Cavalot Capital LLC recognizes that our relationships with current and prospective clients are based on integrity and trust. We work hard to maintain your privacy and to preserve the private nature of our relationship with you. We place the highest value on the information you share with us. Cavalot Capital LLC will not disclose your personal information to anyone unless it is required by law or at your direction. We will not sell your personal information. Cavalot Capital LLC will provide this privacy statement to all clients annually.
We want our clients to understand what information we collect, how we use it, and how we protect your personal information.
We gather information about you so that we can:
We may collect the following types of “nonpublic personal information” about you:
We are permitted by law to disclose nonpublic information about you to unaffiliated third parties in certain circumstances. For example, in order for us to provide planning or investment management services to you, we may disclose your personal information in limited circumstances to various service providers, such as our clearing firm or independent contractors hired by Cavalot Capital LLC. If the Financial Planner/Financial Adviser ("Planner"/"Adviser") leaves Cavalot Capital LLC to join another firm, he or she may be permitted to retain copies of client information so that they can assist with the transfer of client accounts and continue to serve the client at their new firm.
“Opting-Out” of Third Party Disclosures: If you do not want your Planner/Adviser to retain copies of your client sensitive information when he or she leaves us to join another firm, you may contact us by calling (720) 295-4143.
Otherwise, Cavalot Capital LLC will not disclose any personal information about you or your account(s) unless one of the following conditions is met:
Arrangements with companies or independent contractors not affiliated with Cavalot Capital LLC will be subject to confidentiality agreements.
We have adopted a Business Continuity Plan that outlines the strategies and plans that will be used by Planner/Adviser during a significant business disruption, including loss of Adviser’s key principal. In the event of death or incapacitation of the key personnel of Adviser, Adviser has a signed Confidentiality Agreement with a designated individual in order to share client contact information (limited to client’s name, address, phone number, and email address) solely for the purpose of informing clients of the death or incapacity of Advisor’s principal in order for client’s to expeditiously make any necessary changes to their investment account(s) and/or financial plan.
Privacy has always been important to Cavalot Capital LLC. We restrict and limit access to client information only to those who need to carry out their business functions. We maintain physical, electronic, and procedural safeguards to protect your confidential personal information.
Updated March 2, 2022.
Cavalot Capital LLC ("Cavalot Capital") is a registered investment advisor offering advisory services in the States of California, Louisiana, Oregon and in other jurisdictions where exempted. Registration does not imply a certain level of skill or training.
The information on this site is not intended as tax, accounting or legal advice, as an offer or solicitation to buy or sell, or as an endorsement of any company, security, fund, cryptocurrency, protocol, token or other securities or non-securities offering. This information should not be relied upon as the sole factor in an investment making decision.
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