Sapient Private Wealth Management, LLC
PRIVACY NOTICE REGARDING CLIENT PRIVACY AS REQUIRED BY REGULATION S‐P AND REGULATION S‐AM.
Sapient Private Wealth Management, LLC has adopted this policy with recognition that protecting the privacy and security of the personal information we obtain about our clients is an important responsibility. We also know that clients expect us to service them in an accurate and efficient manner. To do so, we must collect and maintain certain personal information. All financial companies choose how they share your nonpublic personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your nonpublic personal information. Even when you are no longer our client, we will only share your nonpublic personal information as described in this notice. So, please read this notice carefully to understand what we do.
WHAT INFORMATION WE COLLECT
We collect certain nonpublic personal information such as social security number, income, account balances, employer information, investment experience, and risk tolerance from information provided on applications or other forms when an account is opened. We also collect information from transactions such as deposits, withdrawals, buys, sells, use of debit or credit cards, or through communications (electronic,
telephone, written or in person) with clients or their authorized representatives such as attorneys and accountants. We may collect information about visitors to our website such as information about the Internet Service Provider used and the type of browser. This information may be obtained from cookies. (Cookies are small files that a site or service provider can transfer to a computer hard drive through a Web browser, if allowed. They enable a website or a service provider to recognize a browser and capture and remember certain information). We do not personally identify visitors based upon this information. This information helps us to tailor our website to our clients and to serve our clients better.
WHAT INFORMATION WE DISCLOSE
All financial companies need to disclose client’s nonpublic personal information to run their everyday business. Below, we describe the reasons we can disclose your nonpublic personal information and whether you can limit this sharing.
We disclose your nonpublic personal information for our everyday business purposes such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, report to credit bureaus, to protect the confidentiality or security of your records, or as permitted by law.
Federal law gives you the right to limit only sharing nonpublic personal information about your creditworthiness for our affiliates’ everyday business purposes; sharing nonpublic personal information about you with our affiliates to market to you; and sharing nonpublic personal information with non‐affiliates to market to you.
We do not disclose nonpublic personal information about your creditworthiness with our affiliates for their everyday business purposes. We do not disclose your nonpublic personal information with our affiliates to market to you. We do not disclose your nonpublic personal information with non‐affiliates to market to you. We also do not disclose your nonpublic personal information for joint marketing with other financial
companies. State laws and individual companies may give you additional rights to limit sharing.
We disclose nonpublic personal information with our affiliates. We disclose nonpublic personal information to our parent company, Focus Financial Partners, LLC (“Focus”), for internal and external auditing purposes. We also disclose your nonpublic personal information with a nonaffiliate for the purpose of aggregating it and providing summary information based on this data to Focus.
SECURITY OF NONPUBLIC PERSONAL INFORMATION
We restrict access to nonpublic personal information to those employees in need of such information to serve the client. We maintain physical, electronic and procedural safeguards that comply with applicable federal or state standards to protect nonpublic personal information.
Our policy for obtaining and disclosing information may change from time to time. We will provide notice of any material change to this policy prior to implementation of any change.
If you have questions, please call 541.762.0300 or go to our website at www.sapientprivatewealthmanagement.com