Registered Investment Advisors, like all providers of personal financial services, are now required by law to inform their clients of their policies regarding privacy of client information. Registered Investment Advisors have been, and continue to be, bound by professional standards of confidentiality that are even more stringent than those required by law. Therefore, we have always protected your right to privacy.
Types of Nonpublic Personal Information We Collect
We collect nonpublic personal information about you that is provided to us by you or obtained by us with your authorization.
Parties to Whom We Disclose Information
For current and former clients, we do not disclose any nonpublic personal information obtained in the course of our practice except as required or permitted by law. Permitted disclosures include, for instance, providing information to our employees, and in limited situations, to unrelated third parties who need to know this information to assist us in providing services to you. In all such situations, we stress the confidential nature of the information being shared. We do not share confidential information with third parties for their use in telemarketing, direct mail marketing, or other marketing through electronic mail. Therefore, you do not need to take any action to prevent disclosure.
Protecting the Confidentiality and Security of Current and Former Clients’ Information
We retain records relating to professional services that we provide so that we are better able to assist you with your professional needs and, in some cases, to comply with professional guidelines. In order to guard your nonpublic personal information, we maintain physical, electronic, and procedural safeguards that comply with our professional standards.
Please call if you have any questions, because your privacy, our professional ethics, and the ability to provide you with quality financial services are very important to us.
The ADV Part II form will be provided upon request. There were no major changes in the ADV Part II form for 2023.