Privacy Notice

Our Commitment to Protect your Privacy

We are committed to protect the confidentiality and security of your personal information. This Privacy Notice informs you of our privacy policies and practices related to your nonpublic personal information and how we handle such information.

Information We May Collect From You

We collect nonpublic personal information about you from the following sources in connection with providing our services:

  • Information we receive from you (such as name, address, date of birth, social security number, and all personal and financial information we learn in performing investment management and wealth planning reviews on your behalf), whether personally or in writing, by telephone or otherwise;
  • Information about your transactions with us or others;
  • Information we receive, with your authorization, from third parties such as accountants, legal counsel, financial advisors, insurance agents, banking institutions, brokerage firms and others.

Our Use of Information

We collect and use nonpublic personal information about you for the purpose of providing our investment management and wealth planning services and other related services or products, including handling transactions or providing services requested by you or persons authorized by you.

Information We May Disclose

We do not disclose any nonpublic personal information about you to third parties, except under the following circumstances: as authorized by you, as required or permitted by law, and for our everyday business purposes. For example, we may disclose nonpublic personal information necessary to effectuate a transaction on your behalf, to service your investment account, to conduct wealth planning services, or to comply with legal requirements. We outsource certain functions, technology and otherwise, to various nonaffiliated third-party vendors. In order for these vendors to perform the services for which they have been contracted, nonpublic, personal client information may be disclosed to or hosted on the third-party vendor’s technology. While our contractual arrangements with third-party vendors generally prohibit third-party vendors from disclosing or using client information other than for the purposes of performing services for us, third-party vendors could experience information-security breaches or other incidents that could expose nonpublic personal information of our clients. The occurrence of such an incident experienced by a third-party vendor is outside of our control.

How We Protect Information

We restrict access to your nonpublic personal information to those employees and service providers who need to know that information to provide products or services to you. We maintain physical, electronic and procedural safeguards that comply with federal standards to protect your nonpublic personal information.