The following information will serve as the Stack Asset Management, Inc.’s Privacy Policy Notice to clients. Stack Asset Management is a registered investment Advisor firm in the business of providing investment advisory services to customers.
Stack Asset Management is committed to safeguarding the confidential information of clients. Stack Asset Management holds all personal information provided to the firm in the strictest confidence. Except as required or permitted by law, Stack Asset Management does not share confidential information about clients with non-affiliated third parties. In the unlikely event there were to be a change in this fundamental policy that would permit additional disclosures of clients’ confidential information, Stack Asset Management will provide written notice to clients, and clients will be given an opportunity to direct Stack Asset Management as to whether such disclosure is permissible.
An Important Notice Concerning Our Customers’ Privacy
Customer Information Stack Asset Management Collects. Stack Asset Management collects and develops personal information about clients, and some of that information is non-public personal information (Customer Information). The essential purpose for collecting Customer Information is to provide and service the financial products and services clients obtain from Stack Asset Management. The categories of Customer Information collected by Advisor depend upon the scope of the engagement with Stack Asset Management and are generally described below. As an investment Advisor, Stack Asset Management collects and develops Customer Information about clients in order to provide investment advisory services. Customer Information collected includes information Stack Asset Management receives from clients through consultation with Stack Asset Management. This information may include personal and household information such as income, spending habits, investment objectives, financial goals, statements of account, and other records concerning clients’ financial condition and assets, together with information concerning employee benefits and retirement plan interests, wills, trusts, mortgages and tax returns.
Use and Disclosure of Customer Information to Provide Customer Service for Client Accounts. To administer, manage and service client accounts, process transactions and provide related services for client accounts, it is necessary for Stack Asset Management to provide access to Customer Information within Stack Asset Management and to non-affiliated companies, such as custodians. Stack Asset Management may also provide Customer Information outside of the firm as permitted by law, such as to government entities, consumer reporting agencies or other third parties in response to subpoenas.
Former Clients. If clients close an account with Stack Asset Management, Stack Asset Management will continue to operate in accordance with the principles stated in the Notice.