Privacy Policy

We are committed to keeping the personal information collected from our potential, current and former clients confidential and secure. The proper handling of personal information is one of our highest priorities. We want to be sure that you know why we need to collect personal information from you. We also want to explain to you our commitment to protect the information you provide to us. We never sell your information to any outside parties.

Client Information

We collect and keep only information that is necessary for us to provide services requested by you and to administer your business with us. We may collect nonpublic personal information:

  • From you when you complete an application, data gathering forms, or other forms. This includes information such as name, address, social security number, assets, income, net worth, copies of financial documents and other information deemed necessary to evaluate your financial needs and objectives.

  • As a result of transactions with us, our affiliates, or others. This could include transactions completed with us, information received from outside vendors to complete transactions or to effect financial goals.

Sharing Information

We only share your nonpublic personal information with non-affiliated companies or individuals as permitted by law, such as your representative within our firm, broker/dealers – custodians, mutual funds, money managers and other product vendors (collectively “Vendors”), or to comply with legal or regulatory requirements. A Vendor may store your personal information at the Vendor’s site in order to fulfill its obligations to the Registered Investment Adviser (“RIA”) or other vendors providing service to your account through their arrangement with RIA. With your approval, we may share information with your advisors, which can include your accountant, attorney, money manager or portfolio manager. In the normal course of our business, we may disclose information we collect about you to vendor companies or individuals that contract with us to perform servicing functions such as:

  • Broker / Dealer – Custodians

  • Record keeping

  • Computer related services

  • Good faith disclosure to regulators who have regulatory authority over the company

  • Subcontracted mailing services

Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested. We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.

When we provide personal information to a service provider, we require these providers to agree to safeguard your information, to use the information only for the intended purpose, and to abide by applicable law.

Employee Access to Information

Only employees with a valid business reason have access to your personal information. These employees are educated on the importance of maintaining the confidentiality and security of this information. They are required to abide by our information handling practices.

Protection of Information

We maintain security standards to protect your information, whether written, spoken, or electronic. We update and test our systems to ensure the protection and integrity of information.

Maintaining Accurate Information

Our goal is to maintain accurate, up-to-date customer records in accordance with industry standards. We have procedures in place to keep information current and complete, including timely correction of inaccurate information.

Disclosure of our Privacy Policy

We recognize and respect the privacy concerns of our potential, current and former clients. We are committed to safeguarding this information. As a member of the financial services industry, we are sending you this Notice of Privacy Policy for informational purposes and will update and distribute it as required by law. It is also available upon request.