Accredited Investment Fiduciary
Certified Foundation Fiduciary Specialist
"Working for You, Ensuring
Your Investment Managers are Too"
The firm is prohibited by law from disclosing any confidential information about our clients or former clients to anyone, except as permitted or when required under the law.
The firm may disclose the following kinds of confidential personal information about you when permitted or required under the law:
Information we receive from you such as agency name, affiliation, authorized employee names, agency address, assets and income.
Information about your transactions with us, our affiliates, or others, such as account balances, investing history, contractual language, services rendered, remittances paid and parties to the transactions.
We may disclose confidential information about you to the following types of third parties in the course of conducting and servicing the firm’s contractual obligations with the client:
Financial service providers such as mortgage bankers, securities broker-dealers, insurance agents, third-party retirement plan administrators, actuaries, investment bankers, financial analysis service organizations, third-party money/investment managers, investment companies and other service providers in the normal course of supporting the firm’s service to the client.
The firm does not disclose or sell your information to non-financial companies, direct marketers, airlines, publishers, credit agencies, non-profit organizations or other third-party marketing organizations. The firm maintains no joint marketing agreements nor employs marketing organizations for the firm’s benefit. Information about the client will not be disclosed to any party not otherwise noted above or meeting the stipulations set forth.
We may only disclose confidential information about you to third parties as permitted by the client or required under the law.
The firm restricts access to confidential information about you to the principal, service providers supporting the firm’s role with the client, service providers acting on behalf of the firm’s client when the firm has been directed by the client to supply such information to the service providers.