Return to Site

Privacy Policy

Your privacy is very important to us and your trust is the foundation of our relationship.  Gathering information about you facilitates our ability to provide financial advice and asset management as well as process transactions.  The following privacy policy applies to current and former clients.

  1. We collect personal information from you only when that information is provided by you or is obtained by us with your authorization.  We use this information to administer our business and provide you services, such as in opening accounts, determining appropriate asset allocation, and formulating investment strategies.  We may collect several types of client information needed for these purposes, such as those below:
    • Application and registration information, including information such as your address, phone number, social security number, and investment and financial objectives.
    • Transaction information, including balances, positions, and history.
    • Financial history questionnaires or interviews, along with income and balance sheet information.
  2. Nonpublic personal information is not sold to any third parties for any purpose.
  3. We do not share client information with third parties, except under the limited circumstances listed below:
    • To third parties contracted to provide specific services to us to help process or service your account.
    • With your CPA, Attorney or other professionals with your approval.  Additionally, other interested parties may also be provided data based on your request.
    • When we believe in good faith that disclosure is required or permitted under law; for example, to cooperate with regulators or law enforcement authorities, or in response to judicial subpoenas.
    • To provide information to affiliates of our firm and non-affiliated third parties who perform services or functions for us in conjunction with our services to you.
  4. We protect your nonpublic information by restricting access to the information and maintaining its confidentiality.
    • Those companies that we hire to provide services are not allowed to use your nonpublic information for their own purposes and are contractually required to maintain your nonpublic information in the strictest confidence.
    • We restrict access to nonpublic information to our employees and agents for business purposes only.  All employees are required to safeguard such information.
  5. Nonpublic information is protected by physical, electronic and procedural safeguards.

Your trust and confidence in us is our primary concern.  If you have any questions or concerns, please contact us at 510-336-9120.