Privacy policy.
Rockwall Wealth Advisors
697 E Interstate 30 - Rockwall, Texas 75087
PRIVACY POLICY NOTICE
Rockwall Wealth Advisors (“we” or “our”) respects your right to privacy and recognizes our responsibility for protecting the privacy and security of the personal information we receive from you. We have always been committed to securing the confidentiality and integrity of your personal information. We are proud of our privacy practices and want our current and prospective customers to understand what information we collect and how we use it.
Why We Collect Your Information
We gather and keep only information about you that is necessary for us to provide the services requested by you, administer your business with us, design and improve the services we offer and comply with the laws and regulations that govern us.
What Information We Collect
We may collect the following types of ‘nonpublic personal information’ about you:
▪ Personally Identifiable Information (PII).
▪ Information about your identity, such as your name, address, and social security number.
▪ Information about your transactions; and
▪ Information about your personal financial profile, such as your risk tolerance levels, goals and objectives, assets, liabilities, savings, and investments.
▪ Non-Personally Identifiable Information (Non-PII).
▪ Browser type, device ID, and IP address.
How We Use Your Information
We may use your information to:
▪ Verify investor eligibility.
▪ Facilitate transactions and fulfill service requests.
▪ Respond to inquiries and customer service requests.
▪ Deliver communications and regulatory updates.
▪ Maintain regulatory records.
▪ Improve site experience and compliance.
▪ Provide good faith disclosures to regulators who have regulatory authority over us.
What Sources We Obtain Your Information From
We collect nonpublic personal information about our clients, such as you, from the following sources:
▪ We receive information from you on contracts or other forms, such as risk tolerance questionnaires and/or investment policy statements.
▪ Information about your transactions with our affiliates, or others.
▪ If you visit our website, we collect information via a web server (often referred to as a “cookie”). Cookies indicate where a site visitor has been online and what has been viewed.
What Information We Disclose
We only share your non-public personal information with your representative within our firm, affiliates, and non-affiliated companies or individuals as permitted by law, such as mutual funds, insurance companies, and other product vendors, or to comply with legal or regulatory requirements. With your approval, we may also share information with your advisors, which can include your accountant and/or attorney. Additionally, in the normal course of our business, we may disclose information we collect about you to companies or individuals that contract with us to perform service functions such as:
▪ Record keeping.
▪ Computer-related services.
▪ Good faith disclosure to regulators who have regulatory authority over the company.
Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the specific services we have requested. Notwithstanding the above, we will not disclose information about our customers or former customers unless we receive your prior written consent, we believe the recipient to be you or your authorized representative, or we are required by law to release information to the recipient.
We do not sell your personal information to anyone.
Regulation S-P Procedures
Information Security and Incident Response. We maintain written policies and procedures designed to protect the security and confidentiality of nonpublic personal information. Our program includes measures to:
▪ Identify and assess risks of unauthorized access or use.
▪ Implement and monitor safeguards appropriate to our business model.
▪ Detect, respond to, and recover from security incidents affecting customer information.
If we determine that nonpublic personal information has been, or is reasonably likely to have been, accessed or used without authorization, we will notify affected individuals as soon as practicable, and no later than 30 days after that determination, except where a delay is requested by law enforcement.
Service Provider Oversight. We require third-party service providers with access to nonpublic personal information to:
▪ Maintain appropriate protection.
▪ Notify us promptly of any unauthorized access or use.
▪ Cooperate in incident response and mitigation efforts.
Additionally, we conduct ongoing due diligence and monitoring of service providers consistent with regulatory requirements.
Scope of Individuals Covered. These protections apply to current and former clients, as well as to individuals who provide information to us in connection with a potential advisory or brokerage relationship, even if no account is opened or no contract is signed.
Privacy Notice Delivery under Regulation S-P. We will provide initial privacy notices consistent with Regulation S-P. Consumers will receive notice before any non-public personal information is shared with third parties, and customers will receive notice before a customer relationship is established. When a relationship is initiated by telephone and providing notice beforehand materially delays a transaction, the notice may be delivered within the Customer Agreement Form, provided you consent. Annual privacy notices will be provided to all active customer accounts unless the privacy policy remains unchanged.
Confidentiality and Security
We maintain physical, electronic, and procedural safeguards to guard your personal information. We also restrict access to your personal and financial data only to our authorized associates who need these records. Furthermore, we will continue to adhere to the privacy policies and practices described in this notice even after your account is closed or becomes inactive.
Cookies and Other Tracking Technologies
We may track users using IP addresses, cookies (such as pieces of code or text placed on your device by us or third parties when you browse our websites), web beacons, and other data collection methods to gather broad demographic data and ensure we're delivering the information you want. Our website sends cookies to your web browser (if your browser’s settings allow it) to collect data as you navigate our site(s). Cookie settings can be adjusted in your Internet browser to automatically block certain cookies. If you view our website without changing your cookie settings, you are indicating your consent to receive all cookies from our site(s). If you disable cookies, some features and functions of our site(s) may not work properly. In addition to cookies, we use tools like tags and beacons (such as scripts primarily used to track visitors’ activities via web analytics software), Internet Protocol (IP) addresses, and other tools to collect your data for the purposes explained in this Privacy Policy. “Do Not Track” signals are options in your browser that let you tell websites you do not want your online activity tracked. Our websites operate the same whether these “Do Not Track” signals are enabled or disabled.
Opt-Out Provisions
We have implemented measures to ensure all third-party vendors have confidentiality agreements to protect your information. If such written agreements are not in place, you have the option to “opt-out” of sharing your information. If you wish to opt out of instances where we lack confidentiality clauses or do not want to receive marketing materials from us, you should send written instructions to the Chief Compliance Officer at the address provided above. Additionally, the law allows you to "opt out" of certain types of information sharing with third parties. We do not share your personal information with third parties in ways that trigger this opt-out right. This means you are already opted out of these sharing situations.
To Contact Us
If you have questions regarding our privacy policy, please contact us at (214) 923-5237.