Our Commitment

Our firm is a fiduciary to our clients and is committed to protecting the confidentiality and security of the information collected from our clients. We understand the value of maintaining privacy when handling financial information. As a firm policy, we do not sell, rent, or lease consumer personal information we collect from clients. Client information is only disclosed as required for the management of their relationship with our firm or as required by law. We ensure the security of client information in accordance with the following Privacy Policy which includes all prospective, current, and former clients.

 

Collection and Gathering of Information

Our firm and the custodians, insurance companies, mutual fund companies, or other qualified investment providers where clients’ accounts are maintained are required by law to collect certain client information to manage their investments and to also protect against identity theft and money laundering. Client information is collected in the onboarding application when a new client relationship is established with our firm. This information includes first and last name, address, date of birth, marital status, social security numbers, account numbers, income, net worth, and other financial data necessary in the management and administration of a client’s investment account.

 

​Protection of Your Information

Our employees and financial advisors are committed and required to protect the confidentiality of client information. Employees may access client information only when necessary to perform their job functions in the management of client accounts. We maintain a secure office to ensure that your information is not placed at unreasonable risk. We employ a firewall barrier, secure data encryption techniques and authentication procedures in our technology stack. Our physical, electronic, and policies and procedures help safeguard client information.

 

​Disclosure of Information

We may disclose any information to or as directed by the client‘s financial advisor in the normal and necessary course of business, and when required by law. Client information may be disclosed in such circumstances as regulatory audits, to attorneys or judges as part of litigation, or law enforcement or other government agencies to help prevent, among other things, fraud, and money laundering. We may also may provide information to our affiliates, service providers, which enables them to deliver services for our firm or the client‘s financial professional, for things such as reporting, effecting transactions on the client‘s behalf, or performing maintenance on a client‘s account.

 

​Outside companies providing services on behalf of our firm, such as portfolio management systems, mail vendors, payment processors, or data processing companies, are each required to have an adequate privacy policy or sign a confidentiality agreement. They may only use the information provided by our firm to perform the job for which they have been contracted. Any violation of a confidentiality agreement is prosecutable by law. Other than the exceptions above, we will not make any disclosures of client information to any other businesses or third parties who may want to offer their services to the client.

 

Access to and Correction of Information

Should a client wish to review any file containing personal client information maintained by our firm, please contact us.

 

Further Information

We reserve the right to change the Privacy Policy at any time without prior notification. Please contact our firm for more detailed information on how we safeguard your information or questions that you may have. We may develop, use, distribute and publish information and statistics derived from aggregate consumer information and the content that You contribute for use on a masked, aggregate basis. We are required by law to deliver this Privacy Policy to all clients annually.