We collect personal financial information about you from the following sources:

      • Information you provide us in investment advisory agreements, brokerage account applications, and other documents you complete in connection with the opening and maintenance of your accounts with us; and

      • Information you provide us orally; and

      • Information we receive from third parties, such as brokerage firms, about your transactions with us or with others.

        We do not disclose any nonpublic personal financial information about you to anyone, except in the following circumstances:

      • When required to execute transactions for your account or otherwise to provide services you have requested; or

      • When you have specifically authorized us to do so in writing; or

      • When permitted or required by law.

        Within our firm, we restrict access to your personal financial information to the employees who need to know that information to provide services to you. To ensure security and confidentiality, we maintain physical, electronic, and procedural safeguards to protect your privacy.

Return to Information Request Form          Return to Main Forms & Links Page