BKS Advisors, L.L.C., a registered investment adviser, is committed to safeguarding the confidential information of our clients because mutual trust is essential to the advisor-client relationship. This is our policy describing how we treat your personal information.
We May Collect Information About You
Our primary client goal is to protect your privacy. To conduct regular business, we may collect nonpublic personal information from sources such as:
- Applications or other forms you provide to us; and
- Your account, including your transactions with us, our affiliates, or others.
“Nonpublic personal information” is nonpublic information about you that we obtain in connection with providing a financial product or service to you for personal, family, or household purposes. It does not include information available from government records, widely distributed media (like telephone directories), or government mandated disclosures.
Third Parties With Whom We May Share Information
We do not share nonpublic personal information about our clients or former clients with anyone, except as otherwise permitted by law. For example, we are permitted by law to share information about you with:
- Companies that assist us in processing your transactions and servicing your account, such as introducing and clearing brokerage firms, mutual fund companies, insurance companies, and other account custodians.
- Our lawyers, accountants, and compliance professionals who assist us in complying with applicable laws, rules, and regulations.
- Our investment advisory representatives, employees, and the financial services professions who may have referred you to our firm and with whom you continue to work such as your accountant, tax preparer, or lawyer.
- Federal and state regulators who regulate our firm and its representatives.
We do not provide your personally identifiable information to direct marketers or independent solicitors (for other companies) for any purpose.
Disclosure of Information About Former Clients
If you decide to close your account(s), we will continue to adhere to the privacy practices described in this notice when you become a former client. You become a former client when your Investment Management Agreement with us is terminated. We will maintain personally identifiable information about you during the time you are a client, and for any time thereafter that we are required to maintain the records by federal and state securities laws. After this required period of record retention, all of your information will normally be destroyed.
We internally safeguard your nonpublic personal information by restricting access to only those employees who provide products or services to you or those who need access to your information to service your account. We maintain physical, electronic and procedural safeguards that comply with federal regulations to guard your nonpublic personal information and we have signed a confidentiality agreement with such advisor.
Please call our Compliance Officer, Craig T. Simmons, if you have any questions at 248-358-6500.