F5 Financial Planning, L.L.C.’s (hereinafter “F5FP”) is committed to safeguarding the personal information that it obtains from its clients. This policy describes how F5FP protects personal information collected about individuals and institutions that retain its investment services. The provisions of this policy apply to former clients as well as current clients.
Personal Information Collected
F5FP collects personal information about its clients to evaluate their financial needs, manage their accounts, and provide individualized investment advice. The personal information obtained includes:
information provided on applications and other forms (such as name, contact information, social security number, occupation, assets, and income) and any additional information communicated to the Company which impacts clients’ financial circumstances; information about clients’ assets and transactions such as custodial statements and trade confirmations; and information obtained from clients in connection with providing financial services such as correspondence, emails and notes from telephone conversations or meetings.
Protection of Personal Information
Access to clients’ personal information is limited to those employees who need to know that information to service clients’ accounts and help them accomplish their financial objectives. Employees are required to maintain and protect the confidentiality of all personal information. To comply with applicable laws and regulations, F5FP maintains physical, electronic, and procedural safeguards to protect this information. F5FP also employs technology consultants who help maintain the firm’s network and software systems.
Information Sharing with Affiliates
F5FP currently does not have any affiliates (defined as companies controlled or under common control or ownership). In the event that we have affiliates in the future, we may share the personal information described above as permitted by applicable law. Any future affiliates would be prohibited from sharing that information with non-affiliates.
Disclosure to Nonaffiliated Third Parties
F5FP may share the personal information described above for business purposes with the following companies not affiliated with us:
Financial Service Providers – such as banks and brokers that provide custody and trade execution necessary to manage clients’ portfolios;
Professionals – such as accountants, lawyers, actuaries and trust officers who may be involved in providing ancillary financial services only if clients request or consent to the dissemination of this information; and Data Service Providers – such as third party technology consultants.
Regulatory Authorities – as required by law. For example, F5FP may disclose personal information to cooperate with regulatory authorities and law enforcement agencies as necessary to protect its rights.
Accessing and revising personal information