Disclosures / Privacy Policy
Alsworth Capital Management, LLC (“ACM”) is a Registered Investment Advisor (“RIA”), located in the State of New York. ACM provides investment advisory and related services for clients in New York and nationally. ACM will maintain all applicable registration and licenses as required by the various states in which ACM conducts business, as applicable. ACM renders individualized responses to persons in a particular state only after complying with all regulatory requirements, or pursuant to an applicable state exemption or exclusion.
This web site is intended to provide general information about ACM and its services. It is not intended to offer or deliver investment advice in any way. Information regarding investment services are provided solely to gain an understanding of our investment philosophy, our strategies and to be able to contact us for further information.
Market data, articles and other content on this web site are based on generally-available information and are believed to be reliable. ACM does not guarantee the accuracy of the information contained in this web site. The information is of a general nature and should not be construed as investment advice.
ACM will provide all prospective clients with a copy of our current Form ADV, Part 2A (“Disclosure Brochure”) and the Brochure Supplement for each advisory person supporting a particular client. You may obtain a copy of these disclosures on the SEC website at http://adviserinfo.sec.gov or you may Contact Us to request a free copy via PDF or hardcopy.
Licensed to sell securities in the following states: New York, Pennsylvania and Virginia.
Email Disclosures
ACM often communicates with its clients and prospective clients through electronic mail (“email”) and other electronic means. Your privacy and security are very important to us. ACM makes every effort to ensure that email communications do not contain sensitive information. We remind our clients and others not to send ACM private information over email. If you have sensitive data to deliver, we can provide secure means for such delivery.
Please note: ACM does not accept trading or money movement instructions via email.
As a registered investment advisor, ACM emails may be subject to inspection by the Chief Compliance Officer (“CCO”) of ACM or the securities regulators.
If you have received an email from ACM in error, we ask that you contact the sender and destroy the the email and its contents.
To review the ACM Privacy Policy, please click here.
If you have any questions regarding our email policies, please Contact Us.
Social Websites
ACM may utilize third-party websites, including social media websites, blogs and other interactive content. ACM considers all interactions with clients, prospective clients and the general public on these sites to be advertisements under the securities regulations. As such, ACM generally retains copies of information that ACM or third-parties may contribute to such sites. This information is subject to review and inspection by the CCO of ACM or the securities regulators.
Information provided on these sites is for informational and/or educational purposes only and is not, in any way, to be considered investment advice nor a recommendation of any investment product. Advice may only be provided by ACM’s advisory persons after entering into an advisory agreement and provided ACM with all requested background and account information.
If you have any questions regarding our policies, please Contact Us.
Privacy Policy
Effective Date: June 06, 2022
Our Commitment to You
Alsworth Capital Management, LLC (“ACM” or the “Advisor”) is committed to safeguarding the use of personal information of our Clients (also referred to as “you” and “your”) that we obtain as your Investment Advisor, as described here in our Privacy Policy (“Policy”).
Our relationship with you is our most important asset. We understand that you have entrusted us with your private information, and we do everything that we can to maintain that trust. ACM (also referred to as "we", "our" and "us”) protects the security and confidentiality of the personal information we have and implements controls to ensure that such information is used for proper business purposes in connection with the management or servicing of our relationship with you.
ACM does not sell your non-public, personal information to anyone. Nor do we provide such information to others except for discrete and reasonable business purposes in connection with the servicing and management of our relationship with you, as discussed below.
Details of our approach to privacy and how your personal, non-public information is collected and used are set forth in this Policy.
Why you need to know?
Registered Investment Advisors (“RIAs”) must share some of your personal information in the course of servicing your account. Federal and State laws give you the right to limit some of this sharing and require RIAs to disclose how we collect, share, and protect your personal information.
What information do we collect from you?
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Social security or taxpayer identification number |
Assets and liabilities |
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Name, address and phone number[s] |
Income and expenses |
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E-mail address[es] |
Investment activity |
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Account information (including other institutions) |
Investment experience and goals |
What Information do we collect from other sources?
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Custody, brokerage and advisory agreements |
Account applications and forms |
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Other advisory agreements and legal documents |
Investment questionnaires and suitability documents |
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Transactional information with us or others |
Other information needed to service account |
How do we protect your information?
To safeguard your personal information from unauthorized access and use we maintain physical, procedural and electronic security measures. These include such safeguards as secure passwords, encrypted file storage and a secure office environment. Our technology vendors provide security and access control over personal information and have policies over the transmission of data. Our associates are trained on their responsibilities to protect Client’s personal information.
We require third parties that assist in providing our services to you to protect the personal information they receive from us.
How do we share your information?
An RIA shares Client personal information to effectively implement its services. In the section below, we list some reasons we may share your personal information.
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Basis For Sharing |
Do we share? |
Can you limit? |
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Servicing our Clients We may share non-public, personal information with non-affiliated third parties (such as administrators, brokers, custodians, regulators, credit agencies, other financial institutions) as necessary for us to provide agreed upon services to you, consistent with applicable law, including but not limited to: processing transactions; general account maintenance; responding to regulators or legal investigations; and credit reporting. |
Yes |
No |
|
Marketing Purposes ACM does not disclose, and does not intend to disclose, personal information with non-affiliated third parties to offer you services. Certain laws may give us the right to share your personal information with financial institutions where you are a customer and where ACM or the client has a formal agreement with the financial institution. We will only share information for purposes of servicing your accounts, not for marketing purposes. |
No |
Not Shared |
|
Authorized Users Your non-public personal information may be disclosed to you and persons that we believe to be your authorized agent[s] or representative[s]. |
Yes |
Yes |
|
Information About Former Clients ACM does not disclose and does not intend to disclose non-public, personal information to non-affiliated third parties with respect to persons who are no longer our Clients. |
No |
Not Shared |
Changes to our Privacy Policy
We will send you a copy of this Policy annually for as long as you maintain an ongoing relationship with us.
Periodically, we may revise this Policy, and will provide you with a revised policy if the changes materially alter the previous Privacy Policy. We will not, however, revise our Privacy Policy to permit the sharing of non-public, personal information other than as described in this notice unless we first notify you and provide you with an opportunity to prevent the information sharing.
Any Questions?
You may ask questions or voice any concerns, as well as obtain a copy of our current Privacy Policy by contacting us at (607) 973-2665.
