Conscient Capital, LLC. Privacy Policy

January 1, 2021

Conscient Capital, LLC, respects and is dedicated to protecting the privacy of its clients. Conscient Capital pledges to maintain a client’s trust and confidence and will continue to safeguard the confidentiality of the information entrusted to us.

Client Information

The information Conscient Capital collects is limited to that which may be useful as we conduct our business and provide services to clients; protect and administer client accounts; comply with all regulatory laws and regulations; obtain an understanding of a client’s financial needs so that we may provide them with the highest quality of service.

Conscient Capital may collect nonpublic, personal information about its clients from the following sources:

  • Information provided by clients on applications or other forms used to establish and maintain an account, such as assets and income;
  • Information we have obtained at a client’s request;
  • Information we may receive from public records and market research;
  • Transactional reports, trade confirms, activity reports or statements regarding account asset information from a broker, bank or other financial institution generated in the servicing of a client’s account;
  • Financial or asset related information that we may receive from third parties with respect to a client’s account;

Shared Information

Conscient Capital does not sell information or client lists to third parties nor do we share information about any clients or former clients other than described below. In order for Conscient Capital to provide investment management services to its clients’ we will disclose information in very limited instances as permitted by law, including:

  • Disclosures to companies or affiliates who perform services for Conscient Capital on a client’s behalf and who are obligated to keep any information we provide them strictly confidential such as vendors we engage to facilitate account reviews; technology consultants who assist Conscient Capital in maintaining its computer systems; the client’s broker and account custodian.
  • Disclosures to companies as permitted by law, including those necessary to service and process a client’s account transactions; disclosures in connection with subpoenas or other legal processes; disclosures as part of fraud investigations; disclosures in connection with audits and examinations; and disclosures pursuant to your authorization or consent.
  • Conscient Capital may also mail to its clients, periodic account statements, for accounts with a common mailing address in a single envelope for convenience. This may include other family or related accounts with the same mailing address and is done at the request of the client.

Conscient Capital has adopted the following internal policies and procedures to maintain both physical and electronic safeguards in accordance with federal and Arizona guidelines and legal standards, protecting both client and former client’s nonpublic, personal information from unauthorized disclosure.

  • Our office doors are kept locked after 5pm daily with 24 hour security in the building
  • All client records are maintained in designated file cabinets or in electronic format
  • All Conscient Capital employees are bound by our Code of Ethics and will access client information for legitimate business purposes only
  • All employees are required to shut down their computers each night and have password protected entry into computers housing our client data
  • All internal client reports and other confidential information is shredded rather than disposed of in the trash
  • Conscient Capital educates its employees on the importance and requirement of client confidentiality
  • Conscient Capital maintains a firewall restricting the inflow of traffic on our connection to the internet
  • No client information is posted on website

This Policy is subject to change and you can request a copy of our current Privacy Notice at anytime by contacting our office.