Sloan Advisory Group - Privacy


Sloan Advisory Group, Inc. (SAGI) is committed to maintaining the confidentiality, integrity and security of the personal information that is entrusted to us. SAGI and its employees are committed to protecting your privacy and to safeguarding that information.

We collect non-public personal data in forms, in written notations, and in documentation provided to us by our clients for use in providing our investment and wealth management services. The categories of non-public information that we collect from a client depend upon the scope of the client engagement. It may include information about your personal finances and information about transactions between you and third parties.

We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk. All non-public information is kept securely in our office or is secured in offsite storage.

No unauthorized individual shall obtain or seek to obtain personal and financial client information. No individual with authorization to access personal and financial client information shall share that information in any manner without the specific consent of a firm principal. Failure to observe SAGI procedures regarding client and consumer privacy will result in discipline and may lead to termination.

SAGI is committed to the protection and privacy of its clients’ personal and financial information. SAGI will not share such information with any affiliated or non-affiliated party except:

  • When necessary to complete a transaction in a client account, such as with the clearing firm or account custodians;
  • When required to maintain or service a client account;
  • To resolve client disputes or inquiries;
  • With persons acting in a fiduciary or representative capacity on behalf of the client;
  • With rating agencies, persons assessing compliance with industry standards, or to the attorneys, accountants and auditors of the firm;
  • To protect against, or prevent actual or potential fraud, identity theft, unauthorized transactions, claims or other liability;
  • To comply with federal, state or local laws, rules and other applicable legal requirements;
  • In connection with a written agreement to provide investment management or advisory services when the information is released for the sole purpose of providing the products or services covered by the agreement;
  • In any circumstances with the client’s instruction or consent.

It is not a policy of SAGI to share non-public information and financial information with affiliated or non-affiliated third parties except under the circumstances noted above. Since sharing under the circumstances noted above is necessary to service client accounts or is mandated by law, there are no allowances for clients to opt out.

Personally identifiable information about you will be maintained during the time you are a client, and for the time thereafter that such records are required to be maintained by federal and state securities laws. After this period of records retention, all such information will be destroyed in accordance with our records retention and purging procedures.

Please call if you have any questions. Your privacy, our professional ethics, and the ability to provide you with quality financial services are very important to us.

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