Privacy Policy                                                                                                                                                        

CB Capital is committed to safeguarding the personal information that we collect and retain in performing our duties as a Registered Investment Adviser.  The Firm protects the security and confidentiality of the personal information we collect and has implemented controls to ensure that such information is used for proper business purposes in connection with the management of Client Accounts.  

CB Capital does not sell your non-public personal information to any third party.  The Firm will only share such information to the extent it is necessary in providing our Investment Advisory or other services to Clients as discussed below.  

What you need to know?

Registered Investment Advisers (“RIAs”) share some of your personal information.  Federal and state laws give you the right to limit some of this sharing.  Federal and state laws require RIAs to disclose how we collect, share, and protect your personal information. 

 

What information does the Firm collect from you?

Social security and/or taxpayer identification number(s)

Assets and liabilities

Name, address, date of birth, and phone number(s)

Income and expenses

Email address(es)

Investment activity

Account information (including other institutions)

Investment experience and goals

 

From what additional sources does the Firm collect your information?

Custody, brokerage, and advisory agreements

Account applications and forms

Other advisory agreements and legal documents

Investment questionnaires

Transactional information with the Firm or others

Other information needed to service the Account(s)

 

How does the Firm share your information?

The Firm needs to share Clients’ non-public personal information to effectively perform its duties as a Registered Investment Adviser.  Below are some of the reasons the Firm may share your information.

 

Basis for Sharing

Sharing

Limitations

Servicing Clients

The Firm may share non-public personal information with non-affiliated third parties such as Broker-Dealers, Custodians, regulators, credit agencies, and other financial institutions as necessary to provide services consistent with applicable law, including but not limited to:

·         Processing transactions

·         General account maintenance

·         Responding to regulators or legal investigations

 

CB Capital may share information

 

Clients cannot limit the Firm’s ability to share information

Administrators

We may disclose non-public personal information to non-affiliated third parties we hire to help administrate our business.  The third parties are not permitted to use Client information for their own purposes and are contractually obligated to maintain strict confidentiality.  The Firm limits their use of Client information to the performance of the specific service contracted.

 

CB Capital may share information

 

Clients cannot limit the Firm’s ability to share information

Marketing Purposes

The Firm does not share Client non-public personal information for marketing purposes. 

 

CB Capital does not share information

 

Clients can limit the Firm’s ability to share information

Authorized Users

The Firm may disclose Client non-public personal information to persons that the Client has authorized, such as an agent, representative, or other professional.

 

CB Capital may share information

 

Clients can limit the Firm’s ability to share information

Information About Former Clients

The Firm 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 Clients.

 

CB Capital does not share information

 

Clients can limit the Firm’s ability to share information

 

How the Firm protects your information?

To safeguard your non-public personal information from unauthorized access and use, we maintain physical, procedural, and electronic safeguards.  These include electronic means such as password protected files, encrypted emails, redundant storage, and physical means such as locked files and a facility under 24 hour security surveillance.

 

Updates to the Firm’s Privacy Policy

The Firm, at its sole discretion, may update or revise its privacy policy periodically as it deems appropriate without notice.  The Firm will always work to maintain and protect the high standard that is set with the current privacy policy.  In addition, Clients may request the Firm’s current privacy policy at any time by contacting the Firm at (401) 768-3361 or by email at Info@CBCapitalLLC.com