Client Login | Newsletter Sign-up
Skip to content

Privacy Policy

We may use your personal information: (1) to provide to you and communicate with you about the Services, content, features, or products you use or request; (2) to customize and optimize the content or advertisements you receive when you use the Service, and otherwise enhance or improve your experience, or our Service, (3) to analyze and improve our Services, which may include traffic, usage, and navigation patterns related to your activities on the Service and the links we provide to third party websites or advertisements; (4) to secure your account and prevent fraud; (5) for compliance and protection purposes, including to protect our or third party rights or interests; (6) to advertise to you or send you commercial or marketing messages including, without limitation, newsletters, and email communications about our Services, or those of our partners; (7) in any other way we may describe when you provide the information; and (8) for any other purpose that we believe in good faith is necessary to help protect the security or proper functioning of our Service or delivery services.

We may also aggregate your information with information about other users, and de-identify your information by removing characteristics (such as your name or email address) that make the information identifiable to you. We may use such information for our lawful business purposes.

OUR PRIVACY POLICY

In providing financial services, including investment advisory services and products (“Service”) to our clients, we collect certain non-public information about them. Our policy is designed to keep this information confidential and safeguarded, and to use or disclose it only as needed to provide services to our clients, or as permitted by law. Protecting your privacy is important to us.  We provide this Privacy Policy at the start of our relationship and annually thereafter, as required by federal law.

INFORMATION WE COLLECT

The non-public personally identifiable information we have about clients includes the information they give us when opening an account or communicating with us. This could include: 

  • Name and address 
  • Social Security Number 
  • Investment objectives and experience
  • Financial circumstances
  • Employment history
  • Account balances and transactions 
HOW WE SHARE YOUR PERSONAL INFORMATION 

We do not sell personal client information to anyone.  

Affiliates. We may share personally identifiable information about you with our affiliated companies for everyday business purposes, however, our affiliated companies are not permitted to use this information to market their products or services to you. 

We do not disclose personally identifiable information about our clients to non-affiliated third parties, without expressed written consent. We may disclose anonymous information that cannot be linked to an individual client on occasion, but only to companies that we hire to help us provide products and services to our clients, or as required by law, or as authorized by the client personally, or as otherwise described in this Privacy Policy. 

Service Providers. Companies and individuals that provide services on our behalf or help us operate our services and business (such as IT, hosting, investment trading, customer relationship management and support, print and mail fulfillment, data management, email delivery, etc.). 

Service-Related Third Parties. Brokers, custodians, administrators, transfer agents, investment funds and their respective managers and other non-affiliated third parties as necessary to provide our services to you. 

HOW INFORMATION IS USED

We use your personal information for the following purposes: 

Service Delivery. We use your personal information to provide, operate, and improve the Service; execute your transactions; provide support for the service; and respond to your inquiries, questions and feedback.  

Compliance and Operations. We may use your personal information to: comply with applicable laws, lawful requests, and legal processes, such as to respond to subpoenas or requests from government authorities; protect our, your or others’ rights, privacy, safety or property (including by making and defending legal claims); audit our internal processes for compliance with legal and contractual requirements and internal policies; and prevent, identify, investigate and deter fraudulent, harmful, unauthorized, unethical or illegal activity, including cyberattacks and identity theft.  

HOW INFORMATION IS SAFEGUARDED

We have procedures in place that we believe are reasonably designed to protect the security and confidentiality of client information. These include confidentiality agreements with companies we hire to help us provide services to clients, password-protected user access to our computer files, and strict confidentiality policies that apply to all Firm personnel, vendors and contractors. While we take steps to protect your information, please be aware that no method of transmission over the internet is completely secure. We encourage you to use discretion when sharing information, and once we receive your transmission, we will take reasonable measures to protect it within our systems.  This Privacy Statement is effective as of 04/24/2025. This Privacy Policy may change from time to time and if so, we will post all changes on the Service in a manner that we believe is reasonably likely to reach you.

YOUR DATA CHOICES

You have the following choices with respect to your personal information: 

Decline to provide information. We need to collect personal information to provide certain services. If you do not provide the information requested, we may not be able to provide those services.  We do not share non-public personal information with non-affiliated third parties except as permitted by law. If this changes, you will be given an opportunity to opt out of such information sharing.

Opt out of marketing communications. You may opt out of marketing-related communications by following the opt-out or unsubscribe instructions contained in the marketing communications we send you.

Correction of personal information that is inaccurate or out of date.

Deletion of personal information that we no longer need to provide the Services or for other lawful purposes when congruent with applicable legal and regulatory requirements.

How to contact us. You can reach us in the following way: 

  • Mail: 4205 Springhurst Blvd Ste. 102 Louisville, KY 40241