Client Privacy Policy

The policy of TriCapital Advisors Inc. (TAI) is to protect the confidentiality, integrity and security of any non-public personal information of our clients and prospective clients and to prevent unauthorized access to, or the use or disclosure of such information. We collect, retain and use information about our clients only where we believe it would be useful to administer our business and to provide products, services and other opportunities to clients.

TAI collects nonpublic personal information about clients from the following sources:

• Information we receive from clients; and
• Information about clients’ transactions with us or others.

TAI does not disclose any nonpublic, personal information about clients to anyone, except as permitted by law (e.g., the information is provided to help complete a client-initiated or authorized transaction). Appropriate notices will be provided to prospective and existing clients concerning our firm’s policies and procedures regarding privacy rules.

If a client decides to close his/her account(s) or become an inactive customer, we will adhere to the privacy policies and practices as described here.

TAI restricts access to clients’ personal and account information to those employees who need to know that information to provide products or services to clients. TAI maintains physical, electronic, and procedural safeguards to guard clients’ nonpublic personal information.

TAI maintains a list of representative clients for use on promotional materials. However, permission is granted by each participant of the list prior to use.