Privacy Statement
Delphi Private Advisors, LLC ("DPA"), an independent investment advisory firm, is committed to maintaining the trust and confidence of our clients by safeguarding the confidential information they entrust to us. DPA has adopted the following policies in order to protect the privacy of our clients and former clients.
The categories of non-public information that we may collect from you in connection with providing investment and financial advice or other services include: (1) information we receive from you on account applications or other forms, or during verbal or written communications, such as your name, how you want your account established, your address, social security number, drivers license number, telephone number, employer information, tax bracket, annual income, net worth, liquid assets, investment history, investment objectives, risk preferences, number of dependents, marital status, and whether you or your immediate family members are affiliated with or employed within the financial services or banking industries; (2) information about transactions enacted on your behalf at your investment custodian; and (3) information received from credit or service bureaus or other third parties.
In order to implement strategies or transactions in your accounts, we may be required to provide this information to non-affiliated third parties. Only the information required to implement the strategy or transaction will be disclosed. Non-affiliated third parties may include investment custodians, tax professionals, attorneys, bankers and other investment-related businesses with which you have a relationship.
Internally, we restrict access to your personal information to those employees who need to know that information in order to conduct our business, service your account and assist you in accomplishing your investment objectives. In addition, each of our employees is required to comply with DPA’s Code of Ethics and Privacy Statement, which reiterate the confidentiality of all client-related information. We maintain physical, electronic and procedural security measures to safeguard confidential client information and comply with all applicable laws and regulations. We do not provide your personal information to mailing list vendors, telemarketers or other solicitors.
Any personal information that we collect about you will be maintained throughout your tenure as a client of DPA. Should you cease being a client of DPA, we will maintain that information for such additional period of time as is required by federal and state securities laws. As permitted by law, federal and state securities regulators may review the firm’s records, including your personal records, as may consultants and attorneys retained to assist DPA in meeting our regulatory obligations. After the required record retention period, all confidential client information is destroyed.
As required by federal law, we will notify you of our privacy policy at least annually. We reserve the right to modify this policy at any time. Should we make any material modifications, we will notify you immediately.