We place a high priority on the sensitive personal information we receive about our clients and are committed to protecting this information to the best of our ability. We are providing this notice to our investors as required by regulations adopted under Title V of the Gramm-Leach-Bliley Act. This notice informs you about our practices for collecting, safeguarding, and disclosing your non-public personal information to affiliated and non-affiliated third parties.
We take great care to safeguard and limit access to investor information.
- We limit employee access to nonpublic personal information to those who need to know this information in order to serve clients. Employees are educated about the importance of privacy in accordance with our compliance policies and Code of Ethics.
- We maintain physical, electronic and procedural safeguards in compliance with applicable regulatory standards to guard your nonpublic personal information.
We collect investor information so we are better able to serve your needs.
We collect and maintain nonpublic personal information about clients from the following sources:
- Information we receive from you investment management agreements or other forms such as your social security number and net worth.
- Information about your transactions with us or others.
We share information with affiliated and non-affiliated third parties.
Information is shared with third parties only when those parties are acting on our behalf, or as required or permitted by law. We do not share information with our affiliate, StoneRidge Investment Partners for the purpose of marketing. The third parties we do share information with may include:
- Non-affiliated service providers who help us administer client accounts including auditors and consultants. These companies are legally obligated to maintain the confidentiality of the information we provide to them, and are restricted from using this information for any reason beyond the performance of specified services on our behalf.
- Other parties as permitted or required by applicable law. These may include, for example, government agencies in response to subpoenas and other legal processes, or those with whom you have authorized us to share information.