Information We Collect: We collect certain non-public information about you (“Client Information”). The essential purpose for collecting client Information is to allow us to provide advisory services to you. client Information we collect may include:
- Information that you provide on applications or other forms. This client Information may include personal and household information such as income, spending habits, investment objectives, financial goals, statements of account, and other records concerning your financial condition and assets, together with information concerning employee benefits and retirement plan interests, wills, trusts, mortgages and tax returns.
- Identifying information such as your name, age, address, social security number, etc.
- Information about your transactions with us, or others (e.g., broker-dealers, clearing firms, or other chosen investment sponsors).
- Information we receive from consumer reporting agencies (e.g., credit bureaus), as well as other various materials we may use to provide an appropriate recommendation or to fill a service request.
Security of Your Information: We restrict access to your non-public personal information to those employees who need to know that information to service your account. We maintain physical, electronic and procedural safeguards that comply with applicable federal or state standards to protect your non-public personal information.
Information We Disclose: We disclose the non-public personal information we collect about our clients in the following circumstances: (i) in furtherance of our business relationship with them and then only to those persons necessary to effect the transactions and provide the services that they authorize (such as broker-dealers, custodians, independent managers, attorneys, auditors, accountants, and other consultants, etc.); (ii) to persons assessing our compliance with industry standards (e.g., professional licensing authorities, etc.); (iii) our attorneys, accountants, and auditors; or (iv) as otherwise provided by law.
Information We Disclose to Non-affiliated Third Parties: We may also share Client Information with non-affiliated third parties, including Certified Public Accountants (CPA’s) with whom we maintain professional alliances. In order to share your information, we require positive consent below. If you chose not to share your information, please indicate your choice below and your information will not be shared with non-affiliated third parties.
Former Clients: If you decide to close your account(s) or become an inactive client, we will adhere to our privacy policies, which may be amended from time to time.
Questions: If you have questions about this privacy notice or have a question about the privacy of your client information call our main number 828-323-8777 and ask to speak to the Chief Compliance Officer.