Privacy Policy

What Does Rareview Capital LLC (“RVC”) Do With Your Personal Information?

Financial companies choose how they share your personal information. This notice provides information about how we collect, share, and protect your personal information, and how you might choose to limit our ability to share certain information about you. Please read this notice carefully.

All financial companies need to share customers’ personal information to run their everyday businesses. Accordingly, information, confidential and proprietary, plays an important role in the success of our business. However, we recognize that you have entrusted us with your personal and financial data, and we recognize our obligation to keep this information secure. Maintaining your privacy is important to us, and we hold ourselves to a high standard in its safekeeping and use. Most importantly, RVC does not sell its customers’ non-public personal information to any third parties. RVC uses its customers’ non-public personal information primarily to complete financial transactions that its customers request or to make its customers aware of other financial products and services offered by a RVC affiliated company.

Collection of Client Personal Information

To conduct regular business, RVC may collect non-public personal information {“NPI”) about clients from the following sources:

• Information we receive from them on applications or other forms;
• Information about transactions with us, our affiliates, or others, including, but not limited to, shareholder account numbers and balance, payments history, parties to transactions, cost basis information, and other financial information;
• Correspondence, or conversations, including, but not limited to, their name, address, phone number, social security number, assets, income and date of birth;
• Information you may give us orally;
• Information you submit to us in correspondence, including emails or other electronic communications;
• Information about any bank account you use for transfers between your bank account and any account, including information provided when effecting wire transfers; and
• Information received from a consumer reporting agency.

Sharing of Client Personal Information

To provide the utmost in service, we may disclose the following information regarding customers and/or former customers, as necessary to companies to perform certain services on their behalf (e.g. custodial banks or brokers) or as required by law.

• Information we receive from clients on applications (name, social security number, address, assets, etc.);
• Information about client transactions with our firm or others (account information, payment history, parties to transactions, etc.);
• Information in connection with our performance of the services we have agreed to provide you. For example, it might be necessary to do so in order to process transactions and maintain accounts.

RVC will release any of the non-public information listed above about a client if directed to do so by that client or if RVC is authorized by law to do so, such as in the case of a court order, legal investigation, or other properly executed governmental request.

In order to alert a client to other financial products and services offered by an affiliate, RVC may share information with an affiliate.

RVC does not sell its clients’ non-public personal information to any third parties for marketing purposes.

Federal Law Gives You The Right To Limit Sharing – Opting Out

Federal law allows you the right to limit the sharing of your NPI by “opting-out” of the following:

• sharing for non-affiliates’ everyday business purposes – information about your creditworthiness;
• sharing with affiliates who use your information to market to you; or sharing with non-affiliates to market to you;
• State laws and individual companies may give you additional rights to limit sharing.

If you choose to opt out of these types of sharing, please notify us immediately by calling 203-539-6067.

DEFINITIONS:

Affiliates – companies related by common ownership or control. They can be financial and non-financial companies.

Non-affiliates – companies not related by common ownership or control. They can be financial and non-financial companies.

Joint marketing – a formal agreement between non-affiliated financial companies that together market financial products or services to you.

Information Safeguarding

RVC has taken extensive measures to safeguard the privacy and integrity of the information that it gathers, stores, and archives during its normal business practices.

RVC will internally safeguard non-public personal information by restricting access to client personal account information to those agents and vendors who need to know that information to provide products and services to you.

We maintain physical, electronic, and procedural safeguards to guard your non-public personal information.

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As required by federal law, RVC will notify customers of RVC’s Privacy Policy annually. RVC reserves the right to modify this policy at any time, but in the event that there is a change, RVC will promptly inform its customers of that change.

Please call at 212-475-8664 if you have any questions. Your privacy, our professional ethics, and the ability to provide you with quality financial services are very important to us.