The July 2017 issue of Financial Advisor magazine ranked CAPTRUST number one among registered investment advisors (RIAs) with assets in excess of $1 billion—making it our second year running to achieve this distinction. The magazine’s annual survey analyzes several metrics and other indicators of business success.
Nonpublic information obtained by CAPTRUST Financial Advisors (CAPTRUST) for purposes of providing services hereunder will not be furnished to third parties for any purpose other than in furtherance of the services to be provided hereunder. Notwithstanding the foregoing, CAPTRUST may disclose nonpublic information (i) to the extent such disclosure is required by court order or by a valid order of a governmental body or quasi-governmental agency (such as FINRA), (ii) prior or after the time of disclosure such information becomes part of the public knowledge or literature, not as a result of any inaction or action of CAPTRUST, (iii) reasonably necessary for CAPTRUST to enforce its legal rights in any dispute; or (iv) is approved in writing, for release. CAPTRUST does not disclose nonpublic, personal information to any party, except as permitted by law.
Sources of personal information
We collect personal information via our interactions with you; whether in person, over the phone, or via our websites. In some cases, we also collect information about your investments through transactions with us or from other sources (such as third party service providers or fund companies).
Protecting the Confidentiality of Nonpublic Personal Information:
CAPTRUST does not sell or trade nonpublic personal information with any nonaffiliated (non-third party) companies. When we are required to provide information to third party service providers, we have safeguards in place to help us ensure that nonpublic, personal information is protected and secured.
- Data records are encrypted and hosted on secured servers. CAPTRUST maintains its records on secured computers.
- All prospective CAPTRUST employees are screened for criminal convictions prior to employment with the firm.
- Once hired, employees receive special training on the industry’s best practices for safely moving highly confidential nonpublic information
- Internally, access to nonpublic information is highly restrictive, only granting the minimum access necessary to each associate based on their job functions.
To Whom This Policy Applies
- All current clients who enter into an Advisory Services Agreement with us.
- Prospects, and Visitors to the CAPTRUST website.
Access to and Correction of Information – applicable to CAPTRUST CLIENTS only.
Upon written request from a Client, we will make available any file containing personal Information; provided, however, that any information collected in connection with, or in anticipation of, any claim or legal proceeding will not be made available.
Clients may notify us of any information they deem as incorrect. Upon examination, we will correct our records if our findings conclude the same. If we don’t find conclusive evidence, Clients may submit a short statement of dispute, which we will include in any future disclosure of the disputed Information.
“Opt Out” Provision