Business Continuity Plan

 

Last Updated: November 12, 2025

At Stapleton Frost Capital, LLC, we recognize the importance of maintaining uninterrupted access to critical financial services, communications, and client data. Our Business Continuity Plan (“BCP”) is designed to ensure operational resilience across all divisions—including Venture Funding and virtual CFO services—in the event of natural disasters, cyber incidents, infrastructure failures, or other disruptions.

 

1. Continuity Objectives

Our BCP is structured to:

  • Protect client assets and sensitive information
  • Maintain communication channels with clients, regulators, and counterparties
  • Restore essential operations within defined recovery time objectives (RTOs)
  • Comply with applicable regulatory requirements, including those set forth by state agencies
 
 

2. Scope of Coverage

The plan addresses continuity across:

  • Core business functions (deal execution, advisory, reporting)
  • Technology infrastructure (email, CRM, document management)
  • Communications (phone, video conferencing, secure messaging)
  • Physical office access and remote work protocols
  • Third-party dependencies (custodians, clearing firms, vendors)
 
 

3. Data Protection & Redundancy

We maintain secure, encrypted backups of all critical data across geographically diverse data centers. Systems are monitored continuously, and failover protocols are in place to ensure minimal downtime.

 

4. Remote Operations

Stapleton Frost Capital, LLC is equipped to operate remotely with full access to client files, communications, and compliance tools. Our team can transition to remote work within hours, ensuring continuity of service regardless of physical office availability.

 

5. Communication During Disruption

In the event of a disruption:

  • Clients will be notified via email, phone, or website updates
  • Emergency contact information will be posted on StapletonFrost.com
  • Key personnel will remain reachable through designated backup channels
 
 

6. Regulatory Coordination

We maintain ongoing communication with regulatory bodies when needed.

 

7. Plan Review & Testing

Our BCP is reviewed annually and tested periodically to ensure effectiveness. Updates are made to reflect changes in operations, technology, and regulatory guidance.

 

8. Contact Information

For questions about our Business Continuity Plan or to report a service disruption, please contact:

Stapleton Frost Capital, LLC
C/o Stapleton Advisors, Inc.
401 E. Jackson St. Ste 2340
Tampa, Florida 33602
Phone: (813) 515-9665