Dixon Hughes Goodman Wealth Advisors LLC (DHGWA) values you greatly as a client and respects your right to privacy. Investment management and financial planning are, by nature, confidential services, and we do our utmost to earn and keep your trust by respecting our clients' need for privacy. This statement delineates specifics regarding our handling of the private information of clients and former clients.
What nonpublic information do we have about you?
DHGWA keeps copies, paper or electronic, of just about all nonpublic information that our clients have given us as well as information that has been created since the client relationship was formed. This includes all documents needed for opening accounts, transferring assets and effecting transactions with our clients' asset custodian(s), as well as information on clients' past custodians. In addition, records may be kept of any financial information clients have given us for financial planning issues, which may include but not be limited to nonpublic net worth, tax, trust and other estate planning information, banking, insurance and any other items received from clients which relate to managing their portfolios and or assisting with financial planning. In addition, we may keep internal work papers as well as records of all account activity.
With whom do we share this nonpublic information?
No nonpublic information, including examples listed above, is shared with any outside person, organization or company without our clients' specific request to do so, except as follows:
- Outside companies that have already received nonpublic information directly from our clients, such as their custodians/brokers, may receive additional information from DHGWA whenever client information changes or account activity occurs.
- DHGWA uses DHG Firm Technology Group to provide computer and electronic infrastructure and support. As a wholly owned subsidiary of Dixon Hughes Goodman LLP (DHG), Firm Technology Group is subject to the strict, comprehensive Privacy/ Confidentiality Policies of DHG. These have been reviewed by DHGWA and are maintained on file, and can be provided to clients if requested.
- Annually it is necessary for DHGWA to share the names of Retirement Plan accounts with our Insurance Provider, in order to have our Professional Liability coverage continued. We have been provided and have reviewed that company's Privacy Policies and Procedures; a copy of them is kept in our files, please let us know if you would like to have a set for your records. The only information that is shared is the name of the plan and an aggregate value of all Retirement Plans under management.
How do we maintain nonpublic information security?
DHGWA segregates all paper information about our clients. When we dispose of paper information, it is shredded on a regular basis. Clients' individual paper files are kept in a secure locked location which is only accessible to DHGWA staff. Electronic information is stored on computer programs accessible only to DHGWA staff, and is not shared with any other person, organization or company. All employees and owners of DHGWA are required to respect the confidentiality of all client information.
This privacy statement shall be given to all new clients of DHGWA, and thereafter each client will receive it annually. Free copies can be obtained by calling our offices during business hours.