745 McClintock Suite 227 Burr Ridge, IL 60527
PH: (630) 581-5627   Fax: (630) 581-5630

Borthwick Associates strives to maintain a current, complete and meaningful regulatory compliance program.  We have developed certain plans and procedures to address this ever-changing area of the financial industry.

Investors may view Part 2A of our Form ADV (now referred to as our Firm Brochure) which offers specific information about the size and scope of our business activities on the SEC’s website at http://www.adviserinfo.sec.gov.  This Brochure follows an industry-standard format so investors may compare similar information across many firms.  You may access information on our firm under any of the following names or CRD numbers.

  • Borthwick Associates, Inc., CRD # 10416
  • Thomas Flaig, CRD # 2435226
  • Meg Davidson, CRD #1374172

Please contact Meg Davidson, Compliance Officer at meg@borthwickassociates.com or Thomas Flaig, President at tom@borthwickassociates.com if you have any comments regarding our compliance program or any other matter.