Broker Check

Privacy Policy

We respect your financial privacy. We recognize that you have provided us with private personal financial information, and want you to know our policy regarding that information.
What information do we collect when working with a client and where do we get it?

Most of the personal information we compile comes from the data organizer that you provide when you establish a relationship with us. We also collect information on your account application(s) or other forms that you fill out, by telephone or in a personal meeting. In addition we receive transaction information on the accounts that we manage for you.

How do we protect your personal information?

We maintain physical, electronic and procedural safeguards within the firm’s offices to protect your privacy. We employ a firewall barrier, data encryption techniques and authentication procedures in our computer environment. No transactions can be performed through our client website at

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

•When we are required to execute transactions for your account or otherwise to
provide services you request.

•When you have specifically authorized and directed us to do so.

•When required by law, such as when our books and records are examined by federal or state regulators.

We work hard to establish and maintain your trust. If you have any questions or concerns regarding the privacy of your nonpublic, personal information, please call us at 415.256.8970 or e-mail us at