As a current, prospective or former client of Adviser Investments, LLC (“AI”), you have affiliated yourself with a firm that believes in keeping your personal and financial information confidential. In the course of doing business with you, we collect nonpublic information about you and your financial status in order to provide you with the best possible advice and service.
We collect this information from various sources:
- Information we receive from you on applications or other forms, such as your Social Security number, income, net worth, other personal financial information, occupation and birth date;
- Information about your transactions with us through our custodians (e.g., The Vanguard Group, Fidelity Investments, Charles Schwab, TD Ameritrade, etc.), such as account balances, assets and past transactions;
- Information we collect from you through your account inquiries by mail, email, telephone, in-person meetings, or through the use of internet domains that we either own or control; and
- Certain internet browsing activity collected, primarily through cookies, from your visits to web domains we either own or control.
Disclosure of Information to Nonaffiliated Third Parties
We may disclose nonpublic personal information about you for our everyday business purposes, such as to process transactions or service a client account. In addition, we may disclose nonpublic personal information to nonaffiliated service providers that we contract with for the purpose of providing services to AI and for the administration of our business. These service providers may include custodians; broker-dealers; investment companies; technology vendors; parties that provide back-office portfolio management, reconciliation and billing systems and services; consultants; and others. We require these companies to protect the confidentiality of your nonpublic personal information and to use it only for the purposes for which we disclosed the information. We do not otherwise disclose any nonpublic personal information that you provide to us to nonaffiliated third parties, except as required or permitted by law.
We restrict access to nonpublic personal information about you to those employees who need to know that information to provide products or services to you. We maintain physical, electronic and procedural safeguards that are designed to ensure the integrity and confidentiality of your nonpublic personal information.
This policy supersedes all previous versions and is effective February 1, 2020.