Retirement Planning & Administration Inc.
A subsidiary of Diefendorf Capital Planning Associates, LLC
PRIVACY
NOTICE
We respect your privacy and are committed to providing the
highest standards of confidentiality and safeguarding of
your financial and other personal information. In that regard,
we are providing this Privacy Notice to all clients that
obtain qualified plan administration, investment advisory and other financial services
from Diefendorf Capital Planning Associates, LLC or its subsidiaries.(the
“Adviser”).
Collection
and Use of Customer Information
Collection and use of any non-public personal information
collected and provided to the Adviser is derived primarily
from the client profile, account applications and other
forms completed by you and provided to the Adviser in conjunction
with our provision of investment advisory and other financial
services. The non-public personal information collected
and provided to us necessary to conduct our business and
to properly service your account will not be disclosed to
anyone other than those parties servicing your accounts
as agreed to in Service Agreement may be amended
from time to time. Any restrictions that you impose in the
client profile or in the Agreement will also be provide
to any third party managers selected by either the Adviser
(as approved by you) or you to manage your account.
Use
of Personal and Financial Information by Us and Third Parties
We may share nonpublic personal information about you with
any third party managers whom the adviser (with your consent)
or you have selected to manage your account and with other
third parties who provide services for your account. We
do not disclose any non-public personal information about
our clients or former clients to anyone, except such third
party managers and service providers that manage your account.
The information that we share may include:
·
Information that you provide on the client profile, applications
or other forms or through oral, written or electronic communications
(for example, your name, address, social security number,
birth date and restrictions on investments)
· Information derived from your transactions, including
amounts, account balances and account numbers
· Information that we receive from non-affiliates
(such as your bank account or brokerage account number(s)
or account balances)
The
types of third parties to whom we may disclose-nonpublic
personal information about you include:
·
Financial service providers, such as transfer agents, brokers
and reporting services
· Third party managers selected by either the Adviser
(with your consent) or you to manage your accounts
If you are a client of Retirement Planning & Administration Inc.
or if we are providing financial planning or tax related
services to you,
we may share nonpublic personal information about you with
employees of Diefendorf Capital Planning Associates, LLC or its subsidiaries in order to
facilitate the services that are being provided to you.
The information that we share may include:
·
Information that you provide on the client profile, applications
or other forms or through oral, written or electronic communications
(for example, your name, address, social security number,
birth date)
· Information derived from your transactions, including
amounts, account balances, taxable and non-taxable income,
and capital gain or loss information.
Limiting
Employee Access to Information
We limit access to your information to those employees and
service providers who are involved in offering or administering
the products or services that we offer. We train our employees
to respect customer privacy and to recognize the importance
of confidentiality. If our relationship ends, we will continue
to treat your non-public personal information as confidential
and safeguard that information.
Security
We
maintain physical, electronic, and procedural safeguards
that are designed to guard your information.
For
More Information
If
you have any questions or concerns about the privacy of
customer information, please contact us at 516-759-3900,
Monday through Friday, between the hours of 9:00 pm and
5:00 pm Eastern Time.
This policy is effective as of January 1, 2008.
