Initial and Annual Notice of Privacy Practices

 

Delphinus Financial Advisors, LLC, an investment advisory firm, is committed to safeguarding the confidential information of its clients. We do collect nonpublic personal information to provide you with accurate and pertinent financial and tax advice. We hold all nonpublic personal information you provide to us in the strictest confidence. If we were to change our firm policy, we would be prohibited under the law from doing so without advising you first.

Delphinus Financial Advisors, LLC collects personal information about you from the following sources:

  • Applications or other forms.
  • Discussions with nonaffiliated third parties.
  • Information about your transactions with us or others.
  • Questionnaires.
  • Tax Returns.
  • Estate Planning Documents.
  • Insurance Policies.

Delphinus Financial Advisors, LLC uses your personal information in the following manner:

  • We do not sell your personal information to anyone.
  • We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.
  • We maintain a secure office and computer environment to ensure that your information is not placed at unreasonable risk.
  • We limit employee and agent access to information only to those who have a business or professional reason for knowing.
  • We limit access to information only to nonaffiliated parties as permitted by law (for example, federal regulations permit us to share a limited amount of information about you with a brokerage firm in order to execute securities transactions on your behalf, or so that our firm can discuss your financial situation with your accountant or lawyer.), or to our selected vendors as we deem necessary to provide our services to you (for example, our client relationship management system, our portfolio management system, etc.).
  • For nonaffiliated third parties that require access to your personal information, including financial service companies, consultants, and auditors, we also require strict confidentiality in our agreements with them and expect them to keep this information private. Federal and state regulators also may review firm records as permitted under law.
  • We will provide notice of changes in our information sharing practices. If, at any time in the future, it is necessary to disclose any of your personal information in a way that is inconsistent with this policy, we will give you advance notice of the proposed change so you will have the opportunity to opt out of such disclosure.
  • Personally identifiable information about you will be maintained during the time you are a client, and for the required time thereafter that such records are required to be maintained by federal and state securities laws. After this required period of record retention, all such information will be destroyed.