Privacy Policy

Privacy Policy

Consumer Privacy
We place the highest value on the information you share with us, and we are committed to protecting your privacy. With our goal of protecting your privacy in mind, we want to provide our Consumer Privacy Notice ("Notice") to you and reaffirm our commitment to safeguarding your information. A Securities and Exchange Commission regulation, requiring registered investment advisers (along with banks; brokers; etc.) to provide a statement such as this to existing clients and to new ones as a relationship is established. Any material change in the provisions outlined below will require a revised disclosure be sent to all clients. In addition, all clients are to receive a copy of this statement annually.

Consumer Privacy Notice
Our Consumer Privacy Notice tells you the kind of information we collect about you, with whom we share it, and how we protect it responsibly. The Notice applies to all clients of Park Ridge Asset Management. The examples that you will find throughout this Notice are for purposes of illustration only and should not be considered a complete description of our information practices.

The Personal Information That We Collect, Maintain, And Communicate
Park Ridge Asset Management collects, maintains, and conveys personal information so we can provide investment management services to you. The types and categories of such information include:

  • Information we receive from you to open an account or provide investment advice to you (such as your home address, telephone number, and financial information);
  • Information that we generate to service your account (such as trade tickets and account statements);
  • Information that we may receive from third parties with respect to your account (such as trade confirmations and monthly statements from brokerage firms or other custodians of your securities);
  • Information of a tax or legal nature which we may receive directly from you or from such professionals acting on your direction. In order for us to provide investment management services to you, access to your personal information in very limited instances might be available as follows:
  • Disclosures to companies - subject to strict confidentiality agreements - that perform services on our behalf (such as technology consultants or providers of portfolio management systems); and
  • Disclosures to companies as permitted by law, including those necessary to service your account (such as providing account information to brokers and custodians as well as tax data to accountants); and
  • Disclosures to government entities in response to subpoenas or other governmental information requests. If you close your accounts or your relationship becomes inactive, we will continue to treat the information we have collected about you in accordance with this Notice.

Our Security Procedures
To fulfill our privacy commitment at Park Ridge Asset Management, we maintain physical, electronic, and procedural safeguards to protect consumer information. Our employees are bound by our Code of Ethics and policies to access consumer information only for legitimate business purposes and to keep information about you confidential. We require third parties that perform services for us to agree by contract to keep your information strictly confidential.