issue is addressed in the planning stages for investment management.

CCM doesn’t participate in any “wrap-fee” arrangements.

As of December 31, 2014, CCM managed $14,466,595.00 on a discretionary basis which means that each client has given CCM authority to buy and sell investments for each client account without giving the client prior notification or receiving prior authorization for each transaction.

CCM manages no client monies on a non-discretionary basis.

CCM does offer individual investment consultations on an hourly basis.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

5 – Fees and Compensation
CCM charges on an hourly basis at the current rate of $200 per hour for consulting and financial planning services.
CCM charges for supervisory investment management services according to the following schedule:

CCM offers investment supervisory services and is paid based on a percentage of assets under management. The fee is calculated on the basis of the total market value of the assets supervised.
This fee is calculated at an annual rate according to the fee schedule below and the pro rata share of one fourth (1/4) of the annual fee is collected on a quarterly basis after the services have been provided.

CCM reserves the right to discount and/or otherwise negotiate its fees from the following fee schedule at its discretion:
Assets Under Management Annual Fee
$0 to $50,000 1.95%
$50,001 to $100,000 1.75%
$100,001 to $250,000 1.50%
$250,001 to $500,000 1.25%
$500,001 to $1,000,000 1.00%
$1,000,001 to $2,000,000 .75%
$2,000,001 to $3,000,000 .65%
$3,000,001 to $4,000,000 .55%
$4,000,001 and higher .45%
The fees charged to a household are aggregated before calculation. In other words, all the individual accounts are grouped together and the fee is based on that total figure at the household level. Fees are not calculated separately on each individual account. CCM sends each client a quarterly bill (after December 31, March 30, June 30, and September 30 of each year) showing the current fee and then that fee is deducted from each client’s account(s).

Clients may wind up paying other types of fees in connection with the CCM supervisory investment services. Client assets are held with custodian Charles Schwab and Co. (later referred to as “Schwab”), and the custodian may charge custodial fees and transaction fees for buying and selling investments.

Clients are also charged fees for the management of the mutual funds themselves through the mutual fund fees reflected in each mutual fund’s disclosed annual expense ratio.

CCM does not charge clients in advance for any services and will not accept payment in advance of services either.

CCM screens the full universe of mutual funds using Morningstar data. CCM uses the research standards of the Center for Fiduciary Studies which, in part, identify “no-load” (no up-front sales charge or commission is paid by the client) mutual funds with relatively low or lower annual expense ratios when compared to comparable mutual funds.

CCM clients are free to purchase investments recommended by CCM from brokers and agents not connected with CCM.

CCM’s income comes from the fees paid to it by its clients. Clients of CCM who are being charged fees for investment supervisory services are not also paying commissions or asset-based distribution fees to CCM. Any asset-based distribution fees which are paid from the mutual fund companies whose mutual funds are held in the client’s accounts go to the custodian and not CCM. Those fees are included in the disclosed annual expense ratios of each mutual fund.

CCM charges supervisory investment management fees only and does not collect or receive commissions.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

6 – Performance-Based Fees and Side-By-Side Management
CCM does not charge or receive any “performance fees.”

CCM does charge hourly fees for additional review report preparation and for reviews of continuing and new financial planning issues.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

7 – Types of Clients
CCM provides supervisory investment management services to individuals.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

8 – Methods of Analysis, Investment Strategies, and Risk of Loss
CCM’s methods of analysis and its investment strategies used in formulating investment management decisions center around the concepts of fiduciary investing as developed by the Foundation for Fiduciary Studies at the Joseph M. Katz School of Business, University of Pittsburgh. The concepts of fiduciary investing strive to create standards for fiduciaries of retirement plans, charitable foundations, and trusts to follow to appropriately protect the best interests of the participants and beneficiaries of their organizations.

CCM conducts monthly analysis using these standards as applied to the Morningstar universe of mutual funds to identify appropriate mutual funds for use in client portfolios and to confirm that current client-held mutual funds should be retained in client accounts.
This approach to investment analysis falls into the category of fundamental research.

CCM relies on publicly available sources of information such as financial newspapers and magazines, research materials prepared by others, rating services, and mutual fund and stock research database subscriptions.

CCM uses the strategy of long term investing in its implementation of the investment advice provided to each individual client.

CCM is aware that any investment strategy involves risk. It also believes that the concepts of fiduciary investing used to manage portfolios over the long term constitute a judicious and prudent approach to investing based on a frequent rational and measured analysis of the portfolio.

CCM populates the portfolios of its clients primarily with mutual funds that have passed the screens of fiduciary investing as developed by the Center for Fiduciary Studies.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

9 – Disciplinary Information
Neither CCM nor Brooks C. Sackett has been the subject of any investment-related criminal or civil action or any legal or disciplinary events in a domestic, foreign, or military court of competent jurisdiction.

Neither CCM nor Brooks C. Sackett has been the subject of any investment-related administrative proceeding brought by the Securities and Exchange Commission, other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority.

Neither CCM nor Brooks C. Sackett has been the subject of any investment-related proceeding brought by a self-regulatory organization.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

10 – Other Financial Industry Activities and Affiliations

CCM principal, owner, and sole employee, Brooks C. Sackett, CFP, CIMA, AIFA is a licensed insurance agent in California and Washington and is licensed to sell life insurance and long term care policies with multiple licensed insurance companies and to be paid commissions personally (not through CCM) on these policies. Brooks’s relationship with insurance companies does not create a material conflict of interest with CCM clients. CCM clients who have received financial planning recommendations from CCM to purchase long term care insurance are notified that Brooks will be compensated through commissions and they are also advised to research long term care insurance from other licensed professionals. CCM clients are free to purchase long term care insurance recommended by CCM from brokers and agents not connected with CCM.

CCM principal, owner, and sole employee, Brooks C. Sackett, CFP, CIMA, AIFA is a licensed real estate salesperson in California.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

11 – Code of Ethics, Participation or Interest in Client Transactions and
Personal Trading
CCM principal, owner, and sole employee, Brooks C. Sackett, holds three professional designations from organizations each requiring adherence to a separate code of ethics and professional conduct. Those three designations are:
CERTIFIED FINANCIAL PLANNER
CERTIFIED INVESTMENT MANAGEMENT ANALYST
ACCREDITED INVESTMENT FIDUCIARY ANALYST
The CFP Board’s Standards of Professional Conduct (which appears below as Principles 1-7) include concepts from the other two and express clearly the code of ethics that Brooks follows.

This is the CCM Code of Ethics:
Principle 1 Integrity: Provide professional services with integrity.
Integrity demands honesty and candor which must not be subordinated to personal gain and advantage. Certificants are placed in positions of trust by clients, and the ultimate source of that trust is the certificants personal integrity. Allowance can be made for innocent error and legitimate differences of opinion, but integrity cannot coexist with deceit or subordination of ones principles.

Principle 2 Objectivity: Provide professional services objectively.
Objectivity requires intellectual honesty and impartiality. Regardless of the particular service rendered or the capacity in which a certificant functions, certificants should protect the integrity of their work, maintain objectivity and avoid subordination of their judgment.

Principle 3 Competence: Maintain the knowledge and skill necessary to provide professional services competently.
Competence means attaining and maintaining an adequate level of knowledge and skill, and application of that knowledge and skill in providing services to clients. Competence also includes the wisdom to recognize the limitations of that knowledge and when consultation with other professionals is appropriate or referral to other professionals necessary. Certificants make a continuing commitment to learning and professional improvement.

Principle 4 Fairness: Be fair and reasonable in all professional relationships. Disclose conflicts of interest.
Fairness requires impartiality, intellectual honesty and disclosure of material conflicts of interest. It involves a subordination of ones own feelings, prejudices and desires so as to achieve a proper balance of conflicting interests. Fairness is treating others in the same fashion that you would want to be treated.

Principle 5 Confidentiality: Protect the confidentiality of all client information.
Confidentiality means ensuring that information is accessible only to those authorized to have access. A relationship of trust and confidence with the client can only be built upon the understanding that the client’s information will remain confidential.

Principle 6 Professionalism: Act in a manner that demonstrates exemplary professional conduct.
Professionalism requires behaving with dignity and courtesy to clients, fellow professionals, and others in business-related activities. Certificants cooperate with fellow certificants to enhance and maintain the profession’s public image and improve the quality of services.

Principle 7 Diligence: Provide professional services diligently.
Diligence is the provision of services in a reasonably prompt and thorough manner, including the proper planning for, and supervision of, the rendering of professional services.

Neither CCM nor Brooks C. Sackett, CFP, CIMA, AIFA has a material financial interest, in any securities recommended to a client or bought or sold for a client’s account.
CCM, as part of its compliance program, strictly prohibits Insider Trading, which is acting on non-public information, by any employee of the firm.

CCM principal, owner, and sole employee, Brooks C. Sackett, CFP, CIMA, AIFA invests his own accounts in the same mutual funds and other investments that he invests in for his clients’ accounts. This practice doesn’t create a conflict of interest that Brooks is aware of inasmuch as all buys or sells in mutual funds occur at the end of the business day and the purchase price or selling price per share is identical.

CCM maintains a Business Continuation Plan and a copy of that plan is available to any client upon request.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

12 – Brokerage Practices

CCM does not maintain custody of assets that we manage for our clients. Assets must be maintained in an account with a “qualified custodian”, generally, a broker-dealer or bank. CCm requires that clients use Charles Schwab & Co, Inc. (Schwab), a registered broker-dealer, member SIPC, as the qualified custodian. CCM is independently owned and operated and is not affiliated with Schwab. Schwab will hold your assets in a brokerage account and buy and sell securities when we instruct them to. While CCM requires that clients use Schwab as custodian/broker, clients decide whether to do so and will open an account directly with Schwab by entering into an account agreement with them. CCM does not open accounts for clients, although CCM may assist you in doing so. If you do not wish to place your assets with Schwab, then CCM cannot manage your accounts. This is a business decision based on convenience both for CCM and clients. As a small firm, CCM prefers not to take on the complexity of working with multiple custodians. Not all investment advisors require their clients to open all their accounts with a particular third party custodian.

As a small advisor CCM has endeavored to find a custodian that works to maintain a high level of service and integrity at the most reasonable price for our clients. CCM seeks to use a custodian/broker that will hold your assets and execute transactions on terms that are, overall, most advantageous when compared with other available providers and their services. We consider a wide range of factors, including:
Capability to execute, clear, and settle trades (buy and sell securities for your account)
Capability to facilitate transfers and payments to and from accounts (electronic funds transfers, wire transfers, check requests, bill payment, etc.)
Breadth of available investment products (mutual funds, exchange traded funds [ETFs], etc.
Prior service to us and our other clients
Quality of services both to the investment advisor and extended customer service functions to our clients who retain us as advisors
Reputation, financial strength, and stability
Availability of other products and services that benefit us, as discussed below (see “Products and Services available to us from Schwab”)

Charles Schwab & Co. Inc. is a discount broker and sets transaction fees according to its own schedule of fees. CCM and Schwab are not affiliates and have no economic relationship that creates a material conflict of interest. Any fees charged by Schwab are not shared with CCM.
For our clients’ accounts that Schwab maintains, Schwab generally does not charge separately for custody services but it is compensated by charging you commissions or other fees on trades it executes or settles into your Schwab account. We have determined that having Schwab execute most trades is consistent with our duty to seek “best execution” of your trades. Best execution means the most favorable terms for a transaction based on all relevant factors, including those listed above.

Schwab Advisor Services (formerly called Schwab Institutional) is Schwab’s business serving independent investment advisory firms like CCM. They provide CCM and its clients with access to its institutional brokerage services (trading, custody, reporting, and related services), many of which are not typically available to Schwab’s retail customers. Schwab also makes available various support services. Some of those services help us manage or administer our clients’ accounts, while others help us manage our business. Schwab’s support services are generally available on an unsolicited basis (we don’t have to request them) and at no charge at us. Following is a more detailed description of Schwab’s support services:

Services that benefit you:
Schwab’s Institutional brokerage services include access to a broad range of investment products, execution of securities transactions, and custody of client assets. The investment products available through Schwab include some to which we might not otherwise have access or that would require a significantly higher minimum initial investment by our clients. Schwab’s services described in this paragraph generally benefit you and your accounts.

Services that may not directly benefit you:
Schwab also makes available to us other products and services that benefit us but may not directly benefit you or your account. These products and services assist us in managing and administering our clients’ accounts. They include investment research, both Schwab’s own and third parties. We may use this research to service our client’s accounts. Schwab also makes available software and other technology that:
Provide access to client account data (such as duplicate trade confirmations, account statements, downloads of daily data to our Portfolio Management Software)
Facilitate trade execution and allocate aggregated trade orders for multiple client accounts via Schwab’s Trading platform
Provide pricing and other market data
Facilitate payment of our fees from our client accounts
Assist with back-office functions, record-keeping, and client reporting

Services that generally benefit only us:
Schwab offers other services intended to help us manage our business enterprise. These services include:
Educational conferences and events
Consulting on technology, compliance, legal, and business needs
Publications and conferences on practice management and business succession
Access to employee benefits providers, human capital consultants, and insurance providers

Schwab may provide some of these services itself. In other cases, it will arrange for third-party vendors to provide the services to us. Schwab may also discount or waive its fees for some of these services or pay all or a part of third party fees. Schwab may also provide us with other benefits, such as occasional business entertainment of our personnel.

Schwab Advisor website allows us to place trades for our client accounts on their trading platform.
Schwab provides a specialized team of deeply trained individuals to provide CCM with “back-room” services to assist us in managing the daily needs of our clients’ accounts.
Schwab provides extended customer assistance to our clients through their Schwab Alliance Team.
Schwab sponsors an annual educational regional conference “Solutions” which focuses on improvements on Schwab’s advisor online tools and back office work flows to increase our internal efficiencies.
Due to our affiliation with Schwab, we receive a group discount on the annual subscription price to Morningstar Advisor Workstation, a tool we maintain to research mutual funds and ETFs.
We subscribe to and pay for directly a portfolio management software system owned by a third party, Schwab Performance Technologies.

CCMs interest in Schwab’s services:
The availability of these services from Schwab benefits CCM because we do not have to produce or purchase them except as stated above. CCM doesn�t have to pay for Schwab’s services. As long as CCM maintains at least $10,000,000 in client assets at Schwab, Charles Schwab & Co. Inc., provides us access to certain no cost services (described above) that are used to benefit all of our investment advisory client accounts custodied at Schwab. We may have an incentive to require you to maintain your account with Schwab, based on your interest in receiving the best value in custody services and the most favorable execution of your transactions. This is a potential conflict of interest. CCM believes, however, that our selection of Schwab as a custodian and broker is in the best interests of our clients. That selection is primarily supported by the scope, quality, and price of Schwab’s services and not Schwab’s services that benefit only us.

Not all investment advisors require their clients to open all their accounts with one-third party custodian even though CCM does. Dividing our client base between more than one broker dealer would have led to higher prices within our advisory business. As a small advisor CCM has endeavored to find a custodian that works well to maintain a high level of service and integrity at the most reasonable price for our clients. Most client trades are placed on an individual client account basis.

CCM constructs and manages client portfolios using primarily mutual funds and consequently CCM does not aggregate (group together) transactions of mutual funds. The buying and selling of mutual funds for each client account takes place individually at the account level. Clients do not pay any higher price or bear any additional charges for the lack of aggregation.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

13 – Review of Accounts
CCM periodically reviews client investment accounts annually in preparation for Annual Review appointments with clients. A similar type of financial planning review also occurs annually when the client and Brooks can discuss developments in the client’s situation and monitor the effectiveness of prior plans that are being implemented.

CCM also reviews client investment accounts when the decision has been reached to drop a mutual fund or add a mutual fund in client accounts. Specific client accounts are also reviewed periodically for clients making monthly contributions, taking monthly withdrawals, requesting one-time withdrawals and/or making one-time contributions.

CCM confirms that each client is sent individual account statements from their custodian, Schwab, to the address of record on the account. This reporting is done independently of CCM reporting but CCM monitors the custodian’s reporting to each client.

CCM clients receive a written quarterly statement after the end of each calendar year quarter (after December 31, March 30, June 30, and September 31 itemizing the quarter-end value of each constituent account along with the calculation of the investment management fees to be deducted from their account(s) based on those ending values. Keep in mind that all cash flows (deposits or withdrawals) of more than $1,000.00 within any quarter are pro-rated in the fee calculation.
CCM prepares annually detailed written reports showing the asset allocation of each constituent account, all accounts that are Qualified (IRAs, 401k Accounts, 403b Accounts, etc. that are tax-deferred) and all accounts that are Non-Qualified (brokerage accounts that are currently taxable)and of all the client’s accounts combined.

CCM also prepares annually written account performance reports of client accounts.

CCM also prepares annually from the Morningstar database detailed reports showing the investment details of all the client’s accounts combined and, separately, the Qualified Accounts combined and the Non-Qualified Accounts.

CCM also prepares monthly and/or quarterly reports of client account performance and calls clients to review those figures.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

14 – Client Referrals and Other Compensation
CCM does not pay any solicitor or other party for client referrals. Client referrals come from introductions on the part of current clients or from other professionals such as attorneys or accountants who are not compensated by CCM.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

15 – Custody
CCM does not take custody of client funds or securities (stocks, bonds, mutual funds, etc.). CCM client accounts held in custody at Schwab are issued monthly statements directly to each client at the address of record. CCM clients should carefully compare the account statements they receive from Schwab with the written statements they receive from CCM. Keep in mind that the fact that clients receive statements both from Schwab, the custodian of the client investments, and from CCM, the manager of the client investments, offers an excellent and continuing opportunity for the client to check the accuracy of the information from both sources. They should match. If they don’t please call Brooks immediately at 408 978-1773 and reference the specific account number, account titling, date, and the specific discrepancy.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

16 – Investment Discretion
CCM accepts investment management discretionary authority to manage client accounts. This means that clients give CCM limited powers of attorney as found in the account applications used to open accounts.

When the client authorizes these limited powers of attorney he or she gives CCM authority to receive information regarding the accounts, to place trades (buys and sells), and to withdraw fees.

All investment advisory clients give CCM the discretionary authority to manage accounts on their behalf. To implement its services CCM receives discretionary authorization from each client. CCM provides clients with assistance in opening an account with Schwab–an independent third party custodian. Schwab provides Limited Powers of Attorney (LPOA) which grants to CCM limited authority to the client account. This discretionary authority is limited to
1) the ability to conduct trading activity within the client account;
2) the submission of requests for direct payment of advisory fees from client accounts to CCM
by Schwab;
3) the ability to request that funds be delivered from the client account to the client at the client’s address, or predetermined other account with the same client registration, and does not enable CCM to direct delivery of funds or securities in any manner not for the benefit of the client.

Trade Errors
Mistakes in trading happen from time to time. The CCM policy regarding trade errors complies with that of Schwab. From time-to-time CCM may make an error in submitting a trade order for a client account. When this occurs, CCM may place a correcting trade with Schwab which has custody of the client account. If an investment gain results from the correcting trade, the gain will remain in the client account. If a loss occurs greater than $100, CCM will pay for the loss. Schwab will maintain the loss or gain (if such gain is not retained in the client account) if it is under $100 to minimize and offset its administrative time and expense. Generally, if related trade errors result in both gains and losses in the client account, they may be netted. In the case of all trade errors, the client will be contacted and the issue error will be explained fully.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

17 – Voting Client Securities
CCM does not accept authority to vote client securities but does receive informational copies of correspondence sent to clients regarding corporate matters.
CCM clients will receive proxies and other solicitations directly from the custodian or the transfer agent. All clients are urged to call Brooks C. Sackett at 408 978-1773 with any and all questions regarding proxies, custodian mailings, and corporate or fund communications.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

18 – Financial Information
CCM does not require or solicit prepayments of fees of more than $1,200 six months or more in advance. All fees are billed after services have been provided.

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.

19 – Requirements for State-Registered Advisors
CCM is a state-registered investment advisor in California and in Washington.
CCM principal, owner, and sole employee, Brooks C. Sackett, CFP, CIMA, AIFA is the corporation’s sole director and officer. Brooks is responsible for everything.
Here’s his abbreviated Curriculum Vitae:

EDUCATION:
San Jose State University
BA, Social Science, 1966
MA, History, 1972
MA, Education, 1977

EXPERIENCE:
Teacher, Mountain View-Los Altos School District
September, 1968-June, 1971
Teacher, Franklin-McKinley School District
January, 1975-June, 1984
Registered Representative, Planned Investments, Inc.
May, 1984-November, 1992
Registered Principal, Financial Telesis, Inc.
November, 1992-August, 2014
Registered Investment Advisor, Brooks C. Sackett
August, 1993-January, 1998
Registered Investment Advisor, Chief Capital Management, Inc.
January, 1998-Present

LICENSES:
California Real Estate Salesperson No. 00792606
California Department of Insurance, Life and Health No. 0691917
NASD Series 66, Uniform Combined State Law, 1996

PROFESSIONAL DESIGNATIONS:
Certified Financial Planner, 1986
Accredited Investment Fiduciary Analyst SM, 2000
Certified Investment Management Analyst, 2001

PROFESSIONAL MEMBERSHIPS:
Center for Fiduciary Studies FI360
Investment Management Consultants Association
Spokane Estate Planning Council

Please do not hesitate to contact Brooks directly with any questions or comments about this brochure. Call him anytime at 408 978-1773.
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Chief Capital Management, Inc. (CCM) PRIVACY DISCLOSURE:

This is the privacy policy statement on behalf of CCM and its representatives. We believe that personal information we collect about our clients must be treated with confidentiality. For this reason and in compliance with the law, we have developed a Privacy Policy, which may be modified from time to time. CCM and its representatives collect nonpublic personal information about you from applications and other forms, which they receive from you and from oral and e-mail communications. We may also receive information from consumer reporting agencies. Some of CCM representatives may independently provide investment advice, insurance sales, and other services toyou and receive information in the same way from you. CCM and its representatives, in the course of their business, will share this information that they collect with each other and with unaffiliated third parties (e.g., mutual funds, money managers, and custodians) for use in the business that they independently conduct. At such time as CCM and the representative terminate their relationship with one another, the information may be retained by both of them. We will not provide nonpublic personal information about you to non-affiliated third parties except to enable them or us to service your account, or when required by law. If you prefer that we not disclose nonpublic personal information about you to nonaffiliated third parties, you may opt out of those disclosures; that is, you may direct us not to make those disclosures (other than disclosures permitted by law). If you wish to opt out of disclosures to nonaffiliated third parties, you must call or write within 30 calendar days: Brooks C. Sackett, CFP®, CIMA®, AIFA® Chief Capital Management, Inc. 1581 Camino Monde San Jose, CA 95125 (408) 978-1773 or (509) 448-2680 or toll free (866) 200-5155. We restrict access to nonpublic personal information about you to those representatives and employees who need to know that information to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information.

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Chief Capital Management, Inc. (CCM) BUSINESS CONTINUITY PLAN DISCLOSURE:

In accordance with regulatory requirements CCM maintains a Business Continuity Plan (BCP) that describes what steps will be taken to ensure the continuity of our business operation in the event of an unanticipated disaster. The plan has been designed with procedures to ensure that client documentation will be accessible and that contact between CCM and its clients will be sustained. Copies of the BCP are available upon request.
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Chief Capital Management, Inc. (CCM) CODE OF ETHICS DISCLOSURE:

CCM maintains a Code of Ethics that describes firm policies and procedures and how CCM conducts business with its clients. CCM clients depend on the firm to be trustworthy, honest and loyal to their interests as provided in CCM’s agreement with them and disclosures in the CCM Form ADV. Clients expect CCM to protect the confidentiality of their personal and financial information and to provide timely and professional advice in accordance with CCM agreements. Each CCM IAR receives a copy of the Code and must acknowledge in writing that he or she has received and read it. Each IAR is expected to strive to act at all times in accordance with fundamental principles of openness, integrity, and honesty. This is in addition to the legal obligations that CCM and its Investment Advisor Representatives (IARs) all have to adhere to all applicable securities laws including the rules and regulations adopted under the Investment Advisers Act. Copies of the Code of Ethics are available upon request.
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