Protecting client privacy is of utmost importance and something we take seriously at Grandview Investment Advisors, LLC (“Grandview” or “Advisor”). It is Grandview’s policy that no private client financial information, or other nonpublic information, obtained by Grandview is sold or made available to third parties except that:
- Third parties may be used by Advisor to assist in the management or maintenance of client accounts (such as a client’s custodian);
- Client information may be released in accordance with applicable laws and regulations.
Grandview will not share nonpublic personal information about our clients with nonaffiliated third-parties without prior client consent, except for the specific purposes described below. This policy statement explains our collection, use, and safeguarding of client information.
How Information Is Collected
In connection with providing clients with investment management services, Grandview may obtain information about our clients from the following sources:
- Client agreements and other information provided by clients, whether in writing, in person, by telephone, electronically, or by other means. This information may include a client’s name, address, phone number, email address, social security number, employment information, earnings history, investment experience, or other personal nonpublic information.
- Personal tax returns and/or completed financial planning questionnaires provided by the client.
- Transactions on a client’s behalf. This information may include a client’s account balances, investment positions, investment interests, and investment history.
- Public sources.
How Information is Used
Grandview only discloses nonpublic information to nonaffiliated third parties without prior client consent when believed necessary for the conduct of business or as required or permitted by law, such as:
- If authorized or requested by the client that such information be disclosed.
- To provide client account services or account maintenance.
- To respond to a subpoena or court order, judicial process, law enforcement or regulatory authorities.
- To perform services for the firm or on its behalf to develop or maintain proprietary trading or other software.
- In connection with a proposed or actual sale, merger, or transfer of all or a portion of our business or an operating unit.
- To help Grandview prevent fraud.
- With rating agencies, persons assessing compliance with industry standards, or the attorneys, accountants and auditors of the firm.
- To comply with federal, state, or local laws, rules and other applicable legal requirements.
Grandview does not make disclosure of client nonpublic personal information to other companies who may want to sell their products or services to you. For example, we do not sell client lists, and we will not sell client names to catalogue companies.
How Information Is Safeguarded
Grandview has procedures in place that are believed to be reasonably designed to protect the security and confidentiality of client information. These include confidentiality agreements with companies that are hired to help Grandview provide services to clients, password protected user access to computer files containing confidential client information, and strict confidentiality policies that apply to Grandview personnel.