Privacy Policy
As a registered financial management institution, the information we collect is treated as an asset entrusted to us. We do not share your information with anyone outside our company.We keep it physically and digitally secured onsite, and use it only for the purposes stated when it is collected. It is your property and we will never forget that. If you have concerns about transmitting any data to us online we will happily accommodate you by other means.
REGULATION S-P (PRIVACY NOTICE)
Pursuant to Regulation S-P adopted by the Securities and Exchange Commission, it is the policy of Carrick Bend Advisors, LLC. ("Carrick Bend Advisors") to keep confidential nonpublic personal information ("information") pertaining to each current and former client (i.e., information and records pertaining to personal background, investment objectives, financial situation, investment holdings, account numbers, account balances, etc.) unless Carrick Bend Advisors is: (1) previously authorized by the client to disclose information to individuals and/or entities not affiliated with Carrick Bend Advisors, including, but not limited to the client's other professional advisors and/or service providers (i.e., attorney, accountant, insurance agent, broker-dealer, investment adviser, account custodian, etc.); (2) required to do so by judicial or regulatory process; or (3) otherwise permitted to do so in accordance with the parameters of Regulation S-P.
The disclosure of information contained in any document completed by the client for processing and/or transmittal by Carrick Bend Advisors in order to facilitate the commencement/continuation/termination of a business relationship between the client and a nonaffiliated third party service provider (i.e., broker-dealer, investment adviser, account custodian, insurance company, etc.), including information contained in any document completed and/or executed by the client for Carrick Bend Advisors (i.e., advisory agreement, client information form, etc.), shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party service provider.
Each individual and/or entity affiliated with Carrick Bend Advisors is aware of Carrick Bend Advisors' Privacy Policy, and has acknowledged his/her/its requirement to comply with same. In accordance with Carrick Bend Advisors' Privacy Policy, each such affiliated individual and/or entity shall have access to information to the extent reasonably necessary for Carrick Bend Advisors to perform its services for the client, and to comply with applicable regulatory procedures and requirements. Should you have any questions regarding the above, please contact Brian A. Berberet, Principal of Carrick Bend Advisors, LLC, at (650) 292-4920.